[Federal Register Volume 73, Number 196 (Wednesday, October 8, 2008)]
[Rules and Regulations]
[Pages 59034-59380]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-21093]
[[Page 59033]]
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Part II
Environmental Protection Agency
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40 CFR Parts 9, 60, 80 et al.
Control of Emissions From Nonroad Spark-Ignition Engines and Equipment;
Final Rule
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 /
Rules and Regulations
[[Page 59034]]
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ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 9, 60, 80, 85, 86, 89, 90, 91, 92, 94, 1027, 1033,
1039, 1042, 1045, 1048, 1051, 1054, 1060, 1065, 1068, and 1074
[EPA-HQ-OAR-2004-0008; FRL-8712-8]
RIN 2060-AM34
Control of Emissions From Nonroad Spark-Ignition Engines and
Equipment
AGENCY: Environmental Protection Agency (EPA).
ACTION: Final rule.
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SUMMARY: We are setting emission standards for new nonroad spark-
ignition engines that will substantially reduce emissions from these
engines. The exhaust emission standards apply starting in 2010 for new
marine spark-ignition engines, including first-time EPA standards for
sterndrive and inboard engines. The exhaust emission standards apply
starting in 2011 and 2012 for different sizes of new land-based, spark-
ignition engines at or below 19 kilowatts (kW). These small engines are
used primarily in lawn and garden applications. We are also adopting
evaporative emission standards for vessels and equipment using any of
these engines. In addition, we are making other minor amendments to our
regulations.
We estimate that by 2030, this rule will result in significantly
reduced pollutant emissions from regulated engine and equipment
sources, including estimated annual nationwide reductions of 604,000
tons of volatile organic hydrocarbon emissions, 132,200 tons of
NOX emissions, and 5,500 tons of directly-emitted
particulate matter (PM2.5) emissions. These reductions
correspond to significant reductions in the formation of ground-level
ozone. We also expect to see annual reductions of 1,461,000 tons of
carbon monoxide emissions, with the greatest reductions in areas where
there have been problems with individual exposures. The requirements in
this rule will substantially benefit public health and welfare and the
environment. We estimate that by 2030, on an annual basis, these
emission reductions will prevent 230 PM-related premature deaths,
between 77 and 350 ozone-related premature deaths, approximately 1,700
hospitalizations and emergency room visits, 23,000 work days lost,
180,000 lost school days, 590,000 acute respiratory symptoms, and other
quantifiable benefits every year. The total annual benefits of this
rule in 2030 are estimated to be between $1.8 billion and $4.4 billion,
assuming a 3% discount rate. The total annual benefits of this rule in
2030 are estimated to be between $1.6 billion and $4.3 billion,
assuming a 7% discount rate. Estimated costs in 2030 are many times
less at approximately $190 million.
DATES: This rule is effective on December 8, 2008. The incorporation by
reference of certain publications listed in this regulation is approved
by the Director of the Federal Register as of December 8, 2008.
ADDRESSES:
Docket: All documents in the docket are listed in the
www.regulations.gov index. Although listed in the index, some
information is not publicly available, such as CBI or other information
whose disclosure is restricted by statute. Certain other material, such
as copyrighted material, will be publicly available only in hard copy.
Publicly available docket materials are available either electronically
in www.regulations.gov or in hard copy at the ``Control of Emissions
from Nonroad Spark-Ignition Engines, Vessels and Equipment'' Docket.
The docket is located in the EPA Headquarters Library, Room Number 3334
in the EPA West Building, located at 1301 Constitution Ave., NW.,
Washington, DC. The EPA/DC Public Reading Room hours of operation will
be 8:30 a.m. to 4:30 p.m. Eastern Standard Time (EST), Monday through
Friday, excluding holidays. The telephone number for the Public Reading
Room is (202) 566-1744 and the telephone number for the Docket is (202)
566-1742.
FOR FURTHER INFORMATION CONTACT: Carol Connell, Environmental
Protection Agency, Office of Transportation and Air Quality, Assessment
and Standards Division, 2000 Traverwood Drive, Ann Arbor, Michigan
48105; telephone number: 734-214-4349; fax number: 734-214-4050; e-mail
address: [email protected].
SUPPLEMENTARY INFORMATION:
Does This Action Apply to Me?
This action will affect you if you produce or import new spark-
ignition engines intended for use in marine vessels or in new vessels
using such engines. This action will also affect you if you produce or
import new spark-ignition engines below 19 kilowatts used in nonroad
equipment, including agricultural and construction equipment, or
produce or import such nonroad vehicles.
The following table gives some examples of entities that may have
to follow the regulations; however, since these are only examples, you
should carefully examine the regulations. Note that we are adopting
minor changes in the regulations that apply to a wide range of products
that may not be reflected in the following table (see Section VIII). If
you have questions, call the person listed in the FOR FURTHER
INFORMATION CONTACT section above:
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NAICS codes SIC codes Examples of potentially regulated
Category \a\ \b\ entities
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Industry...................................... 333618 3519 Manufacturers of new engines.
Industry...................................... 333111 3523 Manufacturers of farm machinery and
equipment.
Industry...................................... 333112 3524 Manufacturers of lawn and garden
tractors (home).
Industry...................................... 336612 3731 Manufacturers of marine vessels.
3732
Industry...................................... 811112 7533 Commercial importers of vehicles and
811198 7549 vehicle components.
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\a\ North American Industry Classification System (NAICS).
\b\ Standard Industrial Classification (SIC) system code.
Table of Contents
I. Introduction
A. Overview
B. Why Is EPA Taking This Action?
C. What Regulations Currently Apply to Nonroad Engines or
Vehicles?
D. Putting This Rule into Perspective
E. What Requirements Are We Adopting?
F. How Is This Document Organized?
G. Judicial Review
II. Public Health and Welfare Effects
A. Public Health Impacts
B. Air Toxics
C. Carbon Monoxide
[[Page 59035]]
III. Sterndrive and Inboard Marine Engines
A. Overview
B. Engines Covered by This Rule
C. Exhaust Emission Standards
D. Test Procedures for Certification
E. Additional Certification and Compliance Provisions
F. Small-Business Provisions
G. Technological Feasibility
IV. Outboard and Personal Watercraft Engines
A. Overview
B. Engines Covered by This Rule
C. Final Exhaust Emission Standards
D. Changes to OB/PWC Test Procedures
E. Additional Certification and Compliance Provisions
F. Other Adjustments to Regulatory Provisions
G. Small-Business Provisions
H. Technological Feasibility
V. Small SI Engines
A. Overview
B. Engines Covered by This Rule
C. Final Requirements
D. Testing Provisions
E. Certification and Compliance Provisions for Small SI Engines
and Equipment
F. Small-Business Provisions
G. Technological Feasibility
VI. Evaporative Emissions
A. Overview
B. Fuel Systems Covered by This Rule
C. Final Evaporative Emission Standards
D. Emission Credit Programs
E. Testing Requirements
F. Certification and Compliance Provisions
G. Small-Business Provisions
H. Technological Feasibility
VII. Energy, Noise, and Safety
A. Safety
B. Noise
C. Energy
VIII. Requirements Affecting Other Engine and Vehicle Categories
A. State Preemption
B. Certification Fees
C. Amendments to General Compliance Provisions in 40 CFR Part
1068
D. Amendments Related to Large SI Engines (40 CFR Part 1048)
E. Amendments Related to Recreational Vehicles (40 CFR Part
1051)
F. Amendments Related to Heavy-Duty Highway Engines (40 CFR Part
85)
G. Amendments Related to Stationary Spark-Ignition Engines (40
CFR Part 60)
H. Amendments Related to Locomotive, Marine, and Other Nonroad
Compression-Ignition Engines (40 CFR Parts 89, 92, 94, 1033, 1039,
and 1042)
IX. Projected Impacts
A. Emissions from Small Nonroad and Marine Spark-Ignition
Engines
B. Estimated Costs
C. Cost per Ton
D. Air Quality Impact
E. Benefits
F. Economic Impact Analysis
X. Public Participation
XI. Statutory and Executive Order Reviews
A. Executive Order 12866: Regulatory Planning and Review
B. Paperwork Reduction Act
C. Regulatory Flexibility Act
D. Unfunded Mandates Reform Act
E. Executive Order 13132: Federalism
F. Executive Order 13175: Consultation and Coordination With
Indian Tribal Governments
G. Executive Order 13045: Protection of Children from
Environmental Health and Safety Risks
H. Executive Order 12898: Federal Actions to Address
Environmental Justice in Minority Populations and Low-Income
Populations.
I. Executive Order 13211: Actions that Significantly Affect
Energy Supply, Distribution, or Use
J. National Technology Transfer Advancement Act
K. Congressional Review Act
I. Introduction
A. Overview
This rule will reduce the mobile-source contribution to air
pollution in the United States. In particular, we are adopting
standards that will require manufacturers to substantially reduce
emissions from marine spark-ignition engines and from nonroad spark-
ignition engines below 19 kW that are generally used in lawn and garden
applications.\1\ We refer to these as Marine SI engines and Small SI
engines, respectively. The new emission standards are a continuation of
the process of establishing standards for nonroad engines and vehicles
as required by Clean Air Act section 213. All the nonroad engines
subject to this rule are already regulated under existing emission
standards, except sterndrive and inboard marine engines, which are
subject to EPA emission standards for the first time.
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\1\ Otto-cycle engines (referred to here as spark-ignition or SI
engines) typically operate on gasoline, liquefied petroleum gas, or
natural gas. Diesel-cycle engines, referred to simply as ``diesel
engines'' in this document, may also be referred to as compression-
ignition or CI engines. These engines typically operate on diesel
fuel, but other fuels may also be used.
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Nationwide, emissions from Marine SI engines and Small SI engines
contribute significantly to mobile source air pollution. By 2030
without this final rule these engines would account for about 33
percent (1,287,000 tons) of mobile source volatile organic hydrocarbon
compounds (VOC) emissions, 31 percent (15,605,000 tons) of mobile
source carbon monoxide (CO) emissions, 6 percent (311,300 tons) of
mobile source oxides of nitrogen (NOX) emissions, and 12
percent (44,000 tons) of mobile source particulate matter
(PM2.5) emissions. The new standards will reduce exposure to
these emissions and help avoid a range of adverse health effects
associated with ambient ozone, CO, and PM levels. In addition, the new
standards will help reduce acute exposure to CO, air toxics, and PM for
persons who operate or who work with or are otherwise active in close
proximity to these engines. They will also help address environmental
problems associated with Marine SI engines and Small SI engines, such
as injury to vegetation and ecosystems and visibility impairment. These
effects are described in more detail later in this document.
B. Why Is EPA Taking This Action?
Clean Air Act section 213(a)(1) directs us to study emissions from
nonroad engines and vehicles to determine, among other things, whether
these emissions ``cause, or significantly contribute to, air pollution
which may reasonably be anticipated to endanger public health or
welfare.'' Section 213(a)(2) further requires us to determine whether
emissions of CO, VOC, and NOX from all nonroad engines
significantly contribute to ozone or CO concentrations in more than one
nonattainment area. If we determine that emissions from all nonroad
engines do contribute significantly to these nonattainment areas,
section 213(a)(3) then requires us to establish emission standards for
classes or categories of new nonroad engines and vehicles that cause or
contribute to such pollution. We may also set emission standards under
section 213(a)(4) regulating any other emissions from nonroad engines
that we find contribute significantly to air pollution which may
reasonably be anticipated to endanger public health or welfare.
Specific statutory direction to set standards for nonroad spark-
ignition engines comes from section 428(b) of the 2004 Consolidated
Appropriations Act, which requires EPA to adopt regulations under the
Clean Air Act ``that shall contain standards to reduce emissions from
new nonroad spark-ignition engines smaller than 50 horsepower.'' \2\ As
highlighted above and more fully described in Section II, these engines
emit pollutants that contribute to ground-level ozone and ambient CO
levels. Human exposure to ozone and CO can cause serious respiratory
and cardiovascular problems. Additionally, these emissions contribute
to other serious environmental degradation. This rule implements
Congress' mandate by adopting new requirements for particular nonroad
engines and equipment that are regulated as part of
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EPA's overall nonroad emission control program.
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\2\ Public Law 108-199, Div G, Title IV, Sec. 428(b), 118 Stat.
418 (January 23, 2004).
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We are adopting this rule under the procedural authority of section
307(d) of the Clean Air Act.
C. What Regulations Currently Apply to Nonroad Engines or Vehicles?
EPA has been setting emission standards for nonroad engines and/or
vehicles since Congress amended the Clean Air Act in 1990 and included
section 213. These amendments have led to a series of rulemakings to
reduce the air pollution from this widely varying set of products. In
these rulemakings, we divided the broad group of nonroad engines and
vehicles into several different categories for setting application-
specific requirements. Each category involves many unique
characteristics related to the participating manufacturers, technology,
operating characteristics, sales volumes, and market dynamics.
Requirements for each category therefore take on many unique features
regarding the stringency of standards, the underlying expectations
regarding emission control technologies, the nature and extent of
testing, and the myriad details that comprise the implementation of a
compliance program.
At the same time, the requirements and other regulatory provisions
for each engine category share many characteristics. Each rulemaking
under section 213 sets technology-based standards consistent with the
Clean Air Act and requires annual certification based on measured
emission levels from test engines or vehicles. As a result, the broader
context of EPA's nonroad emission control programs demonstrates both
strong similarities between this rulemaking and the requirements
adopted for other types of engines or vehicles and distinct differences
as we take into account the unique nature of these engines and the
companies that produce them.
We completed the Nonroad Engine and Vehicle Emission Study to
satisfy Clean Air Act section 213(a)(1) in November 1991.\3\ On June
17, 1994, we made an affirmative determination under section 213(a)(2)
that nonroad emissions are significant contributors to ozone or CO in
more than one nonattainment area (56 FR 31306). Since then we have
undertaken several rulemakings to set emission standards for the
various categories of nonroad engines. Table I-1 highlights the
different engine or vehicle categories we have established and the
corresponding cites for emission standards and other regulatory
requirements. Table I-2 summarizes the series of EPA rulemakings that
have set new or revised emission standards for any of these nonroad
engines or vehicles. These actions are described in the following
sections, with additional discussion to explain why we are not adopting
more stringent standards for certain types of nonroad spark-ignition
engines below 50 horsepower.
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\3\ This study is available on EPA's Web site at http://www.epa.gov/otaq/equip-ld.
Table I-1: Nonroad Engine Categories for EPA Emission Standards
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CFR Cite for
regulations Cross reference
Engine categories establishing emission to table I-2
standards
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1. Locomotives engines........ 40 CFR Part 92 and d, l.
1033.
2. Marine diesel engines...... 40 CFR Part 94 and g, i, j, l.
1042.
3. Other nonroad diesel 40 CFR Parts 89 and a, e, k.
engines. 1039.
4. Marine SI engines \a\...... 40 CFR Part 91....... c.
5. Recreational vehicles...... 40 CFR Part 1051..... i.
6. Small SI engines \b\....... 40 CFR Part 90....... b, f, h.
7. Large SI engines \b\....... 40 CFR Part 1048..... i.
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\a\ The term ``Marine SI,'' used throughout this document, refers to all
spark-ignition engines used to propel marine vessels. This includes
outboard engines, personal watercraft engines, and sterndrive/inboard
engines. See Section III for additional information.
\b\ The terms ``Small SI'' and ``Large SI'' are used throughout this
document. All nonroad spark-ignition engines not covered by our
programs for Marine SI engines or recreational vehicles are either
Small SI engines or Large SI engines. Small SI engines include those
engines with maximum power at or below 19 kW, and Large SI engines
include engines with maximum power above 19 kW.
Table I-2: EPA's Rulemakings for Nonroad Engines
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Nonroad engines (categories and sub-categories) Final rulemaking Date
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a. Land-based diesel engines >= 37 kW--Tier 1..... 56 FR 31306............. June 17, 1994.
b. Small SI engines--Phase 1...................... 60 FR 34581............. July 3, 1995.
c. Marine SI engines--outboard and personal 61 FR 52088............. October 4, 1996.
watercraft.
d. Locomotives.................................... 63 FR 18978............. April 16, 1998.
e. Land-based diesel engines--Tier 1 and Tier 2 63 FR 56968............. October 23, 1998.
for engines < 37 kW--Tier 2 and Tier 3 for
engines >= 37 kW.
f. Small SI engines (Nonhandheld)--Phase 2........ 64 FR 15208............. March 30, 1999.
g. Commercial marine diesel < 30 liters per 64 FR 73300............. December 29, 1999.
cylinder.
h. Small SI engines (Handheld)--Phase 2........... 65 FR 24268............. April 25, 2000.
i. Recreational vehicles, Industrial spark- 67 FR 68242............. November 8, 2002.
ignition engines > 19 kW, and Recreational marine
diesel.
j. Marine diesel engines >= 2.5 liters/cylinder... 68 FR 9746.............. February 28, 2003.
k. Land-based diesel engines--Tier 4.............. 69 FR 38958............. June 29, 2004.
l. Locomotives and commercial marine diesel < 30 73 FR 37096............. June 30, 2008.
liters per cylinder.
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[[Page 59037]]
Small SI Engines
We have previously adopted emission standards for nonroad spark-
ignition engines at or below 19 kW in two phases. The first phase of
these standards introduced certification and an initial level of
emission standards for both handheld and nonhandheld engines. On March
30, 1999 we adopted a second phase of standards for nonhandheld
engines, including both Class I and Class II engines (64 FR 15208).\4\
The Phase 2 regulations included a phase-in period that has recently
been completed. These standards involved emission reductions based on
improving engine calibrations to reduce exhaust emissions and added a
requirement that emission standards must be met over the engines'
entire useful life as defined in the regulations. We believe catalyst
technology has now developed to the point that it can be applied to all
nonhandheld Small SI engines to reduce exhaust emissions. Various
emission control technologies are similarly available to address the
different types of fuel evaporative emissions we have identified.
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\4\ Handheld engines generally include those engines for which
the operator holds or supports the equipment during operation;
nonhandheld engines are Small SI engines that are not handheld
engines (see Sec. 1054.801). Class I refers to nonhandheld engines
with displacement below 225 cc; Class II refers to larger
nonhandheld engines.
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For handheld engines, we adopted Phase 2 exhaust emission standards
in April 25, 2000 (65 FR 24268). These standards were based on the
application of catalyst technology, with the expectation that
manufacturers would have to make considerable investments to modify
their engine designs and production processes. A technology review we
completed in 2003 indicated that manufacturers were making progress
toward compliance, but that additional implementation flexibility was
needed if manufacturers were to fully comply with the regulations by
2010. This finding and a change in the rule were published in the
Federal Register on January 12, 2004 (69 FR 1824). At this point, we
have no information to suggest that manufacturers can uniformly apply
new technology or make design improvements to reduce exhaust emissions
below the Phase 2 levels. We therefore believe the Phase 2 standards
continue to represent the greatest degree of emission reduction
achievable for these engines.\5\ However, we believe it is appropriate
to apply evaporative emission standards to handheld engines similar to
the standards we are adopting for the nonhandheld engines.
Manufacturers can control evaporative emissions from handheld engines
in a way that has little or no impact on exhaust emissions.
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\5\ Note that we refer to the handheld exhaust emission
standards in 40 CFR part 1054 as Phase 3 standards. This is intended
to maintain consistent terminology with the comparable standards in
California rather than indicating an increase in stringency.
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Marine SI Engines
On October 4, 1996 we adopted emission standards for spark-ignition
outboard and personal watercraft engines that have recently been fully
phased in (61 FR 52088). We decided not to finalize emission standards
for sterndrive or inboard marine engines at that time. Uncontrolled
emission levels from sterndrive and inboard marine engines were already
significantly lower than the outboard and personal watercraft engines.
We did, however, leave open the possibility of revisiting the need for
emission standards for sterndrive and inboard engines in the future.
See Section III for further discussion of the scope and background of
past and current rulemakings for these engines.
We believe existing technology can be applied to all Marine SI
engines to reduce emissions of harmful pollutants, including both
exhaust and evaporative emissions. Manufacturers of outboard and
personal watercraft engines can continue the trend of producing four-
stroke engines and advanced-technology two-stroke engines to further
reduce emissions. For sterndrive/inboard engines, manufacturers can add
technologies, such as fuel injection and aftertreatment, that can
safely and substantially improve the engines' emission control
capabilities.
Large SI Engines
We adopted emission standards for Large SI engines on November 8,
2002 (67 FR 68242). This includes Tier 1 standards for 2004 through
2006 model years and Tier 2 standards starting with 2007 model year
engines. Manufacturers are today facing a considerable challenge to
comply with the Tier 2 standards, which are already substantially more
stringent than any of the standards for the other engine categories
subject to this final rule. The Tier 2 standards also include
evaporative emission standards, new transient test procedures,
additional exhaust emission standards to address off-cycle emissions,
and diagnostic requirements. Stringent standards for this category of
engines, and in particular engines between 25 and 50 horsepower (19 to
37 kW), have been completed in the recent past, and are currently being
implemented. We do not have information at this time on possible
advances in technology beyond Tier 2. We therefore believe the evidence
provided in the recently promulgated rulemaking continues to represent
the best available information regarding the appropriate level of
standards for these engines under section 213 at this time. The
California Air Resources Board has adopted an additional level of
emission control for Large SI engines starting with the 2010 model
year. However, as described in Section I.D.1, their new standards do
not increase overall stringency beyond that reflected in the federal
standards. As a result, we believe it is inappropriate to adopt more
stringent emission standards for these engines in this rulemaking.
Note that the Large SI standards apply to nonroad spark-ignition
engines above 19 kW. However, we adopted a special provision for engine
families where production engines have total displacement at or below
1000 cc and maximum power at or below 30 kW, allowing these engine
families to instead certify to the applicable standards for Small SI
engines. This rule preserves this approach.
Recreational Vehicles
We adopted exhaust and evaporative emission standards for
recreational vehicles in our November 8, 2002 final rule (67 FR 68242).
These standards apply to all-terrain vehicles, off-highway motorcycles,
and snowmobiles.\6\ These exhaust emission standards were fully phased
in starting with the 2007 model year. The evaporative emission
standards apply starting with the 2008 model year.
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\6\ Note that we treat certain high-speed off-road utility
vehicles as all-terrain vehicles (see 40 CFR part 1051).
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Recreational vehicles will soon be subject to permeation
requirements that are very similar to the requirements included in this
rulemaking. We have also learned more about controlling running losses
and diffusion emissions that may eventually lead us to propose
comparable standards for recreational vehicles. Considering these new
requirements for recreational vehicles in a later rulemaking would give
us additional time to collect information to better understand the
feasibility, costs, and benefits of applying these requirements to
recreational vehicles.
The following sections describe the state of technology and
regulatory requirements for the different types of recreational
vehicles.
[[Page 59038]]
All-Terrain Vehicles
EPA's initial round of exhaust emission standards was fully
implemented starting with the 2007 model year. The regulations for all-
terrain vehicles (ATV) specify testing based on a chassis-based
transient procedure. However, we permit manufacturers on an interim
basis to optionally use a steady-state engine-based procedure. We
recently completed a change in the regulations to extend this allowance
from 2009 through 2014, after which manufacturers must certify all
their ATVs based on the chassis-based transient test procedure that
applies for off-highway motorcycles (72 FR 20730, April 26, 2007). This
change does not represent an increase in stringency, but manufacturers
will be taking time to make the transition to the different test
procedure. We expect that there will be a good potential to apply
further emission controls on these engines. However, we do not have
information at this time on possible advances in technology beyond what
is required for the current standards.
Off-Highway Motorcycles
For off-highway motorcycles, manufacturers are in many cases making
a substantial transition to move away from two-stroke engines in favor
of four-stroke engines. This transition is now underway. While it may
eventually be appropriate to apply aftertreatment or other additional
emission control technologies to off-highway motorcycles, we need more
time for this transition to be completed and to assess the success of
aftertreatment technologies such as catalysts on similar applications
such as highway motorcycles. As EPA and manufacturers learn more in
implementing emission standards, we expect to be able to better judge
the potential for broadly applying new technology to achieve further
emission reductions from off-highway motorcycles.
Snowmobiles
In our November 8, 2002 final rule we set three phases of exhaust
emission standards for snowmobiles (67 FR 68242). Environmental and
industry groups challenged the third phase of these standards. The
court decision upheld much of EPA's reasoning for the standards, but
vacated the NOX standard and remanded the CO and HC
standards to clarify the analysis and evidence upon which the standards
are based. See Bluewater Network, et al. v. EPA, 370 F 3d 1 (D.C. Cir.
2004). A large majority of snowmobile engines are rated above 50 hp and
there is still a fundamental need for time to pass to allow us to
assess the success of four-stroke engine technology in the
marketplace.\7\ This is an important aspect of the assessment we need
to conduct with regard to the Phase 3 emission standards. We believe it
is best to address this in a separate rulemaking and we have initiated
that effort to evaluate the appropriate long-term emission standards
for snowmobiles.
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\7\ Only about 3 percent of snowmobiles are rated below 50
horsepower.
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Nonroad Diesel Engines
The 2004 Consolidated Appropriations Act providing the specific
statutory direction for this rulemaking focuses on nonroad spark-
ignition engines. Nonroad diesel engines are therefore not included
within the scope of that Congressional mandate. However, we have gone
through several rulemakings to set standards for these engines under
the broader authority of Clean Air Act section 213. In particular, we
have divided nonroad diesel engines into three groups for setting
emission standards. We adopted a series of standards for locomotives on
April 16, 1998, including requirements to certify engines to emission
standards when they are rebuilt (63 FR 18978). We also adopted emission
standards for marine diesel engines over several different rulemakings,
as described in Table I-2. These included separate actions for engines
below 37 kW, engines installed in oceangoing vessels, engines installed
in commercial vessels involved in inland and coastal waterways, and
engines installed in recreational vessels. We recently adopted a new
round of more stringent emission standards for both locomotives and
marine diesel engines that will require widespread use of
aftertreatment technology (73 FR 37096, June 30, 2008).
Finally, all other nonroad diesel engines are grouped together for
EPA's emission standards. We have adopted multiple tiers of
increasingly stringent standards in three separate rulemakings, as
described in Table I-2. We most recently adopted Tier 4 standards based
on the use of ultra low-sulfur diesel fuel and the application of
exhaust aftertreatment technology (69 FR 38958, June 29, 2004).
D. Putting This Rule into Perspective
Most manufacturers that will be subject to this rulemaking are also
affected by regulatory developments in California and in other
countries. Each of these is described in more detail below.
State Initiatives
Clean Air Act section 209 prohibits California and other states
from setting emission standards for new motor vehicles and new motor
vehicle engines, but authorizes EPA to waive this prohibition for
California, in which case other states may adopt California's
standards. Similar preemption and waiver provisions apply for emission
standards for nonroad engines and vehicles, whether new or in-use.
However for new locomotives, new engines used in locomotives, and new
engines used in farm or construction equipment with maximum power below
130 kW, California and other states are preempted and there is no
provision for a waiver of preemption. In addition, in section 428 of
the 2004 Consolidated Appropriations Act, Congress further precluded
other states from adopting new California standards for nonroad spark-
ignition engines below 50 horsepower. In addition, the amendment
required that we specifically address the safety implications of any
California standards for these engines before approving a waiver of
federal preemption. We are codifying these preemption changes in this
rule.
The California Air Resources Board (California ARB) has adopted
requirements for five groups of nonroad engines: (1) Diesel- and Otto-
cycle small off-road engines rated under 19 kW; (2) spark-ignition
engines used for marine propulsion; (3) land-based nonroad recreational
engines, including those used in all-terrain vehicles, off-highway
motorcycles, go-carts, and other similar vehicles; (4) new nonroad
spark-ignition engines rated over 19 kW not used in recreational
applications; and (5) new land-based nonroad diesel engines rated over
130 kW. They have also approved a voluntary registration and control
program for existing portable equipment.
In the 1990s California ARB adopted Tier 1 and Tier 2 standards for
Small SI engines consistent with the federal requirements. In 2003,
they moved beyond the federal program by adopting exhaust
HC+NOX emission standards of 10 g/kW-hr for Class I engines
starting in the 2007 model year and 8 g/kW-hr for Class II engines
starting in the 2008 model year. In the same rule they adopted
evaporative emission standards for nonhandheld equipment, requiring
control of fuel tank permeation, fuel line permeation, diurnal
emissions, and running losses.
[[Page 59039]]
California ARB has adopted two tiers of exhaust emission standards
for outboard and personal watercraft engines beyond EPA's original
standards. The most recent standards, which apply starting in 2008,
require HC+NOX emission levels as low as 16 g/kW-hr. For
sterndrive and inboard engines, California ARB has adopted a 5 g/kW-hr
HC+NOX emission standard for 2008 and later model year
engines, with testing underway to confirm the feasibility of standards.
California ARB's marine programs include no standards for exhaust CO
emissions or evaporative emissions.
The California ARB emission standards for recreational vehicles
have a different form than the comparable EPA standards but are roughly
equivalent in stringency. The California standards include no standards
for controlling evaporative emissions. Another important difference
between the two programs is California ARB's reliance on a provision
allowing noncompliant vehicles to be used in certain areas that are
less environmentally sensitive as long as they have a specified red
sticker for identifying their lack of emission controls to prevent them
from operating in other areas.
California ARB in 1998 adopted requirements that apply to new
nonroad engines rated over 25 hp produced for California, with
standards phasing in from 2001 through 2004. Texas has adopted these
initial California ARB emission standards statewide starting in 2004.
More recently, California ARB adopted exhaust emission standards and
new evaporative emission standards for these engines, consistent with
EPA's 2007 model year standards. Their new requirements also included
an additional level of emission control for Large SI engines starting
with the 2010 model year. However, their 2010 standards do not increase
overall stringency beyond that reflected in the federal standards.
Rather, they aim to achieve reductions in HC+NOX emissions
by removing the flexibility incorporated into the federal standards
allowing manufacturers to have higher HC+NOX emissions by
certifying to a more stringent CO standard.
Actions in Other Countries
While the new emission standards will apply only to engines sold in
the United States, we are aware that manufacturers in many cases are
selling the same products into other countries. To the extent that we
have the same emission standards as other countries, manufacturers can
contribute to reducing air emissions without being burdened by the
costs associated with meeting differing or inconsistent regulatory
requirements. The following discussion describes our understanding of
the status of emission standards in countries outside the United
States.
Regulations for spark ignition engines in handheld and nonhandheld
equipment are included in the ``Directive 97/68/EC of the European
Parliament and of the Council of 16 December 1997 on the approximation
of the laws of the Member States relating to measures against the
emission of gaseous and particulate pollutants from internal combustion
engines to be installed in non-road mobile machinery (OJ L 59,
27.2.1998, p. 1)'', as amended by ``Directive 2002/88/EC of the
European Parliament and of the Council of 9 December 2002.'' The Stage
I emission standards are to be met by all handheld and nonhandheld
engines by 24 months after entry into force of the Directive (as noted
in a December 9, 2002 amendment to Directive 97/68/EC). The Stage I
emission standards are similar to the U.S. EPA's Phase 1 emission
standards for handheld and nonhandheld engines. The Stage II emission
standards are implemented over time for the various handheld and
nonhandheld engine classes from 2005 to 2009 with handheld engines at
or above 50 cc on August 1, 2008. The Stage II emission standards are
similar to EPA's Phase 2 emission standards for handheld and
nonhandheld engines. Six months after these dates Member States must
require that engines placed on the market meet the requirements of the
Directive, whether or not they are already installed in machinery.
The European Commission has adopted emission standards for
recreational marine engines, including both diesel and gasoline
engines. These requirements apply to all new engines sold in member
countries and began in 2006 for four-stroke engines and in 2007 for
two-stroke engines. Table I-3 presents the European standards for
diesel and gasoline recreational marine engines. The numerical emission
standards for NOX are based on the applicable standard from
MARPOL Annex VI for marine diesel engines (See Table I-3). The European
standards are roughly equivalent to the nonroad diesel Tier 1 emission
standards for HC and CO. Emission measurements under the European
standards rely on the ISO D2 duty cycle for constant-speed engines and
the ISO E5 duty cycle for other engines.
Table I-3: European Emission Standards for Recreational Marine Engines (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
Engine type HC NOX CO PM
----------------------------------------------------------------------------------------------------------------
Two-Stroke Spark-Ignition............. 30 + 100/P \0.75\....... 10.0 150 + 600/P............. --
Four-Stroke Spark-Ignition............ 6 + 50/P \0.75\......... 15.0 150 + 600/P............. --
Compression-Ignition.................. 1.5 + 2/P \0.5\......... 9.8 5.0..................... 1.0
----------------------------------------------------------------------------------------------------------------
Note: P = rated power in kilowatts (kW).
E. What Requirements Are We Adopting?
EPA's emission control provisions require engine, vessel and
equipment manufacturers to design and produce their products to meet
the emission standards we adopt. To ensure that engines and fuel
systems meet the expected level of emission control, we also require
compliance with a variety of additional requirements, such as
certification, labeling engines, and meeting warranty requirements. The
following sections provide a brief summary of the new requirements in
this rulemaking. See the later sections for a full discussion of the
rule.
Marine SI Engines and Vessels
We are adopting a more stringent level of emission standards for
outboard and personal watercraft engines starting with the 2010 model
year. The HC+NOX emission standards are the same as those
adopted by California ARB for 2008 and later model year engines. The CO
emission standard is 300 g/kW-hr for engines with maximum engine power
above 40 kW; the standard increases as a function of maximum engine
power for smaller engines. We expect manufacturers to meet these
standards with improved fueling systems and other in-cylinder controls.
We are not pursuing catalyst-based emission standards for outboard and
personal watercraft engines. As discussed below, the application of
[[Page 59040]]
catalyst-based standards to the marine environment creates special
technology challenges that must be addressed. Unlike the sterndrive/
inboard engines discussed in the next paragraph, outboard and personal
watercraft engines are not built from automotive engine blocks and it
is not straightforward to apply the fundamental engine modifications,
fuel system upgrades, and other engine control modifications needed to
get acceptable catalyst performance. This rule is an appropriate next
step in the evolution of technology-based standards for outboard and
personal watercraft engines as they are likely to lead to the
elimination of carbureted two-stroke engines in favor of four-stroke
engines or direct-injection two-stroke engines and to encourage the
fuel system upgrades and related engine modifications needed to achieve
the required reductions and to potentially set the stage for more
stringent controls in the future.
We are adopting new exhaust emission standards for sterndrive and
inboard marine engines. The standards are 5.0 g/kW-hr for
HC+NOX and 75.0 g/kW-hr for CO starting with the 2010 model
year. We expect manufacturers to meet these standards with three-way
catalysts and closed-loop fuel injection. To ensure proper functioning
of these emission control systems in use, we will require engines to
have a diagnostic system for detecting a failure in the emission
control system. For sterndrive and inboard marine engines above 373 kW
with high-performance characteristics (generally referred to as ``SD/I
high-performance engines''), we are adopting less stringent emission
standards that reflect their limited ability to control emissions with
catalysts. The HC+NOX standard is 16 g/kW-hr in for engines
at or below 485 kW and 22 g/kW-hr for bigger engines. The CO standard
for all SD/I high-performance engines is 350 g/kW-hr. Manufacturers of
these engines must meet emission standards without generating or using
emission credits. We also include a variety of other special provisions
for these engines to reflect unique operating characteristics.
The emission standards described above relate to engine operation
over a prescribed duty cycle for testing in the laboratory. We are also
adopting not-to-exceed (NTE) standards that establish emission limits
when engines operate under normal speed-load combinations that are not
included in the duty cycles for the other engine standards (the NTE
standards do not apply to SD/I high-performance engines).
We are adopting new standards to control evaporative emissions for
all Marine SI vessels. The new standards include requirements to
control fuel tank permeation, fuel line permeation, and diurnal
emissions, including provisions to ensure that refueling emissions do
not increase.
We are including these new regulations for Marine SI engines in 40
CFR part 1045 rather than in the current regulations in 40 CFR part 91.
This new part allows us to improve the clarity of regulatory
requirements and update our regulatory compliance program to be
consistent with the provisions we have recently adopted for other
nonroad programs. We are also making a variety of changes to 40 CFR
part 91 to make minor adjustments to the current regulations and to
prepare for the transition to 40 CFR part 1045.
Small SI Engines and Equipment
We are adopting HC+NOX exhaust emission standards of
10.0 g/kW-hr for Class I engines starting in the 2012 model year and
8.0 g/kW-hr for Class II engines starting in the 2011 model year. For
both classes of nonhandheld engines, we are maintaining the existing CO
standard of 610 g/kW-hr. We expect manufacturers to meet these
standards by improving engine combustion and adding catalysts. These
standards are consistent with the requirements recently adopted by
California ARB.
For spark-ignition engines used in marine generators, we are
adopting a more stringent Phase 3 CO emission standard of 5.0 g/kW-hr.
This applies equally to all sizes of engines subject to the Small SI
standards.
We are adopting new evaporative emission standards for both
handheld and nonhandheld engines. The new standards include
requirements to control permeation from fuel tanks and fuel lines. For
nonhandheld engines we will also require control of running loss
emissions.
We are drafting the new regulations for Small SI engines from 40
CFR part 90 rather than changing the current regulations in 40 CFR part
90. This new part will allow us to improve the clarity of regulatory
requirements and update our regulatory compliance program to be
consistent with the provisions we have recently adopted for other
nonroad programs.
F. How Is This Document Organized?
Many readers may be interested only in certain aspects of the rule
since it covers a broad range of engines and equipment that vary in
design and use. We have therefore attempted to organize this
information in a way that allows each reader to focus on the material
of particular interest. The Air Quality discussion in Section II,
however, is general in nature and applies to all the categories subject
to the rule.
The next several sections describe the provisions that apply for
Small SI engines and equipment and Marine SI engines and vessels.
Sections III through V describe the new requirements related to exhaust
emission standards for each of the affected engine categories,
including standards, effective dates, testing information, and other
specific requirements. Section VI details the new requirements related
to evaporative emissions for all categories. Section VII discusses how
we took energy, noise, and safety factors into consideration for the
new standards.
Section VIII describes a variety of provisions that affect other
categories of engines besides those that are the primary subject of
this rule. This includes the following changes:
We are reorganizing the regulatory language related to
preemption of state standards and to clarify certain provisions.
We are incorporating new provisions related to
certification fees for newly regulated products covered by this rule.
This involves some restructuring of the regulatory language. We are
also adopting various technical amendments, such as identifying an
additional payment method, that apply broadly to our certification
programs.
We are modifying 40 CFR part 1068 to clarify when engines
are subject to standards. This includes several new provisions to
address special cases for partially complete engines.
We are also modifying part 1068 to clarify how the
provisions apply with respect to evaporative emission standards and we
are adopting various technical amendments. These changes apply to all
types of nonroad engines that are subject to the provisions of part
1068.
We are adopting several technical amendments for other
categories of nonroad engines and vehicles, largely to maintain
consistency across programs for different categories of engines and
vehicles.
We are amending provisions related to delegated assembly.
The new approach is to adopt a universal set of requirements in Sec.
1068.261 that applies uniformly to heavy-duty highway engines and
nonroad engines.
We are clarifying that the new exhaust and evaporative
emission standards for Small SI engines also apply to the comparable
stationary engines.
[[Page 59041]]
Section IX summarizes the projected impacts and benefits of this
rule. Finally, Sections X and XI summarize the primary public comments
received and describe how we satisfy our various administrative
requirements.
G. Judicial Review
Under section 307(b)(1) of the Clean Air Act (CAA), judicial review
of these final rules is available only by filing a petition for review
in the U.S. Court of Appeals for the District of Columbia Circuit by
December 8, 2008. Under section 307(b)(2) of the CAA, the requirements
established by these final rules may not be challenged separately in
any civil or criminal proceedings brought by EPA to enforce these
requirements.
Section 307(d)(7)(B) of the CAA further provides that ``[o]nly an
objection to a rule or procedure which was raised with reasonable
specificity during the period for public comment (including any public
hearing) may be raised during judicial review.'' This section also
provides a mechanism for us to convene a proceeding for
reconsideration, ``[i]f the person raising an objection can demonstrate
to the EPA that it was impracticable to raise such objection within
[the period for public comment] or if the grounds for such objection
arose after the period for public comment (but within the time
specified for judicial review) and if such objection is of central
relevance to the outcome of the rule.'' Any person seeking to make such
a demonstration to us should submit a Petition for Reconsideration to
the Office of the Administrator, U.S. EPA, Room 3000, Ariel Rios
Building, 1200 Pennsylvania Ave., NW., Washington, DC 20460, with a
copy to both the person(s) listed in the preceding FOR FURTHER
INFORMATION CONTACT section and the Associate General Counsel for the
Air and Radiation Law Office, Office of General Counsel (Mail Code
2344A), U.S. EPA, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
II. Public Health and Welfare Effects
The engines and fuel systems subject to this rule generate
emissions of hydrocarbons (HC), nitrogen oxides (NOX), particulate
matter (PM) and carbon monoxide (CO) that contribute to nonattainment
of the National Ambient Air Quality Standards (NAAQS) for ozone, PM and
CO. These engines and fuel systems also emit hazardous air pollutants
(air toxics) that are associated with a host of adverse health effects.
Emissions from these engines and fuel systems also contribute to
visibility impairment and other welfare and environmental effects.
This section summarizes the general health and welfare effects of
these emissions. Interested readers are encouraged to refer to the
Final RIA for more in-depth discussions.
A. Public Health Impacts
Ozone
The Small SI engine and Marine SI engine standards finalized in
this action will result in reductions of volatile organic compounds
(VOC), of which HC are a subset, and NOX emissions. VOC and NOX
contribute to the formation of ground-level ozone pollution or smog.
People in many areas across the U.S. continue to be exposed to
unhealthy levels of ambient ozone.
Background
Ground-level ozone pollution is typically formed by the reaction of
VOC and NOX in the lower atmosphere in the presence of heat and
sunlight. These pollutants, often referred to as ozone precursors, are
emitted by many types of pollution sources, such as highway and nonroad
motor vehicles and engines, power plants, chemical plants, refineries,
makers of consumer and commercial products, industrial facilities, and
smaller area sources.
The science of ozone formation, transport, and accumulation is
complex.\8\ Ground-level ozone is produced and destroyed in a cyclical
set of chemical reactions, many of which are sensitive to temperature
and sunlight. When ambient temperatures and sunlight levels remain high
for several days and the air is relatively stagnant, ozone and its
precursors can build up and result in more ozone than typically occurs
on a single high-temperature day. Ozone can be transported hundreds of
miles downwind of precursor emissions, resulting in elevated ozone
levels even in areas with low local VOC or NOX emissions.
---------------------------------------------------------------------------
\8\ U.S. EPA Air Quality Criteria for Ozone and Related
Photochemical Oxidants (Final). U.S. Environmental Protection
Agency, Washington, D.C., EPA 600/R-05/004aF-cF, 2006. This document
is available in Docket EPA-HQ-OAR-2003-0190. This document may be
accessed electronically at: http://www.epa.gov/ttn/naaqs/standards/ozone/s_o3_cr_cd.html.
---------------------------------------------------------------------------
EPA has recently amended the ozone NAAQS (73 FR 16436, March 27,
2008). The final ozone NAAQS rule addresses revisions to the primary
and secondary NAAQS for ozone to provide increased protection of public
health and welfare, respectively. With regard to the primary standard
for ozone, EPA has revised the level of the 8-hour standard to 0.075
parts per million (ppm), expressed to three decimal places. With regard
to the secondary standard for ozone, EPA has revised the current 8-hour
standard by making it identical to the revised primary standard.
Health Effects of Ozone
The health and welfare effects of ozone are well documented and are
assessed in EPA's 2006 ozone Air Quality Criteria Document (ozone AQCD)
and EPA Staff Paper.9, 10 Ozone can irritate the respiratory
system, causing coughing, throat irritation, and/or uncomfortable
sensation in the chest. Ozone can reduce lung function and make it more
difficult to breathe deeply; breathing may also become more rapid and
shallow than normal, thereby limiting a person's activity. Ozone can
also aggravate asthma, leading to more asthma attacks that require
medical attention and/or the use of additional medication. In addition,
there is suggestive evidence of a contribution of ozone to
cardiovascular-related morbidity and highly suggestive evidence that
short-term ozone exposure directly or indirectly contributes to non-
accidental and cardiopulmonary-related mortality, but additional
research is needed to clarify the underlying mechanisms causing these
effects. In a recent report on the estimation of ozone-related
premature mortality published by the National Research Council (NRC), a
panel of experts and reviewers concluded that short-term exposure to
ambient ozone is likely to contribute to premature deaths and that
ozone-related mortality should be included in estimates of the health
benefits of reducing ozone exposure.\11\ Animal toxicological evidence
indicates that with repeated exposure, ozone can inflame and damage the
lining of the lungs, which may lead to permanent changes in lung tissue
and irreversible reductions in lung function. People who are more
susceptible to effects
[[Page 59042]]
associated with exposure to ozone can include children, the elderly,
and individuals with respiratory disease such as asthma. Those with
greater exposures to ozone, for instance due to time spent outdoors
(e.g., children and outdoor workers), are also of particular concern.
---------------------------------------------------------------------------
\9\ U.S. EPA Air Quality Criteria for Ozone and Related
Photochemical Oxidants (Final). U.S. Environmental Protection
Agency, Washington, DC., EPA 600/R-05/004aF-cF, 2006. This document
is available in Docket EPA-HQ-OAR-2003-0190. This document may be
accessed electronically at: http://www.epa.gov/ttn/naaqs/standards/ozone/s_o3_cr_cd.html.
\10\ U.S. EPA (2007) Review of the National Ambient Air Quality
Standards for Ozone, Policy Assessment of Scientific and Technical
Information. OAQPS Staff Paper.EPA-452/R-07-003. This document is
available in Docket EPA-HQ-OAR-2003-0190. This document is available
electronically at: http:www.epa.gov/ttn/naaqs/standards/ozone/s_o3_cr_sp.html.
\11\ National Research Council (NRC), 2008. Estimating Mortality
Risk Reduction and Economic Benefits from Controlling Ozone Air
Pollution. The National Academies Press: Washington, DC.
---------------------------------------------------------------------------
The recent ozone AQCD also examined relevant new scientific
information that has emerged in the past decade, including the impact
of ozone exposure on such health effects as changes in lung structure
and biochemistry, inflammation of the lungs, exacerbation and causation
of asthma, respiratory illness-related school absence, hospital
admissions and premature mortality. Animal toxicological studies have
suggested potential interactions between ozone and PM with increased
responses observed to mixtures of the two pollutants compared to either
ozone or PM alone. The respiratory morbidity observed in animal studies
along with the evidence from epidemiologic studies supports a causal
relationship between acute ambient ozone exposures and increased
respiratory-related emergency room visits and hospitalizations in the
warm season. In addition, there is suggestive evidence of a
contribution of ozone to cardiovascular-related morbidity and non-
accidental and cardiopulmonary mortality.
Plant and Ecosystem Effects of Ozone
Elevated ozone levels contribute to environmental effects, with
impacts to plants and ecosystems being of most concern. Ozone can
produce both acute and chronic injury in sensitive species depending on
the concentration level and the duration of the exposure. Ozone effects
also tend to accumulate over the growing season of the plant, so that
even low concentrations experienced for a longer duration have the
potential to create chronic stress on vegetation. Ozone damage to
plants includes visible injury to leaves and a reduction in food
production through impaired photosynthesis, both of which can lead to
reduced crop yields, forestry production, and use of sensitive
ornamentals in landscaping. In addition, the reduced food production in
plants and subsequent reduced root growth and storage below ground, can
result in other, more subtle plant and ecosystems impacts. These
include increased susceptibility of plants to insect attack, disease,
harsh weather, interspecies competition and overall decreased plant
vigor. The adverse effects of ozone on forest and other natural
vegetation can potentially lead to species shifts and loss from the
affected ecosystems, resulting in a loss or reduction in associated
ecosystem goods and services. Lastly, visible ozone injury to leaves
can result in a loss of aesthetic value in areas of special scenic
significance like national parks and wilderness areas. The final 2006
Criteria Document presents more detailed information on ozone effects
on vegetation and ecosystems.
Current and Projected Ozone Levels
Ozone concentrations exceeding the level of the 1997 8-hour ozone
NAAQS occur over wide geographic areas, including most of the nation's
major population centers.\12\ As of March 12, 2008, there were
approximately 140 million people living in 72 areas (which include all
or part of 337 counties) designated as not in attainment with the 1997
8-hour ozone NAAQS.\13\ These numbers do not include the people living
in areas where there is a future risk of failing to maintain or attain
the 8-hour ozone NAAQS. The 1997 ozone NAAQS was recently revised and
the 2008 ozone NAAQS was final on March 12, 2008. Table II-1 presents
the number of counties in areas currently designated as nonattainment
for the 1997 ozone NAAQS as well as the number of additional counties
that have design values greater than the 2008 ozone NAAQS.
---------------------------------------------------------------------------
\12\ A listing of the 8-hour ozone nonattainment areas is
included in the RIA for this rule.
\13\ Population numbers are from 2000 census data.
Table II-1--Counties With Design Values Greater Than the 2008 Ozone
NAAQS Based on 2004-2006 Air Quality Data
------------------------------------------------------------------------
Number of
Counties Population \a\
------------------------------------------------------------------------
1997 Ozone Standard: Counties 337 139,633,458
within the 72 areas currently
designated as nonattainment........
2008 Ozone Standard: Additional 74 15,984,135
counties that would not meet the
2008 NAAQS \b\.....................
-----------------------------------
Total........................... 411 155,617,593
------------------------------------------------------------------------
Notes:
\a\ Population numbers are from 2000 census data.
\b\ Attainment designations for 2008 ozone NAAQS have not yet been made.
Nonattainment for the 2008 Ozone NAAQS will be based on three years of
air quality data from later years. Also, the county numbers in the
table include only the counties with monitors violating the 2008 Ozone
NAAQS. The numbers in this table may be an underestimate of the number
of counties and populations that will eventually be included in areas
with multiple counties designated nonattainment.
States with 8-hour ozone nonattainment areas are required to take
action to bring those areas into compliance in the future. Based on the
final rule designating and classifying 8-hour ozone nonattainment areas
(69 FR 23951, April 30, 2004), most 8-hour ozone nonattainment areas
will be required to attain the 1997 ozone NAAQS in the 2007 to 2013
time frame and then maintain the NAAQS thereafter.\14\ Many of these
nonattainment areas will need to adopt additional emission reduction
programs and the VOC and NOX reductions from this final action are
particularly important for these states. The attainment dates
associated with the potential new 2008 ozone nonattainment areas are
likely to be in the 2013 to 2021 timeframe, depending on the severity
of the problem.
---------------------------------------------------------------------------
\14\ The Los Angeles South Coast Air Basin 8-hour ozone
nonattainment area will have to attain before June 15, 2021.
---------------------------------------------------------------------------
EPA has already adopted many emission control programs that are
expected to reduce ambient ozone levels. Some of these control programs
are described in Section I.C.1. As a result of existing programs, the
number of areas that fail to meet the ozone NAAQS in the future is
expected to decrease. Based on the air quality modeling performed for
this rule, which does not include any additional local controls, we
estimate eight counties (where 22 million people are projected to live)
will exceed the 1997 8-hour
[[Page 59043]]
ozone NAAQS in 2020.\15\ An additional 37 counties (where 27 million
people are projected to live) are expected to be within 10 percent of
violating the 1997 8-hour ozone NAAQS in 2020.
---------------------------------------------------------------------------
\15\ We expect many of the 8-hour ozone nonattainment areas to
adopt additional emission reduction programs but we are unable to
quantify or rely upon future reductions from additional state and
local programs that have not yet been adopted.
---------------------------------------------------------------------------
Results from the air quality modeling conducted for this final rule
indicate that the Small SI and Marine SI engine emission reductions in
2020 and 2030 will improve both the average and population-weighted
average ozone concentrations for the U.S. In addition, the air quality
modeling shows that on average this final rule will help bring counties
closer to ozone attainment as well as assist counties whose ozone
concentrations are within ten percent below the standard. For example,
on a population-weighted basis, the average modeled future-year 8-hour
ozone design values will decrease by 0.57 ppb in 2020 and 0.76 ppb in
2030.\16\ The air quality modeling methodology and the projected
reductions are discussed in more detail in Chapter 2 of the RIA.
---------------------------------------------------------------------------
\16\ Ozone design values are reported in parts per million (ppm)
as specified in 40 CFR Part 50. Due to the scale of the design value
changes in this action, results have been presented in parts per
billion (ppb) format.
---------------------------------------------------------------------------
Particulate Matter
The Small SI engine and Marine SI engine standards detailed in this
action will result in reductions in emissions of VOCs and NOX which
contribute to the formation of secondary PM2.5. In addition,
the standards finalized today will reduce primary (directly emitted)
PM2.5 emissions.
Background
PM represents a broad class of chemically and physically diverse
substances. It can be principally characterized as discrete particles
that exist in the condensed (liquid or solid) phase spanning several
orders of magnitude in size. PM is further described by breaking it
down into size fractions. PM10 refers to particles generally
less than or equal to 10 micrometers (m) in aerodynamic diameter.
PM2.5 refers to fine particles, generally less than or equal
to 2.5 in aerodynamic diameter. Inhalable (or ``thoracic'') coarse
particles refer to those particles generally greater than 2.5 [mu]m but
less than or equal to 10 [mu]m in aerodynamic diameter. Ultrafine PM
refers to particles less than 100 nanometers (0.1 [mu]m) in aerodynamic
diameter. Larger particles tend to be removed by the respiratory
clearance mechanisms (e.g. coughing), whereas smaller particles are
deposited deeper in the lungs.
Fine particles are produced primarily by combustion processes and
by transformations of gaseous emissions (e.g., SOX, NOX and VOC) in the
atmosphere. The chemical and physical properties of PM2.5 may vary
greatly with time, region, meteorology, and source category. Thus,
PM2.5 may include a complex mixture of different pollutants including
sulfates, nitrates, organic compounds, elemental carbon and metal
compounds. These particles can remain in the atmosphere for days to
weeks and travel hundreds to thousands of kilometers.
The primary PM2.5 NAAQS includes a short-term (24-hour) and a long-
term (annual) standard. The 1997 PM2.5 NAAQS established by EPA set the
24-hour standard at a level of 65[mu]g/m\3\ based on the 98th
percentile concentration averaged over three years. The annual standard
specifies an expected annual arithmetic mean not to exceed 15[mu]g/m\3\
averaged over three years.
In 2006, EPA amended the NAAQS for PM2.5 (71 FR 61144, October 17,
2006). The final rule addressed revisions to the primary and secondary
NAAQS for PM to provide increased protection of public health and
welfare, respectively. The level of the 24-hour PM2.5 NAAQS was revised
from 65[mu]g/m\3\ to 35 [mu]g/m\3\ and the level of the annual PM2.5
NAAQS was retained at 15[mu]g/m\3\. With regard to the secondary
standards for PM2.5, EPA has revised these standards to be identical in
all respects to the revised primary standards.
Health Effects of PM2.5
Scientific studies show ambient PM is associated with a series of
adverse health effects. These health effects are discussed in detail in
the 2004 EPA Particulate Matter Air Quality Criteria Document (PM
AQCD), and the 2005 PM Staff Paper.17 18 Further discussion
of health effects associated with PM can also be found in the RIA for
this rule.
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\17\ U.S. EPA (2004) Air Quality Criteria for Particulate Matter
(Oct 2004), Volume I Document No. EPA600/P-99/002aF and Volume II
Document No. EPA600/P-99/002bF. This document is available in Docket
EPA-HQ-OAR-2003-0190.
\18\ U.S. EPA (2005) Review of the National Ambient Air Quality
Standard for Particulate Matter: Policy Assessment of Scientific and
Technical Information, OAQPS Staff Paper. EPA-452/R-05-005. This
document is available in Docket EPA-HQ-OAR-2003-0190.
---------------------------------------------------------------------------
Health effects associated with short-term exposures (hours to days)
to ambient PM include premature mortality, increased hospital
admissions, heart and lung diseases, increased cough, adverse lower-
respiratory symptoms, decrements in lung function and changes in heart
rate rhythm and other cardiac effects. Studies examining populations
exposed to different levels of air pollution over a number of years,
including the Harvard Six Cities Study and the American Cancer Society
Study, show associations between long-term exposure to ambient PM2.5
and both total and cardiovascular and respiratory mortality.\19\ In
addition, a reanalysis of the American Cancer Society Study shows an
association between fine particle and sulfate concentrations and lung
cancer mortality.\20\
---------------------------------------------------------------------------
\19\ Dockery, DW; Pope, CA III: Xu, X; et al. 1993. An
association between air pollution and mortality in six U.S. cities.
N Engl J Med 329:1753-1759.
\20\ Pope, C. A., III; Burnett, R. T.; Thun, M. J.; Calle, E.
E.; Krewski, D.; Ito, K.; Thurston, G. D. (2002) Lung cancer,
cardiopulmonary mortality, and long-term exposure to fine
particulate air pollution. J. Am. Med. Assoc. 287:1132-1141.
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Recently, several studies have highlighted the adverse effects of
PM specifically from mobile sources.21 22 Studies have also
focused on health effects due to PM exposures on or near roadways.\23\
Although these studies include all air pollution sources, including
both spark-ignition (gasoline) and diesel powered vehicles, they
indicate that exposure to PM emissions near roadways, thus dominated by
mobile sources, are associated with health effects. The controls
finalized in this action may help to reduce exposures, and specifically
exposures near the source, to mobile source related PM2.5.
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\21\ Laden, F.; Neas, L.M.; Dockery, D.W.; Schwartz, J. (2000)
Association of Fine Particulate Matter from Different Sources with
Daily Mortality in Six U.S. Cities. Environmental Health
Perspectives 108: 941-947.
\22\ Janssen, N.A.H.; Schwartz, J.; Zanobetti, A.; Suh, H.H.
(2002) Air Conditioning and Source-Specific Particles as Modifiers
of the Effect of PM10 on Hospital Admissions for Heart
and Lung Disease. Environmental Health Perspectives 110: 43-49.
\23\ Riediker, M.; Cascio, W.E.; Griggs, T.R..; Herbst, M.C.;
Bromberg, P.A.; Neas, L.; Williams, R.W.; Devlin, R.B. (2003)
Particulate Matter Exposures in Cars is Associated with
Cardiovascular Effects in Healthy Young Men. Am. J. Respir. Crit.
Care Med. 169: 934-940.
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Visibility
Visibility can be defined as the degree to which the atmosphere is
transparent to visible light. Airborne particles degrade visibility by
scattering and absorbing light. Visibility is important because it has
direct significance to people's enjoyment of daily activities in all
parts of the country. Individuals value good visibility for the well-
being it provides them directly, where they live and work and in places
where they enjoy recreational opportunities.
[[Page 59044]]
Visibility is also highly valued in significant natural areas such as
national parks and wilderness areas and special emphasis is given to
protecting visibility in these areas. For more information on
visibility, see the final 2004 PM AQCD as well as the 2005 PM Staff
Paper.24 25
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\24\ U.S. EPA (2004) Air Quality Criteria for Particulate Matter
(Oct 2004), Volume I Document No. EPA600/P-99/002aF and Volume II
Document No. EPA600/P-99/002bF. This document is available in Docket
EPA-HQ-OAR-2003-0190.
\25\ U.S. EPA (2005) Review of the National Ambient Air Quality
Standard for Particulate Matter: Policy Assessment of Scientific and
Technical Information, OAQPS Staff Paper. EPA-452/R-05-005. This
document is available in Docket EPA-HQ-OAR-2003-0190.
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EPA is pursuing a two-part strategy to address visibility. First,
to address the welfare effects of PM on visibility, EPA has set
secondary PM2.5 standards which act in conjunction with the
establishment of a regional haze program. In setting this secondary
standard, EPA has concluded that PM2.5 causes adverse effects on
visibility in various locations, depending on PM concentrations and
factors such as chemical composition and average relative humidity.
Second, section 169 of the Clean Air Act provides additional authority
to address existing visibility impairment and prevent future visibility
impairment in the 156 national parks, forests and wilderness areas
categorized as mandatory class I federal areas (62 FR 38680-81, July
18, 1997).\26\ In July 1999, the regional haze rule (64 FR 35714) was
put in place to protect the visibility in mandatory class I federal
areas. Visibility can be said to be impaired in both PM2.5
nonattainment areas and mandatory class I federal areas.
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\26\ These areas are defined in section 162 of the Act as those
national parks exceeding 6,000 acres, wilderness areas and memorial
parks exceeding 5,000 acres, and all international parks which were
in existence on August 7, 1977.
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Current Visibility Impairment
As of March 12, 2008, over 88 million people live in nonattainment
areas for the 1997 PM2.5 NAAQS.\27\ These populations, as well as large
numbers of individuals who travel to these areas, are likely to
experience visibility impairment. In addition, while visibility trends
have improved in mandatory class I federal areas the most recent data
show that these areas continue to suffer from visibility
impairment.\28\ In summary, visibility impairment is experienced
throughout the U.S., in multi-state regions, urban areas, and remote
mandatory class I federal areas.29 30
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\27\ Population numbers are from 2000 census data.
\28\ U.S. EPA (2002) Latest Findings on National Air Quality--
2002 Status and Trends. EPA 454/K-03-001.
\29\ U.S. EPA, Air Quality Designations and Classifications for
the Fine Particles (PM2.5) National Ambient Air Quality
Standards, December 17, 2004. (70 FR 943, Jan 5. 2005) This document
is also available on the web at: http://www.epa.gov/pmdesignations/
\30\ U.S. EPA. Regional Haze Regulations, July 1, 1999. (64 FR
35714, July 1, 1999).
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Future Visibility Impairment
Air quality modeling conducted for this final rule was used to
project visibility conditions in 133 mandatory class I federal areas
across the U.S. in 2020 and 2030. The results indicate that
improvements in visibility will occur in the future, although all areas
will continue to have annual average deciview levels above background
in 2020 and 2030. Chapter 2 of the RIA contains more detail on the
visibility portion of the air quality modeling.
Atmospheric Deposition
Wet and dry deposition of ambient particulate matter delivers a
complex mixture of metals (e.g., mercury, zinc, lead, nickel, aluminum,
cadmium), organic compounds (e.g., POM, dioxins, furans) and inorganic
compounds (e.g., nitrate, sulfate) to terrestrial and aquatic
ecosystems. The chemical form of the compounds deposited is impacted by
a variety of factors including ambient conditions (e.g., temperature,
humidity, oxidant levels) and the sources of the material. Chemical and
physical transformations of the particulate compounds occur in the
atmosphere as well as the media onto which they deposit. These
transformations in turn influence the fate, bioavailability and
potential toxicity of these compounds. Atmospheric deposition has been
identified as a key component of the environmental and human health
hazard posed by several pollutants including mercury, dioxin and
PCBs.\31\
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\31\ U.S. EPA (2000) Deposition of Air Pollutants to the Great
Waters: Third Report to Congress. Office of Air Quality Planning and
Standards. EPA-453/R-00-0005. This document is available in Docket
EPA-HQ-OAR-2003-0190.
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Adverse impacts on water quality can occur when atmospheric
contaminants deposit to the water surface or when material deposited on
the land enters a water body through runoff. Potential impacts of
atmospheric deposition to water bodies include those related to both
nutrient and toxic inputs. Adverse effects to human health and welfare
can occur from the addition of excess particulate nitrate nutrient
enrichment, which contributes to toxic algae blooms and zones of
depleted oxygen, which can lead to fish kills, frequently in coastal
waters. Particles contaminated with heavy metals or other toxins may
lead to the ingestion of contaminated fish, ingestion of contaminated
water, damage to the marine ecology, and limited recreational uses.
Several studies have been conducted in U.S. coastal waters and in the
Great Lakes Region in which the role of ambient PM deposition and
runoff is investigated.32 33 34 35 36
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\32\ U.S. EPA (2004) National Coastal Condition Report II.
Office of Research and Development/ Office of Water. EPA-620/R-03/
002. This document is available in Docket EPA-HQ-OAR-2003-0190.
\33\ Gao, Y., E.D. Nelson, M.P. Field, et al. 2002.
Characterization of atmospheric trace elements on PM2.5
particulate matter over the New York-New Jersey harbor estuary.
Atmos. Environ. 36: 1077-1086.
\34\ Kim, G., N. Hussain, J.R. Scudlark, and T.M. Church. 2000.
Factors influencing the atmospheric depositional fluxes of stable
Pb, 210Pb, and 7Be into Chesapeake Bay. J. Atmos. Chem. 36: 65-79.
\35\ Lu, R., R.P. Turco, K. Stolzenbach, et al. 2003. Dry
deposition of airborne trace metals on the Los Angeles Basin and
adjacent coastal waters. J. Geophys. Res. 108(D2, 4074): AAC 11-1 to
11-24.
\36\ Marvin, C.H., M.N. Charlton, E.J. Reiner, et al. 2002.
Surficial sediment contamination in Lakes Erie and Ontario: A
comparative analysis. J. Great Lakes Res. 28(3): 437-450.
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Adverse impacts on soil chemistry and plant life have been observed
for areas heavily impacted by atmospheric deposition of nutrients,
metals and acid species, resulting in species shifts, loss of
biodiversity, forest decline and damage to forest productivity.
Potential impacts also include adverse effects to human health through
ingestion of contaminated vegetation or livestock (as in the case for
dioxin deposition), reduction in crop yield, and limited use of land
due to contamination.
Materials Damage and Soiling
The deposition of airborne particles can reduce the aesthetic
appeal of buildings and culturally important articles through soiling,
and can contribute directly (or in conjunction with other pollutants)
to structural damage by means of corrosion or erosion.\37\ Particles
affect materials principally by promoting and accelerating the
corrosion of metals, by degrading paints, and by deteriorating building
materials such as concrete and limestone. Particles contribute to these
effects because of their electrolytic, hygroscopic, and acidic
properties, and their ability to adsorb corrosive gases (principally
sulfur dioxide). The rate of metal corrosion depends on a number of
factors, including the deposition rate and nature of the pollutant; the
influence of the metal protective
[[Page 59045]]
corrosion film; the amount of moisture present; variability in the
electrochemical reactions; the presence and concentration of other
surface electrolytes; and the orientation of the metal surface.
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\37\ U.S EPA (2005) Review of the National Ambient Air Quality
Standards for Particulate Matter: Policy Assessment of Scientific
and Technical Information, OAQPS Staff Paper. This document is
available in Docket EPA-HQ-OAR-2003-0190.
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Current and Projected PM2.5 Levels
PM2.5 concentrations exceeding the level of the
PM2.5 NAAQS occur in many parts of the country.\38\ In 2005
EPA designated 39 nonattainment areas for the 1997 PM2.5
NAAQS (70 FR 943, January 5, 2005). These areas are comprised of 208
full or partial counties with a total population exceeding 88 million.
The 1997 PM2.5 NAAQS was revised and the 2006
PM2.5 NAAQS became effective on December 18, 2006. Table II-
2 presents the number of counties in areas currently designated as
nonattainment for the 1997 PM2.5 NAAQS as well as the number
of additional counties that have design values greater than the 2006
PM2.5 NAAQS.
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\38\ A listing of the PM2.5 nonattainment areas is
included in the RIA for this rule.
Table II-2--Counties With Design Values Greater Than the 2006 PM2.5
NAAQS Based on 2003-2005 Air Quality Data
------------------------------------------------------------------------
Nonattainment areas/other violating Number of
counties counties Population a
------------------------------------------------------------------------
1997 PM2.5 Standards: Counties 208 88,394,000
within the 39 areas currently
designated as nonattainment........
2006 PM2.5 Standards: Additional 49 18,198,676
counties that would not meet the
2006 NAAQS b.......................
-----------------------------------
Total........................... 257 106,595,676
------------------------------------------------------------------------
Notes:
a Population numbers are from 2000 census data.
b Attainment designations for 2006 PM2.5 NAAQS have not yet been made.
Nonattainment for the 2006 PM2.5 NAAQS will be based on 3 years of air
quality data from later years. Also, the county numbers in the table
includes only the counties with monitors violating the 2006 PM2.5
NAAQS. The numbers in this table may be an underestimate of the number
of counties and populations that will eventually be included in areas
with multiple counties designated nonattainment.
Areas designated as not attaining the 1997 PM2.5 NAAQS
will need to attain the 1997 standards in the 2010 to 2015 time frame,
and then maintain them thereafter. The attainment dates associated with
the potential new 2006 PM2.5 nonattainment areas are likely
to be in the 2014 to 2019 timeframe. The emission standards finalized
in this action become effective as early as 2009 making the inventory
reductions from this rulemaking useful to states in attaining or
maintaining the PM2.5 NAAQS.
EPA has already adopted many emission control programs that are
expected to reduce ambient PM2.5 levels and which will
assist in reducing the number of areas that fail to achieve the
PM2.5 NAAQS. Even so, our air quality modeling for this
final rule projects that in 2020, with all current controls but
excluding the reductions achieved through this rule, up to 11 counties
with a population of over 24 million may not attain the current annual
PM2.5 standard of 15 [mu]g/m3. These numbers do
not account for additional areas that have air quality measurements
within 10 percent of the annual PM2.5 standard. These areas,
although not violating the standards, will also benefit from the
additional reductions from this rule ensuring long term maintenance of
the PM2.5 NAAQS.
Air quality modeling performed for this final rule shows the
emissions reductions will improve both the average and population-
weighted average PM2.5 concentrations for the U.S. On a
population-weighted basis, the average modeled future-year annual
PM2.5 design value (DV) for all counties is expected to
decrease by 0.02 [mu]g/m3 in 2020 and 2030. There are areas
with larger decreases in their future-year annual PM2.5 DV,
for instance the Chicago region will experience a 0.08 [mu] g/m\3\
reduction by 2030. The air quality modeling methodology and the
projected reductions are discussed in more detail in Chapter 2 of the
RIA.
B. Air Toxics
Small SI and Marine SI emissions also contribute to ambient levels
of air toxics known or suspected as human or animal carcinogens, or
that have noncancer health effects. These air toxics include benzene,
1, 3-butadiene, formaldehyde, acetaldehyde, acrolein, polycyclic
organic matter (POM), and naphthalene. All of these compounds, except
acetaldehyde, were identified as national or regional cancer risk or
noncancer hazard drivers in the 1999 National-Scale Air Toxics
Assessment (NATA) and have significant inventory contributions from
mobile sources. That is, for a significant portion of the population,
these compounds pose a significant portion of the total cancer and
noncancer risk from breathing outdoor air toxics. In addition, human
exposure to toxics from spark-ignition engines also occurs as a result
of operating these engines and from intrusion of emissions in
residential garages into attached indoor spaces.39 40 The
emission reductions from Small SI and Marine SI engines that are
finalized in this rulemaking will help reduce exposure to these harmful
substances.
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\39\ Baldauf, R.; Fortune, C.; Weinstein, J.; Wheeler, M.;
Blanchard, B. (2006) Air contaminant exposures during the operation
of lawn and garden equipment. J Expos Sci Environ Epidmeiol 16: 362-
370.
\40\ Isbell, M.; Ricker, J.; Gordian, M.E.; Duff, L.K. (1999)
Use of biomarkers in an indoor air study: lack of correlation
between aromatic VOCs with respective urinary biomarkers. Sci Total
Environ 241: 151-159.
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Benzene: The EPA's IRIS database lists benzene as a known human
carcinogen (causing leukemia) by all routes of exposure, and concludes
that exposure is associated with additional health effects, including
genetic changes in both humans and animals and increased proliferation
of bone marrow cells in mice.41 42 43 EPA states in its IRIS
database that data indicate a causal relationship between benzene
exposure and acute lymphocytic leukemia and suggest a relationship
between benzene exposure and chronic non-lymphocytic
[[Page 59046]]
leukemia and chronic lymphocytic leukemia. The International Agency for
Research on Carcinogens (IARC) has determined that benzene is a human
carcinogen and the U.S. Department of Health and Human Services (DHHS)
has characterized benzene as a known human carcinogen.44 45
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\41\ U.S. EPA. 2000. Integrated Risk Information System File for
Benzene. This material is available electronically at http://www.epa.gov/iris/subst/0276.htm.
\42\ International Agency for Research on Cancer (IARC). 1982.
Monographs on the evaluation of carcinogenic risk of chemicals to
humans, Volume 29, Some industrial chemicals and dyestuffs, World
Health Organization, Lyon, France, p. 345-389.
\43\ Irons, R.D.; Stillman, W.S.; Colagiovanni, D.B.; Henry,
V.A. 1992. Synergistic action of the benzene metabolite hydroquinone
on myelopoietic stimulating activity of granulocyte/macrophage
colony-stimulating factor in vitro, Proc. Natl. Acad. Sci. 89:3691-
3695.
\44\ International Agency for Research on Cancer (IARC). 1987.
Monographs on the evaluation of carcinogenic risk of chemicals to
humans, Volume 29, Supplement 7, Some industrial chemicals and
dyestuffs, World Health Organization, Lyon, France.
\45\ U.S. Department of Health and Human Services National
Toxicology Program 11th Report on Carcinogens available at: http://ntp.niehs.nih.gov/go/16183.
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A number of adverse noncancer health effects including blood
disorders, such as preleukemia and aplastic anemia, have also been
associated with long-term exposure to benzene.46 47 The most
sensitive noncancer effect observed in humans, based on current data,
is the depression of the absolute lymphocyte count in
blood.48 49 In addition, recent work, including studies
sponsored by the Health Effects Institute (HEI), provides evidence that
biochemical responses are occurring at lower levels of benzene exposure
than previously known.50 51 52 53 EPA's IRIS program has not
yet evaluated these new data.
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\46\ Aksoy, M. (1989). Hematotoxicity and carcinogenicity of
benzene. Environ. Health Perspect. 82: 193-197.
\47\ Goldstein, B.D. (1988). Benzene toxicity. Occupational
medicine. State of the Art Reviews. 3: 541-554.
\48\ Rothman, N., G.L. Li, M. Dosemeci, W.E. Bechtold, G.E.
Marti, Y.Z. Wang, M. Linet, L.Q. Xi, W. Lu, M.T. Smith, N. Titenko-
Holland, L.P. Zhang, W. Blot, S.N. Yin, and R.B. Hayes (1996)
Hematotoxicity among Chinese workers heavily exposed to benzene. Am.
J. Ind. Med. 29: 236-246.
\49\ U.S. EPA (2002) Toxicological Review of Benzene (Noncancer
Effects). Environmental Protection Agency, Integrated Risk
Information System (IRIS), Research and Development, National Center
for Environmental Assessment, Washington DC. This material is
available electronically at http://www.epa.gov/iris/subst/0276.htm.
\50\ Qu, O.; Shore, R.; Li, G.; Jin, X.; Chen, C.L.; Cohen, B.;
Melikian, A.; Eastmond, D.; Rappaport, S.; Li, H.; Rupa, D.;
Suramaya, R.; Songnian, W.; Huifant, Y.; Meng, M.; Winnik, M.; Kwok,
E.; Li, Y.; Mu, R.; Xu, B.; Zhang, X.; Li, K. (2003) HEI Report 115,
Validation & Evaluation of Biomarkers in Workers Exposed to Benzene
in China.
\51\ Qu, Q., R. Shore, G. Li, X. Jin, L.C. Chen, B. Cohen, et
al. (2002) Hematological changes among Chinese workers with a broad
range of benzene exposures. Am. J. Industr. Med. 42: 275-285.
\52\ Lan, Qing, Zhang, L., Li, G., Vermeulen, R., et al. (2004)
Hematotoxically in Workers Exposed to Low Levels of Benzene. Science
306: 1774-1776.
\53\ Turtletaub, K.W. and Mani, C. (2003) Benzene metabolism in
rodents at doses relevant to human exposure from Urban Air. Research
Reports Health Effect Inst. Report No.113.
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1,3-Butadiene: EPA has characterized 1,3-butadiene as carcinogenic
to humans by inhalation.54 55 The IARC has determined that
1,3-butadiene is a human carcinogen and the U.S. DHHS has characterized
1,3-butadiene as a known human carcinogen.56 57 There are
numerous studies consistently demonstrating that 1,3-butadiene is
metabolized into genotoxic metabolites by experimental animals and
humans. The specific mechanisms of 1,3-butadiene-induced carcinogenesis
are unknown; however, the scientific evidence strongly suggests that
the carcinogenic effects are mediated by genotoxic metabolites. Animal
data suggest that females may be more sensitive than males for cancer
effects associated with 1,3-butadiene exposure; there are insufficient
data in humans from which to draw conclusions about sensitive
subpopulations. 1,3-butadiene also causes a variety of reproductive and
developmental effects in mice; no human data on these effects are
available. The most sensitive effect was ovarian atrophy observed in a
lifetime bioassay of female mice.\58\
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\54\ U.S. EPA (2002) Health Assessment of 1,3-Butadiene. Office
of Research and Development, National Center for Environmental
Assessment, Washington Office, Washington, DC. Report No. EPA600-P-
98-001F. This document is available electronically at http://www.epa.gov/iris/supdocs/buta-sup.pdf.
\55\ U.S. EPA (2002) Full IRIS Summary for 1,3-butadiene (CASRN
106-99-0). Environmental Protection Agency, Integrated Risk
Information System (IRIS), Research and Development, National Center
for Environmental Assessment, Washington, DC http://www.epa.gov/iris/subst/0139.htm.
\56\ International Agency for Research on Cancer (IARC) (1999)
Monographs on the evaluation of carcinogenic risk of chemicals to
humans, Volume 71, Re-evaluation of some organic chemicals,
hydrazine and hydrogen peroxide and Volume 97 (in preparation),
World Health Organization, Lyon, France.
\57\ U.S. Department of Health and Human Services (2005)
National Toxicology Program 11th Report on Carcinogens available at:
ntp.niehs.nih.gov/index.cfm?objectid=32BA9724-F1F6-975E-7FCE50709CB4C932.
\58\ Bevan, C.; Stadler, J.C.; Elliot, G.S.; et al. (1996)
Subchronic toxicity of 4-vinylcyclohexene in rats and mice by
inhalation. Fundam. Appl. Toxicol. 32:1-10.
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Formaldehyde: Since 1987, EPA has classified formaldehyde as a
probable human carcinogen based on evidence in humans and in rats,
mice, hamsters, and monkeys.\59\ EPA is currently reviewing recently
published epidemiological data. For instance, research conducted by the
National Cancer Institute (NCI) found an increased risk of
nasopharyngeal cancer and lymphohematopoietic malignancies such as
leukemia among workers exposed to formaldehyde.60 61 NCI is
currently performing an update of these studies. A recent National
Institute of Occupational Safety and Health (NIOSH) study of garment
workers also found increased risk of death due to leukemia among
workers exposed to formaldehyde.\62\ Extended follow-up of a cohort of
British chemical workers did not find evidence of an increase in
nasopharyngeal or lymphohematopoietic cancers, but a continuing
statistically significant excess in lung cancers was reported.\63\
Recently, the IARC re-classified formaldehyde as a human carcinogen
(Group 1).\64\
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\59\ U.S. EPA (1987) Assessment of Health Risks to Garment
Workers and Certain Home Residents from Exposure to Formaldehyde,
Office of Pesticides and Toxic Substances, April 1987.
\60\ Hauptmann, M.; Lubin, J. H.; Stewart, P. A.; Hayes, R. B.;
Blair, A. 2003. Mortality from lymphohematopoetic malignancies among
workers in formaldehyde industries. Journal of the National Cancer
Institute 95: 1615-1623.
\61\ Hauptmann, M.; Lubin, J. H.; Stewart, P. A.; Hayes, R. B.;
Blair, A. 2004. Mortality from solid cancers among workers in
formaldehyde industries. American Journal of Epidemiology 159: 1117-
1130.
\62\ Pinkerton, L. E. 2004. Mortality among a cohort of garment
workers exposed to formaldehyde: an update. Occup. Environ. Med. 61:
193-200.
\63\ Coggon, D, EC Harris, J Poole, KT Palmer. 2003. Extended
follow-up of a cohort of British chemical workers exposed to
formaldehyde. J National Cancer Inst. 95:1608-1615.
\64\ International Agency for Research on Cancer (IARC). 2006.
Formaldehyde, 2-Butoxyethanol and 1-tert-Butoxypropan-2-ol. Volume
88. (in preparation), World Health Organization, Lyon, France.
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Formaldehyde exposure also causes a range of noncancer health
effects, including irritation of the eyes (burning and watering of the
eyes), nose and throat. Effects from repeated exposure in humans
include respiratory tract irritation, chronic bronchitis and nasal
epithelial lesions such as metaplasia and loss of cilia. Animal studies
suggest that formaldehyde may also cause airway inflammation--including
eosinophil infiltration into the airways. There are several studies
that suggest that formaldehyde may increase the risk of asthma--
particularly in the young.65 66
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\65\ Agency for Toxic Substances and Disease Registry (ATSDR).
1999. Toxicological profile for Formaldehyde. Atlanta, GA: U.S.
Department of Health and Human Services, Public Health Service.
http://www.atsdr.cdc.gov/toxprofiles/tp111.html
\66\ WHO (2002) Concise International Chemical Assessment
Document 40: Formaldehyde. Published under the joint sponsorship of
the United Nations Environment Programme, the International Labour
Organization, and the World Health Organization, and produced within
the framework of the Inter-Organization Programme for the Sound
Management of Chemicals. Geneva.
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Acetaldehyde: Acetaldehyde is classified in EPA's IRIS database as
a probable human carcinogen, based on nasal tumors in rats, and is
considered toxic by the inhalation, oral, and intravenous
routes.67 Acetaldehyde is
[[Page 59047]]
reasonably anticipated to be a human carcinogen by the U.S. DHHS in the
11th Report on Carcinogens and is classified as possibly carcinogenic
to humans (Group 2B) by the IARC.68 69 EPA is currently
conducting a reassessment of cancer risk from inhalation exposure to
acetaldehyde.
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\67\ U.S. EPA. 191. Integrated Risk Information System File of
Acetaldehyde. Research and Development, National Center for
Environmental Assessment, Washington, DC. This material is available
electronically at http://www.epa.gov/iris/subst/0290.htm.
\68\ U.S. Department of Health and Human Services National
Toxicology Program 11th Report on Carcinogens available at:
ntp.niehs.nih.gov/index.cfm?objectid=32BA9724-F1F6-975E-7FCE50709CB4C932.
\69\ International Agency for Research on Cancer (IARC). 1999.
Re-evaluation of some organic chemicals, hydrazine, and hydrogen
peroxide. IARC Monographs on the Evaluation of Carcinogenic Risk of
Chemical to Humans, Vol 71. Lyon, France.
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The primary noncancer effects of exposure to acetaldehyde vapors
include irritation of the eyes, skin, and respiratory tract.\70\ In
short-term (4 week) rat studies, degeneration of olfactory epithelium
was observed at various concentration levels of acetaldehyde
exposure.71 72 Data from these studies were used by EPA to
develop an inhalation reference concentration. Some asthmatics have
been shown to be a sensitive subpopulation to decrements in functional
expiratory volume (FEV1 test) and bronchoconstriction upon acetaldehyde
inhalation.\73\ The agency is currently conducting a reassessment of
the health hazards from inhalation exposure to acetaldehyde.
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\70\ U.S. EPA. 1991. Integrated Risk Information System File of
Acetaldehyde. This material is available electronically at http://www.epa.gov/iris/subst/0290.htm.
\71\ Appleman, L. M., R. A. Woutersen, V. J. Feron, R. N.
Hooftman, and W. R. F. Notten. 1986. Effects of the variable versus
fixed exposure levels on the toxicity of acetaldehyde in rats. J.
Appl. Toxicol. 6: 331-336.
\72\ Appleman, L.M., R.A. Woutersen, and V.J. Feron. 1982.
Inhalation toxicity of acetaldehyde in rats. I. Acute and subacute
studies. Toxicology. 23: 293-297.
\73\ Myou, S.; Fujimura, M.; Nishi K.; Ohka, T.; and Matsuda, T.
1993. Aerosolized acetaldehyde induces histamine-mediated
bronchoconstriction in asthmatics. Am. Rev. Respir.Dis.148(4 Pt 1):
940-3.
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Acrolein: EPA determined in 2003 that the human carcinogenic
potential of acrolein could not be determined because the available
data were inadequate. No information was available on the carcinogenic
effects of acrolein in humans and the animal data provided inadequate
evidence of carcinogenicity.\74\ The IARC determined in 1995 that
acrolein was not classifiable as to its carcinogenicity in humans.\75\
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\74\ U.S. EPA. 2003. Integrated Risk Information System File of
Acrolein. Research and Development, National Center for
Environmental Assessment, Washington, DC. This material is available
at http://www.epa.gov/iris/subst/0364.htm.
\75\ International Agency for Research on Cancer (IARC). 1995.
Monographs on the evaluation of carcinogenic risk of chemicals to
humans, Volume 63, Dry cleaning, some chlorinated solvents and other
industrial chemicals, World Health Organization, Lyon, France.
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Acrolein is extremely acrid and irritating to humans when inhaled,
with acute exposure resulting in upper respiratory tract irritation,
mucus hypersecretion and congestion. Levels considerably lower than 1
ppm (2.3 mg/m3) elicit subjective complaints of eye and
nasal irritation and a decrease in the respiratory
rate.76 77 Lesions to the lungs and upper respiratory tract
of rats, rabbits, and hamsters have been observed after subchronic
exposure to acrolein. Based on animal data, individuals with
compromised respiratory function (e.g., emphysema, asthma) are expected
to be at increased risk of developing adverse responses to strong
respiratory irritants such as acrolein. This was demonstrated in mice
with allergic airway-disease by comparison to non-diseased mice in a
study of the acute respiratory irritant effects of acrolein.\78\
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\76\ Weber-Tschopp, A; Fischer, T; Gierer, R; et al. (1977)
Experimentelle reizwirkungen von Acrolein auf den Menschen. Int Arch
Occup Environ Hlth 40(2):117-130. In German.
\77\ Sim, VM; Pattle, RE. (1957) Effect of possible smog
irritants on human subjects. J Am Med Assoc 165(15):1908-1913.
\78\ Morris JB, Symanowicz PT, Olsen JE, et al. 2003. Immediate
sensory nerve-mediated respiratory responses to irritants in healthy
and allergic airway-diseased mice. J Appl Physiol 94(4):1563-1571.
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EPA is currently in the process of conducting an assessment of
acute exposure effects for acrolein. The intense irritancy of this
carbonyl has been demonstrated during controlled tests in human
subjects, who suffer intolerable eye and nasal mucosal sensory
reactions within minutes of exposure.\79\
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\79\ Sim VM, Pattle RE. Effect of possible smog irritants on
human subjects JAMA165: 1980-2010, 1957.
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Polycyclic Organic Matter (POM): POM is generally defined as a
large class of organic compounds which have multiple benzene rings and
a boiling point greater than 100 degrees Celsius. Many of the compounds
included in the class of compounds known as POM are classified by EPA
as probable human carcinogens based on animal data. One of these
compounds, naphthalene, is discussed separately below. Polycyclic
aromatic hydrocarbons (PAHs) are a subset of POM that contain only
hydrogen and carbon atoms. A number of PAHs are known or suspected
carcinogens. Recent studies have found that maternal exposures to PAHs
(a subclass of POM) in a population of pregnant women were associated
with several adverse birth outcomes, including low birth weight and
reduced length at birth, as well as impaired cognitive development at
age three.80 81 EPA has not yet evaluated these recent
studies.
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\80\ Perera, F.P.; Rauh, V.; Tsai, W-Y.; et al. (2002) Effect of
transplacental exposure to environmental pollutants on birth
outcomes in a multiethnic population. Environ Health Perspect. 111:
201-205.
\81\ Perera, F.P.; Rauh, V.; Whyatt, R.M.; Tsai, W.Y.; Tang, D.;
Diaz, D.; Hoepner, L.; Barr, D.; Tu, Y.H.; Camann, D.; Kinney, P.
(2006) Effect of prenatal exposure to airborne polycyclic aromatic
hydrocarbons on neurodevelopment in the first 3 years of life among
inner-city children. Environ Health Perspect 114: 1287-1292.
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Naphthalene: Naphthalene is found in small quantities in gasoline
and diesel fuels. Naphthalene emissions have been measured in larger
quantities in both gasoline and diesel exhaust compared with
evaporative emissions from mobile sources, indicating it is primarily a
product of combustion. EPA recently released an external review draft
of a reassessment of the inhalation carcinogenicity of naphthalene
based on a number of recent animal carcinogenicity studies.\82\ The
draft reassessment recently completed external peer review.\83\ Based
on external peer review comments received to date, additional analyses
are being undertaken. This external review draft does not represent
official agency opinion and was released solely for the purposes of
external peer review and public comment. Once EPA evaluates public and
peer reviewer comments, the document will be revised. The National
Toxicology Program listed naphthalene as ``reasonably anticipated to be
a human carcinogen'' in 2004 on the basis of bioassays reporting clear
evidence of carcinogenicity in rats and some evidence of
carcinogenicity in mice.\84\ California EPA has released a new risk
assessment for naphthalene, and the IARC has reevaluated naphthalene
and re-classified it as Group 2B: possibly carcinogenic to humans.\85\
Naphthalene
[[Page 59048]]
also causes a number of chronic non-cancer effects in animals,
including abnormal cell changes and growth in respiratory and nasal
tissues.\86\
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\82\ U.S. EPA (2004) Toxicological Review of Naphthalene
(Reassessment of the Inhalation Cancer Risk), Environmental
Protection Agency, Integrated Risk Information System, Research and
Development, National Center for Environmental Assessment,
Washington, DC. This material is available electronically at http://www.epa.gov/iris/subst/0436.htm.
\83\ Oak Ridge Institute for Science and Education (2004)
External Peer Review for the IRIS Reassessment of the Inhalation
Carcinogenicity of Naphthalene. August 2004. http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=84403.
\84\ National Toxicology Program (NTP). (2004). 11th Report on
Carcinogens. Public Health Service, U.S. Department of Health and
Human Services, Research Triangle Park, NC. Available from: http://ntp-server.niehs.nih.gov.
\85\ International Agency for Research on Cancer (IARC) (2002)
Monographs on the Evaluation of the Carcinogenic Risk of Chemicals
for Humans. Vol. 82. Lyon, France.
\86\ U.S. EPA (1998) Toxicological Review of Naphthalene,
Environmental Protection Agency, Integrated Risk Information System,
Research and Development, National Center for Environmental
Assessment, Washington, DC. This material is available
electronically at http://www.epa.gov/iris/subst/0436.htm.
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The standards finalized in this action will reduce air toxics
emitted from these engines, vessels and equipment. These emissions
reductions will help to mitigate some of the adverse health effects
associated with their operation.
C. Carbon Monoxide
CO is a colorless, odorless gas produced through the incomplete
combustion of carbon-based fuels. The current primary NAAQS for CO are
35 ppm for the 1-hour average and nine ppm for the 8-hour average.
These values are not to be exceeded more than once per year.
We previously found that emissions from nonroad engines contribute
significantly to CO concentrations in more than one nonattainment area
(59 FR 31306, June 17, 1994). We have also previously found that
emissions from Small SI engines contribute to CO concentrations in more
than one nonattainment area. We are adopting a finding, based on the
information in this section and in Chapters 2 and 3 of the Final RIA,
that emissions from Marine SI engines and vessels likewise contribute
to CO concentrations in more than one CO nonattainment area.
Carbon monoxide enters the bloodstream through the lungs, forming
carboxyhemoglobin and reducing the delivery of oxygen to the body's
organs and tissues. The health threat from CO is most serious for those
who suffer from cardiovascular disease, particularly those with angina
or peripheral vascular disease. Healthy individuals also are affected,
but only at higher CO levels. Exposure to elevated CO levels is
associated with impairment of visual perception, work capacity, manual
dexterity, learning ability and performance of complex tasks. Carbon
monoxide also contributes to ozone nonattainment since carbon monoxide
reacts photochemically in the atmosphere to form ozone.\87\ Additional
information on CO related health effects can be found in the Carbon
Monoxide Air Quality Criteria Document (CO AQCD).\88\
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\87\ U.S. EPA (2000). Air Quality Criteria for Carbon Monoxide,
EPA/600/P-99/001F. This document is available in Docket EPA-HQ-OAR-
2004-0008.
\88\ U.S. EPA (2000). Air Quality Criteria for Carbon Monoxide,
EPA/600/P-99/001F. This document is available in Docket EPA-HQ-OAR-
2004-0008.
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In addition to health effects from chronic exposure to ambient CO
levels, acute exposures to higher levels are also a problem, see the
Final RIA for additional information. In recent years a substantial
number of CO poisonings and deaths have occurred on and around
recreational boats across the nation.\89\ The actual number of deaths
attributable to CO poisoning while boating is difficult to estimate
because CO-related deaths in the water may be labeled as drowning. An
interagency team consisting of the National Park Service, the U.S.
Department of the Interior, and the National Institute for Occupational
Safety and Health maintains a record of published CO-related fatal and
nonfatal poisonings.\90\ Between 1984 and 2004, 113 CO-related deaths
and 458 non-fatal CO poisonings have been identified based on hospital
records, press accounts and other information. Deaths have been
attributed to exhaust from both onboard generators and propulsion
engines. Houseboats, cabin cruisers, and ski boats are the most common
types of boats associated with CO poisoning cases. These incidents have
prompted other federal agencies, including the United States Coast
Guard and National Park Service, to issue advisory statements and other
interventions to boaters to avoid excessive CO exposure.\91\
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\89\ Mott, J.S.; Wolfe, M.I.; Alverson, C.J.; Macdonald, S.C.;
Bailey, C.R.; Ball, L.B.; Moorman, J.E.; Somers, J.H.; Mannino,
D.M.; Redd, S.C. (2002) National Vehicle Emissions Policies and
Practices and Declining US Carbon Monoxide-Related Mortality. JAMA
288:988-995.
\90\ National Park Service; Department of the Interior; National
Institute for Occupational Safety and Health. (2004) Boat-related
carbon monoxide poisonings. This document is available
electronically at http://safetynet.smis.doi.gov/thelistbystate10-19-04.pdf and in docket EPA-HQ-OAR-2004-0008.
\91\ U.S Department of the Interior. (2004) Carbon monoxide
dangers from generators and propulsion engines. On-board boats--
compilation of materials. This document is available online at
http://safetynet.smis.doi.gov/COhouseboats.htm and in docket EPA-HQ-
OAR-2004-0008.
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As of March 12, 2008, there were approximately 850,000 people
living in 4 areas (which include 5 counties) designated as
nonattainment for CO.\92\ The CO nonattainment areas are presented in
the Final RIA.
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\92\ Population numbers are from 2000 census data.
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EPA's NONROAD model indicates that Marine SI emissions are present
in each of the CO nonattainment areas and thus contribute to CO
concentrations in those nonattainment areas. The CO contribution from
Marine SI engines in classified CO nonattainment areas is presented in
Table II-3.
Table II-3--CO Emissions From Marine SI Engines and Vessels in Classified CO Nonattainment Areas a
----------------------------------------------------------------------------------------------------------------
CO (short tons
Area County Category in 2005)
----------------------------------------------------------------------------------------------------------------
Las Vegas, NV........................... Clark..................... Marine SI................. 3,016
Reno, NV................................ Washoe.................... Marine SI................. 3,494
El Paso, TX............................. El Paso................... Marine SI................. 37
----------------------------------------------------------------------------------------------------------------
Source: U.S. EPA, NONROAD 2005 model.
\a\ This table does not include Salem, OR which is an unclassified CO nonattainment area.
Based on the national inventory numbers in Chapter 3 of the Final
RIA and the local inventory numbers described in this section, we find
that emissions of CO from Marine SI engines and vessels contribute to
CO concentrations in more than one CO nonattainment area.
III. Sterndrive and Inboard Marine Engines
A. Overview
This section applies to sterndrive and inboard marine (SD/I)
engines. Sterndrive and inboard engines are spark-ignition engines
typically derived from automotive engine blocks for which a
manufacturer will take steps to ``marinize'' the engine for use in
marine applications. This marinization process includes choosing and
optimizing the fuel management system, configuring a marine cooling
system, adding intake and exhaust manifolds, and adding accessory
drives and units. These engines typically have water-jacketed
[[Page 59049]]
exhaust systems to keep surface temperatures low. Ambient surface water
(seawater or freshwater) is generally added to the exhaust gases before
the mixture is expelled under water.
As described in Section I, the initial rulemaking to set standards
for Marine SI engines did not include final emission standards for SD/I
engines. In that rulemaking, we finalized the finding under Clean Air
Act section 213(a)(3) that all Marine SI engines cause or contribute to
ozone concentrations in two or more ozone nonattainment areas in the
United States. However, because uncontrolled SD/I engines appeared to
be a low-emission alternative to outboard and personal watercraft
engines in the marketplace, even after the emission standards for these
engines were fully phased in, we decided to set emission standards only
for outboard and personal watercraft engines. At that time, outboard
and personal watercraft engines were almost all two-stroke engines with
much higher emission rates compared to the SD/I engines, which were all
four-stroke engines. We pointed out in that initial rulemaking that we
wanted to avoid imposing costs on SD/I engines that could cause a
market shift to increased use of the higher-emitting outboard engines,
which will undermine the broader goal of achieving the greatest degree
of emission control from the full set of Marine SI engines.
We believe this is an appropriate time to set standards for SD/I
engines, for several reasons. First, the available technology for SD/I
engines has developed significantly, so we are now able to anticipate
substantial emission reductions. With the simultaneous developments in
technology for outboard and personal watercraft engines, we can set
standards that achieve substantial emission reductions from all Marine
SI engines. Second, now that California has adopted standards for SD/I
engines, the cost impact of setting new standards for manufacturers
serving the California market is generally limited to the hardware
costs of adding emission control technology; these manufacturers will
be undergoing a complete redesign effort for these engines to meet the
California standards. Third, while an emission control program for SD/I
engines will increase the price of these engines, we no longer think
this will result in a market shift to higher-emitting outboard engines.
The economic impact analysis performed for this final rule, summarized
in Section XII, suggests that the prices will increase less than 1
percent and sales will be impacted by less than 2 percent. It is also
possible that SD/I engine manufacturers may promote higher fuel
efficiency and other performance advantages of compliant engines which
would allow them to promote these engines as having a greater value and
justifying these small expected price increases. As a result, we
believe we can achieve the maximum emission reductions from Marine SI
engines by setting standards for SD/I engines based on the use of
catalyst technology at the same time that we adopt more stringent
standards for outboard and personal watercraft engines.
As described in Section II, we are adopting the finding under Clean
Air Act section 213(a)(3) that Marine SI engines cause or contribute to
CO concentrations in two or more nonattainment areas of the United
States. We believe the new CO standards will also reduce the exposure
of individual boaters and bystanders to potentially dangerous CO
levels.
We believe catalyst technology is available for achieving the new
standards. Catalysts have been used for decades in automotive
applications to reduce emissions, and catalyst manufacturers have
continued to develop and improve this technology. Design issues for
using catalysts in marine applications are primarily centered on
packaging catalysts in the water-jacketed, wet exhaust systems seen on
most SD/I engines. Section III.G discusses recent development work that
has shown success in packaging catalysts in SD/I applications. In
addition, there are ongoing efforts in evaluating catalyst technology
in SD/I engines being sponsored by the marine industry, U.S. Coast
Guard, and California ARB.
We are adopting the regulatory requirements for marine spark-
ignition engines in 40 CFR part 1045. These requirements are similar to
the regulations that have been in place for outboard and personal
watercraft engines for several years, but include updated certification
procedures, as described in Section IV.A. Engines and vessels subject
to part 1045 are also subject to the general compliance provisions in
40 CFR part 1068. These include prohibited acts and penalties,
exemptions and importation provisions, selective enforcement audits,
defect reporting and recall, and hearing procedures. See Section VIII
of the preamble to the proposed rule for further discussion of these
general compliance provisions.
B. Engines Covered by This Rule
(1) Definition of Sterndrive and Inboard Engines
For the purpose of this regulation, SD/I engines encompass all
spark-ignition marine propulsion engines that are not outboard or
personal watercraft engines. A discussion of the revised definitions
for outboard and personal watercraft engines is in Section IV.B. We
consider all the following to be SD/I engines: inboard, sterndrive
(also known as inboard/outboard), airboat engines, and jet boat
engines.
The definitions for sterndrive and inboard engines at 40 CFR part
91 are presented below:
Sterndrive engine means a four stroke Marine SI engine
that is designed such that the drive unit is external to the hull of
the marine vessel, while the engine is internal to the hull of the
marine vessel.
Inboard engine means a four stroke Marine SI engine that
is designed such that the propeller shaft penetrates the hull of the
marine vessel while the engine and the remainder of the drive unit is
internal to the hull of the marine vessel.
We are amending the above definitions for determining which exhaust
emission standards apply to spark-ignition marine engines in 2010. The
new definition establishes a single term to include sterndrive and
inboard engines together as a single engine category. The new
definition for sterndrive/inboard also is drafted to include all
engines not otherwise classified as outboard or personal watercraft
engines.
The new definition has several noteworthy impacts. First, it
removes a requirement that only four-stroke engines can qualify as
sterndrive/inboard engines. We believe limiting the definition to
include only four-stroke engines is unnecessarily restrictive and could
create an incentive to use two-stroke (or rotary) engines to avoid
catalyst-based standards. Second, it removes limitations caused by
reference to propellers. The definition should not refer specifically
to propellers, because there are other propulsion drives on marine
vessels, such as jet drives, that could be used with SD/I engines.
Third, as explained in the section on the OB/PWC definitions, the new
definitions treat engines installed in open-bay vessels (e.g. jet
boats) and in vessels over 4 meters long as SD/I engines. Finally, the
definition in part 91 does not clearly specify how to treat specialty
vessels such as airboats or hovercraft that use engines similar to
those in conventional SD/I applications. The
[[Page 59050]]
definition of personal watercraft grants EPA the discretion to classify
engines as SD/I engines if the engine is comparable in technology and
emissions to an inboard or sterndrive engine. EPA has used this
discretion to classify airboats as SD/I engines. See 40 CFR 91.3 for
the existing definitions of the marine engine classes. We continue to
believe these engines share fundamental characteristics with
traditional SD/I engines and should therefore be treated the same way.
However, we believe the definitions should address these applications
expressly to make clear which standards apply. We are adopting the
following definition:
Sterndrive/inboard engine means a spark-ignition engine
that is used to propel a vessel, but is not an outboard engine or a
personal watercraft engine. A sterndrive/inboard engine may be either a
conventional sterndrive/inboard engine or a high-performance engine.
Engines on propeller-driven vessels, jet boats, air boats, and
hovercraft are all sterndrive/inboard engines.
SD/I high-performance engines are generally characterized by high-
speed operation, supercharged air intake, customized parts, very high
power densities, and a short time until rebuild (50 to 200 hours).
Based on current SD/I product offerings, we are defining a high-
performance engine as an SD/I engine with maximum power above 373 kW
(500 hp) that has design features to enhance power output such that the
expected operating time until rebuild is substantially shorter than 480
hours.
(2) Exclusions and Exemptions
We are extending our basic nonroad exemptions to the SD/I engines
and vessels covered by this rule. These include the testing exemption,
the manufacturer-owned exemption, the display exemption, and the
national-security exemption. If the conditions for an exemption are
met, then the engine is not subject to the exhaust emission standards.
In the rulemaking for recreational vehicles, we chose not to apply
standards to hobby products by exempting all reduced-scale models of
vehicles that are not capable of transporting a person (67 FR 68242,
November 8, 2002). We are extending that same provision to SD/I marine
engines (see Sec. 1045.5).
The Clean Air Act provides for different treatment of engines used
solely for competition. Rather than relying on engine design features
that serve as inherent indicators of dedicated competitive use, as
specified in the current regulations, we have taken the approach in
more recent programs of more carefully differentiating competition and
noncompetition models in ways that reflect the nature of the particular
products. In the case of Marine SI engines, we do not believe there are
engine design features that allow us to differentiate between engines
that are used in high-performance recreational applications and those
that are used solely for competition. Starting January 1, 2009, Marine
SI engines meeting all the following criteria will therefore be
considered to be used solely for competition:
The engine (or a vessel in which the engine is installed)
may not be displayed for sale in any public dealership or otherwise
offered for sale to the general public.
Sale of the vessel in which the engine is installed must
be limited to professional racers or other qualified racers.
The engine must have performance characteristics that are
substantially superior to noncompetitive models (e.g. higher power-to-
weight ratio).
The engines must be intended for use only in racing events
sanctioned (with applicable permits) by the Coast Guard or other public
organization, with operation limited to racing events, speed record
attempts, and official time trials.
We are also including a provision allowing us to approve an
exemption for cases in which an engine manufacturer can provide clear
and convincing evidence that an engine will be used solely for
competition even though not all the above criteria apply for a given
situation. This may occur, for example, if a racing association
specifies a particular engine model in their competition rules, where
that engine has design features that prevent it from being certified or
from being used for purposes other than competition.
Engine manufacturers will make their request for each new model
year. We will deny a request for future production if there are
indications that some engines covered by previous requests are not
being used solely for competition. Competition engines are generally
produced and sold in very small quantities, so manufacturers should be
able to identify which engines qualify for this exemption. We are
applying the same criteria to outboard and personal watercraft engines
and vessels. See Sec. 1045.620.
We are adopting a new exemption to address individuals who
manufacture recreational marine vessels for personal use (see Sec.
1045.630). Under this exemption, someone may install a used engine in a
new vessel where that engine is exempt from standards, subject to
certain limitations. For example, an individual may produce one such
vessel over a five-year period, the vessel may not be used for
commercial purposes, and any exempt engines may not be sold for at
least five years. The vessel must generally be built from unassembled
components, rather than simply completing assembly of a vessel that is
otherwise similar to one that will be certified to meet emission
standards. This exemption does not apply for freshly manufactured
engines. This exemption addresses the concern that hobbyists who make
their own vessels could otherwise be a manufacturer subject to the full
set of emission standards by introducing these vessels into commerce.
We expect this exemption to involve a very small number of vessels. We
revised the provisions of the personal-use exemption since the proposal
to allow people to build a vessel with an exempted engine once every
five years instead of ten years. We believe this is more reflective of
a hobbyists interest in building a boat and using it before moving on
to the next building project.
C. Exhaust Emission Standards
We are adopting technology-based exhaust emission standards for new
SD/I engines. These standards are similar to the exhaust emission
standards that California ARB recently adopted (see Section I). This
section describes the provisions related to controlling exhaust
emissions from SD/I engines. See Section VI for a description of the
new requirements related to evaporative emissions.
(1) Standards and Dates
We are adopting exhaust emission standards of 5.0 g/kW-hr
HC+NOX and 75 g/kW-hr CO for SD/I engines, starting with the
2010 model year (see Sec. 1045.105). On average, this represents about
a 70 percent reduction in HC+NOX and a 50 percent reduction
in CO from baseline engine configurations. Due to the challenges of
controlling CO emissions at high load, the expected reduction in CO
emissions from low-to mid-power operation is expected to be more than
80 percent. We are providing additional lead time for small businesses
as discussed in Section III.F.2. The new standards are based on the
same duty cycle that currently is in place for outboard and personal
watercraft engines, as described in Section III.D. Section III.G
discusses the technological feasibility of these standards in more
detail.
The new standards are largely based on the use of small catalytic
converters
[[Page 59051]]
that can be packaged in the water-cooled exhaust systems typical for
these applications. California ARB also adopted an HC+NOX
standard of 5 g/kW-hr, starting with 2008 model year engines, but they
did not adopt a standard for CO emissions. We believe the type of
catalyst used to achieve the HC+NOX standard will also be
effective in reducing CO emissions enough to meet the new standard with
the proper calibrations, so no additional hardware will be needed to
control CO emissions.
Manufacturers have expressed concern that the implementation dates
may be difficult to meet, for certain engines, due to anticipated
changes in engine block designs produced by General Motors. As
described in the Final RIA and in the docket, the vast majority of SD/I
engines are based on automotive engine blocks sold by General
Motors.\93\ There are five basic engine blocks used, and recently GM
announced that it plans to discontinue production of the 4.3L and 8.1L
engine blocks. GM anticipates that it will offer a 4.1L engine block
and a 6.0L supercharged engine block to the marine industry as
replacements. Full-run production of these new blocks is anticipated
around the time that manufacturers will be making the transition to
meeting new EPA emission standards. SD/I engine manufacturers have
expressed concern that they will not be able to begin the engineering
processes related to marinizing these engines, including the
development of catalyst-equipped exhaust manifolds, until they see the
first prototypes of the two replacement engine models. In addition,
they are concerned that they do not have enough remaining years of
sales of the 4.3L and 8.1L engines to justify the cost of developing
catalyst-equipped exhaust manifolds for these engines and amortizing
the costs of the required tooling while also developing the two new
engine models.
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\93\ ``GM Product Changes Affecting SD/I Engine Marinizers,''
memo from Mike Samulski, EPA, to Docket EPA-HQ-OAR-2004-0008-0528.
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These are unique circumstances because the SD/I engine
manufacturers' plans and products depend on the manufacture of the base
engine by a company not directly involved in marine engine
manufacturing. The SD/I sales represent only a small fraction of GM's
total engine sales and thus did not weigh heavily in their decision to
replace the existing engine blocks with two comparable versions during
the timeframe when the SD/I manufacturers are facing new emission
standards. SD/I manufacturers have stated that alternative engine
blocks that meet their needs are not available in the interim, and that
it will be cost-prohibitive for them to produce their own engine
blocks.
EPA's SD/I standards start to take effect with the 2010 model year,
two years after the same standards apply in California. We believe a
requirement to extend the California standards nationwide after a two-
year delay allows manufacturers adequate time to incorporate catalysts
across their product lines as they are doing in California. Once the
technology is developed for use in California, it will be available for
use nationwide soon thereafter. In fact, one company currently
certified to the California standards is already offering catalyst-
equipped SD/I engines nationwide. To address the challenge related to
the transition away from the current 4.3 and 8.1 liter GM engines, we
are including in the final rule a direct approval for a hardship
exemption allowing manufacturers to produce these engines for one
additional year without certifying them (see Sec. 1045.145). Starting
in the 2011 model year, we would expect manufacturers to have worked
things out such that they could certify their full product lineup to
the applicable standards.
Engines used on jet boats may have been classified under the
original definitions as personal watercraft engines. As described in
Section IV, engines used in jet boats or personal watercraft-like
vessels that are four meters or longer will be classified as SD/I
engines under the new definitions. Such engines subject to part 91
today will therefore need to continue meeting EPA emission standards as
personal watercraft engines through the 2009 model year under part 91,
after which they will need to meet the new SD/I standards under part
1045. This is another situation where the transition period discussed
above may be helpful. In contrast, as discussed above, air boats have
been classified as SD/I engines under EPA's discretionary authority and
are not required to comply with part 91, but must meet the new emission
standards for SD/I engines under part 1045.
As described above, engines used solely for competition are not
subject to emission standards, but many SD/I high-performance engines
are sold for recreational use. SD/I high-performance engines have very
high power outputs, large exhaust gas flow rates, and relatively high
concentrations of hydrocarbons and carbon monoxide in the exhaust
gases. As described in the Final Regulatory Impact Analysis, applying
catalyst technology to these engines is not practical. California ARB
initially adopted the same HC+NOX standards that apply for
other SD/I engines with the expectation that manufacturers would simply
rely on emission credits from other SD/I engines. We believe a credit-
based solution is not viable for small business manufacturers that do
not have other products with which to exchange emission credits and
California ARB has modified their rule to also address this concern.
We are adopting standards for SD/I high-performance engines based
on the level of control that can be expected from recalibration with
electronically controlled fuel injection. These standards are phased in
over a two-year transition period. In the 2010 model year, the
HC+NOX emission standards are 20.0 g/kW-hr for engines at or
below 485 kW and 25.0 g/kW-hr for bigger engines. In 2011 and later
model years, the HC+NOX emission standards drop to 16.0 g/
kW-hr for engines at or below 485 kW and 22.0 g/kW-hr for bigger
engines. The CO standard is 350 g/kW-hr for all SD/I high-performance
engines. We believe this is achievable with more careful control of
fueling rates, especially under idle conditions. Control of air-fuel
ratios should result in improved emission control even after multiple
rebuilds. Note that small-volume manufacturers may delay complying with
the high-performance standards until 2013. In that year, the standard
will be the same as the 2011 standards for larger manufacturers.
We are adopting a variety of provisions to simplify the
requirements for exhaust emission certification and compliance for SD/I
high-performance engines, as described in Section IV.F. We have also
chosen not to apply the Not-to-Exceed emission standards to these
engines because we have very limited information on their detailed
emission characteristics and we are concerned about extent of testing
that would be required by the large number of affected engine
manufacturers that are small businesses.
We are also aware that there are some very small sterndrive or
inboard engines. In particular, sailboats may have small propulsion
engines for backup power. These engines will fall under the new
definition of sterndrive/inboard engines, even though they are much
smaller and may experience very different in-use operation. These
engines generally have more in common with marine auxiliary engines or
lawn and garden engines that are subject to land-based standards. We
are therefore allowing manufacturers to use engines that have been
certified to current land-
[[Page 59052]]
based emission standards for sterndrive and inboard installation, much
like we are adopting for outboard and personal watercraft engines (see
Sec. 1045.610).
The emission standards apply at the range of atmospheric pressures
represented by the test conditions specified in part 1065. This
includes operation at elevated altitudes. Since we expect most or all
SD/I engines to have three-way catalysts with closed-loop fuel control,
these engines should be able to include the ability to automatically
compensate for varying altitude. Manufacturers may choose to use an
altitude kit for demonstrating compliance with emission standards at
high altitudes as described for OB/PWC engines in Section IV.C.1.
Manufacturers using altitude kits would need to take a variety of steps
to describe their approach and ensure that such altitude kits are in
fact being used with in-use engines operating at high altitudes, as
described in Section IV.E.8.
(2) Not-to-Exceed Standards
We are adopting emission standards that apply over an NTE zone. The
NTE standards are in the form of a multiplier times the duty-cycle
standard for HC+NOX and for CO (see Sec. 1045.105. Section
III.D.2 gives an overview of the NTE standards and compliance
provisions and describes the NTE test procedures.
Manufacturers commented that certification to the NTE standards
requires additional testing for engine models that are already
certified to the new emission standards for California. In addition,
they expressed concern that they may need to recalibrate existing
engine models to meet the NTE standards. Manufacturers commented that
this would not be possible by the date of the duty cycle standard. For
engines already certified in California, manufacturers carry over
preexisting certification test data from year to year. Manufacturers
commented that additional time would be necessary to retest, and
potentially recalibrate, these engines for certification to the NTE
standards. To address these issues regarding lead time needed to retest
these engines, we are not applying the NTE standards for 2010-2012
model year engines that are certified using preexisting data (i.e.,
carryover engine families). For new engine models, manufacturers
indicated that they will be able to perform the NTE testing and duty-
cycle testing as part of their efforts to certify to the new standards.
Therefore the primary implementation date of 2010 applies to these
engines. Beginning in the 2013 model year, all conventional SD/I
engines must be certified to meet the NTE standards.
This NTE approach complements the weighted modal emission tests
included in this rule. These steady-state duty cycles and standards are
intended to establish average emission levels over several discrete
modes of engine operation. Because it is an average, manufacturers
design their engines with emission levels at individual points varying
as needed to maintain maximum engine performance and still meet the
engine standard. The NTE limit will be an additional requirement. It is
intended to ensure that emission controls function with relative
consistency across the full range of expected operating conditions.
(3) Emission Credit Programs
(a) Averaging, Banking, and Trading
We are adopting provisions for averaging, banking, and trading of
emission credits for conventional SD/I engines to meet the new
HC+NOX and CO standards (see Sec. 1045.105 and part 1045,
subpart H). See Section VII.C.5 of the preamble to the proposed rule
for a description of general provisions related to averaging, banking,
and trading programs. A description of the ABT provisions for the new
SD/I standards is provided in this section.
EPA proposed that manufacturers would not be able to earn credits
for one pollutant while using credits to comply with the emissions
standard for another pollutant. The proposed restriction was modeled on
similar requirements in other ABT programs where there was concern that
a manufacturer could use technologies to reduce one pollutant while
increasing another pollutant. Manufacturers are expected to comply with
the new SD/I standards by using a combination of improved engine
designs and catalysts. This should result in reductions in both
HC+NOX emissions and CO emissions compared to current
designs. While the technology is expected to reduce both
HC+NOX emissions and CO emissions, there could be situations
where the engines are capable of meeting one of the emission standards
but not the other. EPA does not want to preclude such engines from
being able to certify using the provisions of the ABT program and is
therefore dropping the proposed restriction from the final rule.
Credit generation and use is calculated based on the FEL of the
engine family and the standard. We are adopting FEL caps to prevent the
sale of very high-emitting engines. The HC+NOX FEL cap for
conventional SD/I engines is 16 g/kW-hr while the CO FEL cap is 150 g/
kW-hr and applies starting in 2010, except as noted below. These FEL
caps represent the average baseline emission levels of SD/I engines,
based on data described in the Final RIA. However, through the 2013
model year we are separately allowing small-volume engine manufacturers
to certify their four-stroke conventional SD/I engines without testing
by assuming an HC+NOX FEL of 22.0 g/kW-hr and a CO FEL of
150 g/kW-hr. Manufacturers using this provision would not be subject to
the FEL cap for those engine families.
We are specifying that SD/I engines are in a separate averaging set
from OB/PWC engines, with a limited exception for certain jet boat
engines as described below. This means that credits earned by SD/I
engines may be used only to offset higher emissions from other SD/I
engines. Likewise, credits earned by OB/PWC engines may be used only to
offset higher emissions from other OB/PWC engines (except where we
allow those credits to be used for certain jet boat engines).
Emission credits earned for SD/I engines will have an indefinite
credit life with no discounting. We consider these emission credits to
be part of the overall program for complying with the new standards.
Given that we may consider further reductions beyond these standards in
the future, we believe it will be important to assess the ABT credit
situation that exists at the time any further standards are considered.
Emission credit balances will be part of the analysis for determining
the appropriate level and timing of new standards, consistent with the
statutory requirement to establish standards that represent the
greatest degree of emission reduction achievable, considering cost,
safety, lead time, and other factors. If we were to allow the use of
credits generated under the standards adopted in this rule to meet more
stringent standards adopted in a future rulemaking, we may need to
adopt emission standards at more stringent levels or with an earlier
start date than we would absent the continued use of existing emission
credits, depending on the level of emission credit banks.
Alternatively, we may adopt future standards without allowing the use
of existing emission credits.
Finally, manufacturers may include as part of their federal credit
calculation the sales of engines in California as long as they don't
separately account for those emission credits under the California
regulations. We originally proposed to exclude engines sold in
California that are subject to the California ABR standards. However,
we
[[Page 59053]]
consider California's current HC+NOX standards to be
equivalent to those we are adopting in this rulemaking, so we would
expect a widespread practice of producing and marketing 50-state
products. Therefore, as long as a manufacturer is not generating
credits under California's regulations for SD/I engines, we would allow
manufacturers to count those engines when calculating credits under
EPA's program. This is consistent with how EPA allows credits to be
calculated in other nonroad sectors, such as recreational vehicles.
(b) Early-Credit Approaches
We are adopting an early-credit program in which a manufacturer
could earn emission credits before 2010 with early introduction of
emission controls designed to meet the new standards (see Sec.
1045.145). For engines produced by small-volume SD/I manufacturers that
are eligible for the one-year delay described in Section III.F.2, early
credits could be earned before 2011. As proposed, use of these early
credits would be limited to the first three years that the new
standards apply. While we believe adequate lead time is provided to
meet the new standards, we recognize that flexibility in timing could
help some manufacturers--particularly small manufacturers--to meet the
new standards. Other manufacturers that are able to comply early on
certain models will be better able to transition their full product
line to the new standards by spreading out the transition over two
years or more. Under this approach, we anticipate that manufacturers
will generate credits through the use of catalysts.
Manufacturers will generate these early credits based on the
difference between the measured emission level of the clean engines and
an assigned baseline level (16 g/kW-hr HC+NOX and 150 g/kW-
hr CO). These assigned baseline levels are based on data presented in
Chapter 4 of the Final RIA representing the average level observed for
uncontrolled engines. We also provide bonus credits for any small-
volume SD/I engine manufacturer that certifies early to the new
standards to provide a further incentive for introducing catalysts in
SD/I engines. The bonus credits will take the form of a multiplier
times the earned credits. The multipliers are 1.25 for being one year
early, 1.5 for being two years early, and 2.0 for being three years
early. For example, a small-volume manufacturer certifying an engine to
5.0 g/kW-hr HC+NOX in 2009 (two years early) will get a
bonus multiplier of 1.5. Early HC+NOX credits will therefore
be calculated using the following equation: credits [grams] = (16-5) mu
Power [kW] x Useful Life [hours] x Load Factor x 1.5. The specified
load factor is 0.207, which is currently used in the OB/PWC
calculations.
To earn these early credits, the engine must meet both the new
HC+NOX standard and the new CO standard. These early credits
will be treated the same as emission credits generated after the
emission standards start to apply. This approach provides an incentive
for manufacturers to pull ahead significantly cleaner technologies. We
believe such an incentive will lead to early introduction of catalysts
on SD/I engines and help promote earlier market acceptance of this
technology. We believe this early credit program will allow
manufactures to comply with the new standards in an earlier time frame
because it allows them to spread out their development resources over
multiple years. To ensure that manufacturers do not generate credits
for meeting standards that already apply, no EPA credits will be
generated for engines that are produced for sale in California.
(c) Jet Boats
Sterndrive and inboard vessels are typically propelled by
traditional SD/I engines based on automotive engine blocks. As
explained in Section IV, we are changing the definition of personal
watercraft to ensure that engines used on jet boats will no longer be
classified as personal watercraft engines but instead as SD/I engines
because jet boats are more like SD/I vessels. However, manufacturers in
many cases make these jet boats by installing an engine also used in
outboard or personal watercraft applications (less than 4 meters in
length) and coupling the engine to a jet drive for propelling the jet
boat. Thus, manufacturers of outboard or personal watercraft engines
may also manufacture the same or a similar engine for use on what we
consider to be a jet boat.
Engines used in jet boats will be subject to SD/I emission
standards. However, we are providing some flexibility in meeting the
new emission standards for jet boat engines because they are currently
designed to use engines derived from OB/PWC applications and because of
their relatively low sales volumes. We will allow manufacturers to use
emission credits generated from OB/PWC engines to demonstrate that
their jet boat engines meet the new HC+NOX and CO standards
for SD/I engines if the same or similar engine is certified as an
outboard or personal watercraft engine, and if the majority of units
sold in the United States from those related engine families are sold
for use as outboard or personal watercraft engines (see Sec. 1045.660
and Sec. 1045.701). Manufacturers will need to group SD/I engines used
for jet boats in a separate engine family from the outboard or personal
watercraft engines to ensure proper labeling and calculation of
emission credits, but manufacturers could rely on emission data from
the same prototype engine for certifying both engine families.
Finally, manufacturers of jet boat engines subject to SD/I
standards and using credits from outboard or personal watercraft
engines must certify these jet boat engines to an FEL that meets or
exceeds the newly adopted standards for outboard and personal
watercraft engines. This limits the degree to which manufacturers may
take advantage of emission credits to produce engines that are emitting
at higher levels than competitive engines.
(d) SD/I High-Performance Engines
For the reasons described in Section III.C.1, the standards being
adopted for SD/I high-performance engines are less stringent than
originally proposed. As a result, we are not including the SD/I high-
performance engines in the ABT program. Manufacturers are required to
meet the emission standards for SD/I high-performance engines without
using emission credits.
(4) Crankcase Emissions
Due to blowby of combustion gases and the reciprocating action of
the piston, exhaust emissions can accumulate in the crankcase.
Uncontrolled engine designs route these vapors directly to the
atmosphere. Closed crankcases have become standard technology for
automotive engines and for outboard and personal watercraft engines.
Manufacturers generally do this by routing crankcase vapors through a
valve into the engine's air intake system. We are requiring
manufacturers to prevent crankcase emissions from SD/I marine engines
(see Sec. 1045.115). Because automotive engine blocks are already
tooled for closed crankcases, the cost of adding a valve for positive
crankcase ventilation is small for SD/I engines. Even with non-
automotive blocks, the tooling changes necessary for closing the
crankcase are straightforward.
(5) Durability Provisions
We rely on pre-production certification, and other programs, to
ensure that engines control emissions throughout their intended
lifetime of operation. Section VII of the preamble to
[[Page 59054]]
the proposed rule describes how we require manufacturers to incorporate
laboratory aging in the certification process, how we limit the extent
of maintenance that manufacturers may specify to keep engines operating
as designed, and other general provisions related to certification. The
following sections describe additional provisions that are specific to
SD/I engines.
(a) Useful Life
We are specifying a useful life period of ten years or 480 hours of
engine operation, whichever comes first (see Sec. 1045.105).
Manufacturers are responsible for meeting emission standards during
this useful life period. This is consistent with the requirements
adopted by California ARB. We are further requiring that the 480-hour
useful life period is a baseline value, which may be extended if data
show that the average service life for engines in the family is longer.
For example, we may require that the manufacturer certify the engine
over a longer useful life period that more accurately represents the
engines' expected operating life if we find that in-use engines are
typically operating substantially more than 480 hours. This approach is
similar to what we adopted for recreational vehicles.
For SD/I high-performance engines, we are specifying a useful life
of 150 hours or 3 years for engines at or below 485 kW and a useful
life of 50 hours or 1 year for engines above 485 kW. Due to the high
power and high speed of these engines, mechanical parts are often
expected to wear out quickly. For instance, one manufacturer indicated
that some engines above 485 kW have scheduled head rebuilds between 50
and 75 hours of operation. These useful life values are consistent with
the California ARB regulations for SD/I high-performance engines.
Some SD/I engines below 373 kW may be designed for high power
output even though they do not reach the power threshold to qualify as
SD/I high-performance engines. Because they do not qualify for the
shorter useful life that applies to SD/I high-performance engines, they
will be subject to the default value of 480 hours for other SD/I
engines. However, to address the limited operating life for engines
that are designed for especially high power output, we are allowing
manufacturers to request a shorter useful life for such an engine
family based on information showing that engines in the family rarely
operate beyond the requested shorter period. For example, if engines
designed for extremely high-performance are typically rebuilt after 250
hours of operation, this will form the basis for establishing a shorter
useful life period for those engines. See Sec. 1045.105 for additional
detail in establishing a shorter useful life.
Jet boat engines that are certified in conjunction with outboard or
personal watercraft engine families are subject to the shorter useful
life period that applies for outboard or personal watercraft engines.
This is necessary to prevent a situation where the original
certification data is insufficient for certifying the jet boat engines
without some further testing or analysis to show that the engines meet
emission standards over a longer period.
(b) Warranty Periods
We are requiring that manufacturers provide an emission-related
warranty during the first three years or 480 hours of engine operation,
whichever comes first (see Sec. 1045.120). This warranty period
applies equally to emission-related electronic components on SD/I high-
performance engines. However, we are allowing shorter warranty periods
(in hours) for emission-related mechanical components on SD/I high-
performance engines because these parts are expected to wear out more
rapidly than comparable parts on traditional SD/I engines.
Specifically, we are specifying a warranty period for emission-related
mechanical components of 3 years or 150 hours for high-performance
engines between 373 and 485 kW, and 1 year or 50 hours for high-
performance engines above 485 kW. These warranty periods are the same
as those adopted by the California ARB.
If the manufacturer offers a longer warranty for the engine or any
of its components at no additional charge, we require that the
emission-related warranty for the respective engine or component must
be extended by the same amount. The emission-related warranty includes
components related to controlling exhaust, evaporative, and crankcase
emissions from the engine. These warranty requirements are consistent
with provisions that apply in most other programs for nonroad engines.
(6) Engine Diagnostics
We are requiring that manufacturers design their catalyst-equipped
SD/I engines to diagnose malfunctioning emission control systems
starting with the introduction of the final standards (see Sec.
1045.110). As discussed in the Final RIA, three-way catalyst systems
with closed-loop fueling control work well only when the air-fuel
ratios are controlled to stay within a narrow range around
stoichiometry. Worn or broken components or drifting calibrations over
time can prevent an engine from operating within the specified range.
This increases emissions and can lead to significantly increased fuel
consumption and engine wear. The operator may or may not notice the
change in the way the engine operates. We are not requiring similar
diagnostic controls for OB/PWC engines because the anticipated emission
control technologies for these other applications are generally less
susceptible to drift and gradual deterioration. We have adopted similar
diagnostic requirements for Large SI engines operating in forklifts and
other industrial equipment that also use three-way catalysts to meet
emission standards.
This diagnostic requirement focuses solely on maintaining
stoichiometric control of air-fuel ratios. This kind of design detects
problems such as broken oxygen sensors, leaking exhaust pipes (upstream
of sensors and catalysts), fuel deposits, and other things that require
maintenance to keep the engine at the proper air-fuel ratio.
Diagnostic monitoring provides a mechanism to help keep engines
tuned to operate properly, with benefits for both controlling emissions
and maintaining optimal performance. There are currently no inspection
and maintenance programs for marine engines, so the most important
variable in making the emission control and diagnostic systems
effective is getting operators to repair the engine when the diagnostic
light comes on. This calls for a relatively simple design to avoid
signaling false failures as much as possible. The diagnostic
requirements in this final rule, therefore, focus on detecting
inappropriate air-fuel ratios, which is the most likely failure mode
for three-way catalyst systems. The malfunction indicator must go on
when an engine runs for a full minute under closed-loop operation
without reaching a stoichiometric air-fuel ratio.
California ARB has adopted diagnostic requirements for SD/I engines
that involve a more extensive system for monitoring catalyst
performance and other parameters. We will accept a California-approved
system as meeting EPA requirements. The final regulations direct
manufacturers to follow standard practices defined in documents adopted
recently by the Society of Automotive Engineers in SAE J1939-5. See
Sec. 1045.110 for detailed information.
[[Page 59055]]
D. Test Procedures for Certification
(1) General Provisions
The marine engine test procedures are generally the same for both
SD/I and OB/PWC engines. This involves laboratory measurement of
emissions while the engine operates over the ISO E4 duty cycle. This is
a five-mode steady-state duty cycle including an idle mode and four
modes lying on a propeller curve with an exponent of 2.5, as shown in
Appendix II to part 1045. The International Organization for
Standardization (ISO) intended for this cycle to be used for
recreational spark-ignition marine engines installed in vessels up to
24 m in length. Because most or all vessels over 24 m have diesel
engines, we believe the E4 duty cycle is most appropriate for SD/I
engines covered by this rule. There may be some spark-ignition engines
installed in vessels somewhat longer than 24 m, but we believe the E4
duty cycle is no less appropriate in these cases. See Section IV.D for
a discussion of adjustments to the test procedures related to the
migration to 40 CFR part 1065, testing with a ramped-modal cycle,
determining maximum test speed for denormalizing the duty cycle, and
testing at high altitude.
The E4 duty cycle includes a weighting of 40 percent for idle. For
SD/I high-performance engines, commenters suggested that these engines
typically have substantial auxiliary loads and parasitic losses even
when the vessel does not need propulsion power. While the specified
duty cycle for SD/I high-performance engines is identical to that for
other Marine SI engines, we would expect manufacturers to use the
provisions of Sec. 1065.510(b)(3) to target a reference torque of 15
percent instead of zero at idle.
(2) Not-to-Exceed Test Procedures and Standards
We are adopting not-to-exceed (NTE) requirements similar to those
established for marine diesel engines. Engines will be required to meet
the NTE standards during normal in-use operation.
(a) Concept
Our goal is to achieve control of emissions over a wide range of
ambient conditions and over the broad range of in-use speed and load
combinations that can occur on a marine engine. This will ensure real-
world emission control, rather than just controlling emissions under
certain laboratory conditions. This allows us to evaluate an engine's
compliance during in-use testing without removing the engine from the
vessel because the NTE requirements establish an objective standard and
an easily implemented test procedure. Our traditional approach has been
to set a numerical standard on a specified test procedure and rely on
the additional prohibition of defeat devices to ensure in-use control
over a broad range of operation not included in the test procedure. We
are establishing the same prohibition on defeat devices for OB/PWC and
SD/I engines (see Sec. 1045.115).
No single test procedure or test cycle can cover all real-world
applications, operations, or conditions. Yet to ensure that emission
standards are providing the intended benefits in use, we must have a
reasonable expectation that emissions under real-world conditions
reflect those measured on the test procedure. The defeat device
prohibition is designed to ensure that emission controls are employed
during real-world operation, not just under laboratory testing
conditions. However, the defeat device prohibition is not a quantified
standard and does not have an associated test procedure, so it does not
have the clear objectivity and ready enforceability of a numerical
standard and test procedure. We believe using the traditional approach,
i.e., using only a standardized laboratory test procedure and test
cycle, makes it difficult to ensure that engines will operate with the
same level of emission control in use as in the laboratory.
Because the duty cycle we have adopted uses only five modes on an
average propeller curve to characterize marine engine operation, we are
concerned that an engine designed to that duty cycle will not
necessarily perform the same way over the range of speed and load
combinations seen on a boat. This duty cycle is based on an average
propeller curve, but a marine propulsion engine may never be fitted
with an ``average propeller.'' For instance, an engine installed in a
specific boat with a particular propeller may operate differently based
on the design of the boat and how heavily the boat is loaded, among
other factors.
To ensure that engines control emissions over a wide range of speed
and load combinations normally seen on boats, we are including a zone
under the engine's power curve where the engine may not exceed a
specified emission limit (see Sec. 1045.105 and Sec. 1045.515). This
limit will apply to all regulated pollutants during steady-state
operation. In addition, we are requiring that a wide range of real
ambient conditions be included in testing with this NTE zone. The NTE
zone, limit, and ambient conditions are described below.
We believe there are significant advantages to establishing NTE
standards. The final NTE test procedure is flexible, so it can
represent the majority of in-use engine operation and ambient
conditions. The NTE approach thus takes all the benefits of a numerical
standard and test procedure and expands it to cover a broad range of
conditions. Also, laboratory testing makes it harder to perform in-use
testing because either the engines will have to be removed from the
vessel or care will have to be taken to achieve laboratory-type
conditions on the vessel. With the NTE approach, in-use testing and
compliance become much easier since emissions may be sampled during
normal boating. By establishing an objective measurement, this approach
makes enforcement of defeat device provisions easier and provides more
certainty to the industry.
Even with the NTE requirements, we believe it is still appropriate
to retain standards based on the steady-state duty cycle. This is the
standard that we expect the certified marine engines to meet on average
in use. The NTE testing is focused more on maximum emissions for
segments of operation and, in most cases, will not require additional
technology beyond what is used to meet the final standards. In some
cases, the calibration of the engine may need to be adjusted. We
believe that basing the emission standards on a distinct cycle and
using the NTE zone to ensure in-use control creates a comprehensive
program.
We believe the technology used to meet the standards over the five-
mode duty cycle, when properly calibrated, will meet the caps that
apply across the NTE zone. We therefore do not expect the final NTE
standards to cause manufacturers to need additional hardware. We
believe the NTE standard will not result in a large amount of
additional testing, because these engines should be designed to perform
as well in use as they do over the five-mode test. However, our cost
analysis in the Final RIA accounts for some additional testing,
especially in the early years, to provide manufacturers with assurance
that their engines will meet the NTE requirements.
(b) Shape of NTE Zone
We developed the NTE zone based on the range of conditions that
these engines typically see in use. Manufacturers collected data on
several engines installed on vessels and operated under light and heavy
load. Chapter 4 of the Final RIA presents this data and describes the
development of the boundaries and conditions
[[Page 59056]]
associated with the NTE zone. Although significant in-use engine
operation occurs at low speeds, we are excluding operation below 40
percent of maximum test speed because brake-specific emissions increase
dramatically as power approaches zero. An NTE limit for low-speed or
low-power operation will be very hard for manufacturers and EPA to
implement in a meaningful way.
We anticipate that most, if not all SD/I engines subject to the NTE
standards will use three-way catalytic controls to meet the exhaust
emission standards. For that reason, this discussion focuses on the NTE
zone and subzones for catalyst-equipped engines. Catalysts are most
effective when the fuel-air ratio in the exhaust is near stoichiometry,
and engine manufacturers use closed-loop electronic control to monitor
and maintain the proper fuel-air ratio in the exhaust for optimum
catalyst efficiency. However, at high power, engine manufacturers must
increase the fueling rate to reduce the exhaust temperatures.
Otherwise, if the exhaust temperature becomes too high, exhaust valves
and catalysts may be damaged. During rich, open-loop operation at high
power, the catalyst is oxygen-limited and less effective at oxidizing
HC and CO. To address the issue of open-loop catalyst efficiency, we
created a high power subzone for catalyst-equipped engines. The shape
of this subzone is based on data presented in the RIA on engine
protection strategies.
Figure III-1 illustrates the final NTE zone for engines equipped
with catalysts. Section IV.D.5 discusses the NTE test procedures and
limits for non-catalyzed engines. The NTE zones and standards apply
depending on whether the engine has a catalyst or not, so outboard or
personal watercraft engines may be subject to the NTE approach
described in this section and sterndrive/inboard engines may be subject
to the NTE provisions described in Section IV.D.5. However, we expect
these situations to be rather uncommon.
[GRAPHIC] [TIFF OMITTED] TR08OC08.061
The final regulations allow manufacturers to request approval for
adjustments to the size and shape of the NTE zone for certain engines
if they can show that the engine will not normally operate outside the
revised NTE zone in use (see Sec. 1045.515). We do not want
manufacturers to go to extra lengths to design and test their engines
to control emissions for operation that will not occur in use. However,
manufacturers will still be responsible for all operation of an engine
on a vessel that will reasonably be expected to be seen in use, and
they will be responsible for ensuring that their specified operation is
indicative of real-world operation. EPA testing may include any normal
operation observed on in-use vessels, consistent with the applicable
regulatory provisions. In addition, if a manufacturer designs an engine
for operation at speeds and loads outside of the NTE zone, the
manufacturer is required to notify us so the NTE zone used to comply
with the applicable standards can be modified appropriately to include
this operation for that engine family.
(c) NTE Emission Limits
We are establishing NTE limits for the individual subzones shown in
Figure III-1 above based on data collected from several SD/I engines
equipped with catalysts. These data and our analysis are presented in
Chapter 4 of the Final RIA. See Section IV.D.5 for a discussion
[[Page 59057]]
of NTE limits for engines not equipped with catalysts.
For catalyst-equipped engines, the largest contribution of
emissions over the 5-mode duty cycle comes from open-loop operation at
Mode 1. In addition, the idle point (Mode 5) is weighted 40 percent in
the 5-mode duty cycle, but not included in the NTE zone. For this
reason, brake-specific emissions throughout most of the NTE zone are
less than the weighted average from the steady-state testing. For most
of the NTE zone, we are therefore establishing a limit equal to the
duty-cycle standard (i.e., NTE multiplier = 1.0). This means that these
engines may not have steady-state emissions at any point inside the NTE
zone, except in the subzone around full-load operation, that exceed the
HC+NOX or CO emission standards.
Emission data on catalyst-equipped engines also show higher
emissions near full-power operation. As discussed above, this is due to
the need for richer fuel-air ratios under high-power operation to
protect the engines from overheating. Under rich conditions, a three-
way catalyst does not effectively oxidize CO emissions. Therefore, we
are not setting an NTE limit in Subzone 1 for CO. Some
HC+NOX control is expected in Subzone 1 because a three-way
catalyst will efficiently reduce NOX emissions under rich
conditions. Similar to CO, HC emissions are not effectively oxidized in
a catalyst during rich operation. We are therefore establishing a
higher NTE limit of 1.5 for HC+NOX in Subzone 1. This limit
is based on emission control performance during open-loop operation.
(d) Excluded Operation
As with marine diesel engines, only steady-state operation is
included for NTE testing (see Sec. 1045.515). Steady-state operation
will generally mean setting the throttle (or speed control) in a fixed
position. We believe most operation with Marine SI engines involves
nominally steady-state operator demand. It is true that boats often
experience rapid accelerations, such as with water skiing. However,
boats are typically designed for planing operation at relatively high
speeds. This limits the degree to which we would expect engines to
experience frequent accelerations during extended operation. Also,
because most of the transient events involve acceleration from idle to
reach a planing condition, most transient engine operation is outside
the NTE zone and will therefore not be covered by NTE testing anyway.
Moreover, we believe OB/PWC and SD/I engines designed to comply with
steady-state NTE requirements will be using technologies that also work
effectively under the changing speed and load conditions that may
occur. If we find there is substantial transient operation within the
NTE zone that causes significantly increased emissions from installed
engines, we will revisit this provision in the future.
We are aware that engines may not be able to meet emission
standards under all conditions, such as times when emission control
must be compromised for startability or safety. As with outboard and
personal watercraft engines, NTE testing excludes engine starting and
warm-up. We are allowing manufacturers to design their engines to
utilize engine protection strategies that will not be covered by defeat
device provisions or NTE standards. This is analogous to the tampering
exemptions incorporated into 40 CFR 1068.101(b)(1) to address
emergencies. We believe it is appropriate to allow manufacturers to
design their engines with ``limp-home'' capabilities to prevent a
scenario where an engine fails to function, leaving an operator on the
water without any means of propulsion.
(e) Ambient Conditions
Variations in ambient conditions can affect emissions. Such
conditions include air temperature, water temperature, barometric
pressure, and humidity. We are applying the comparable ranges for these
variables as for marine diesel engines (see Sec. 1045.515). Within the
specified ranges, there is no provision to correct emission levels to
standard conditions. Outside of the specified ranges, emissions may be
corrected back to the nearest end of the range using good engineering
practice. The specified ranges are 13 to 35 [deg]C (55 to 95 [deg]F)
for ambient air temperature, 5 to 27 [deg]C (41 to 80 [deg]F) for
ambient water temperature, and 94.0 to 103.325 kPa for atmospheric
pressure. NTE testing may take place at any humidity level, but
manufacturers may correct for humidity effects as described in Sec.
1065.670.
(f) Measurement Methods
While it may be easier to test outboard engines in the laboratory,
there is a strong advantage to using portable measurement equipment to
test SD/I engines and personal watercraft without removing the engine
from the vessel. Field testing will also provide a much better means of
measuring emissions to establish compliance with the NTE standards,
because it is intended to ensure control of emissions during normal in-
use operation that may not occur during laboratory testing over the
specified duty cycle. We are adopting field-testing provisions for all
SD/I engines. These field-testing procedures are described further in
Section IV.E.2.
A parameter to consider is the minimum sampling time for field
testing. A longer period allows for greater accuracy, due mainly to the
smoothing effect of measuring over several transient events. On the
other hand, an overly long sampling period can mask areas of engine
operation with poor emission control characteristics. To balance these
concerns, we are applying a minimum sampling period of 30 seconds. This
is consistent with the requirement for marine diesel engines. Spark-
ignition engines generally don't have turbochargers and they control
emissions largely by maintaining air-fuel ratio. Spark-ignition engines
are therefore much less prone to consistent emission spikes from off-
cycle or unusual engine operation. We believe the minimum 30 second
sampling time will ensure sufficient measurement accuracy and will
allow for meaningful measurements.
We do not specify a maximum sampling time. We expect manufacturers
testing in-use engines to select an approximate sampling time before
measuring emissions. However, for any sampling period, each 30-second
period of operation would be subject to the NTE standards. For example,
manufacturers may measure emissions for ten minutes. The engine's
emissions over the ten-minute period would need to meet the applicable
NTE standards, but each 30-second period of operation during the ten-
minute period should also be evaluated to determine that the engine
complies.
(g) Certification
We are requiring that manufacturers state in their application for
certification that their engines will comply with the NTE standards
under any nominally steady-state combination of speeds and loads within
the new NTE zone (see Sec. 1045.205). The manufacturer must also
provide a detailed description of all testing, engineering analysis,
and other information that forms the basis for the statement. This
statement will be based on testing and, if applicable, other research
that supports such a statement, consistent with good engineering
judgment. We will review the basis for this statement during the
certification process. For marine diesel engines, we have provided
guidance that manufacturers may demonstrate compliance with NTE
standards by testing their engines at a number of standard points
throughout the NTE zone. In addition, manufacturers must test at a few
random points chosen by EPA prior to the testing.
[[Page 59058]]
E. Additional Certification and Compliance Provisions
(1) Production-Line Testing
There are several factors that have led us to conclude that we
should not finalize production-line testing requirements for SD/I
engines in this rulemaking. First, California ARB has not yet adopted
production-line testing requirements for these engines. Second, the
companies producing these engines are predominantly small businesses.
Third, the relatively short useful life and small sales volumes limit
the overall emissions effect from these engines. Fourth, we are aware
that marine engines may need additional setup time for testing to
simulate the marine configuration. We do not consider any of these
issues to be fundamental, but we believe it is best to defer further
consideration of a requirement for production-line testing until a
later rulemaking. This would allow us to better understand the degree
of compliance with emission standards, the effectiveness of diagnostic
controls, and California ARB's interest in requiring production-line
testing. However, we may require the manufacturer to conduct a
reasonable degree of testing under Clean Air Act section 208 if we have
reason to believe that an engine family does not conform to the
regulations. This testing may take the form of a Selective Enforcement
Audit.
(2) In-Use Testing
Manufacturers of OB/PWC engines have been required to test in-use
engines to show that they continue to meet emission standards. We
contemplated a similar requirement for SD/I engines, but have decided
not to adopt a requirement for a manufacturer-run in-use testing
program at this time. Manufacturers have pointed out that it would be
very difficult to identify a commercial fleet of boats that could be
set up to operate for hundreds of hours because it is very uncommon for
commercial operators to have significant numbers of SD/I vessels. Where
there are commercial fleets of vessels that may be conducive to
accelerated in-use service accumulation, these vessels generally use
outboard engines. Manufacturers could instead hire drivers to operate
the boats, but this may be cost-prohibitive. There is also a question
about access to the engines for testing. If engines need to be removed
from vessels for testing in the laboratory for some reason, it is
unlikely that owners will cooperate.
While we are not establishing a program to require manufacturers to
routinely test in-use engines, the Clean Air Act allows us to perform
our own testing at any time with in-use engines to evaluate whether
they continue to meet emission standards throughout the useful life.
This may involve either laboratory testing or in-field testing with
portable measurement equipment. For laboratory tests, we could evaluate
compliance with either the duty-cycle standards or the not-to-exceed
standards. For testing with engines that remain installed on marine
vessels, we will evaluate compliance with the not-to-exceed standards.
In addition, as described above for production-line testing, we may
require manufacturers to perform a reasonable degree of testing. This
may include testing in-use engines.
(3) Certification Fees
Under our current certification program, manufacturers pay a fee to
cover the costs for various certification and other compliance
activities associated with implementing the emission standards. As
explained below, we are assessing EPA's compliance costs associated
with SD/I engines based on EPA's existing fees regulation. Section VI
describes a new fees category we are adopting, based on the cost study
methodology used in establishing EPA's original fees regulation, for
costs related to the final evaporative emission standards for both
vessels and equipment that are subject to this final rule.
EPA established a fee structure by grouping together various
manufacturers and industries into fee categories, with an explanation
that separation of industries into groups was appropriate to tailor the
applicable fee to the level of effort expected for EPA to oversee the
range of certification and compliance responsibilities (69 FR 26222,
May 11, 2004). As part of this process, EPA conducted a cost analysis
to determine the various compliance activities associated with each fee
category and EPA's associated annual cost burden. Once the total EPA
costs were determined for each fee category, the total number of
certificates involved within a fee category was added together and
divided into the total costs to determine the appropriate assessment
for each anticipated certificate.\94\ One of the fee categories created
was for ``Other Engines and Vehicles,'' which includes marine engines
(both compression-ignition and spark-ignition), nonroad spark-ignition
engines (above and below 19 kW), locomotive engines, recreational
vehicles, heavy-duty evaporative systems, and heavy-duty engines
certified only for sale in California. These engine and vehicle types
were grouped together because EPA planned a more basic certification
review than, for example, for light-duty motor vehicles.
---------------------------------------------------------------------------
\94\ See Cost Analysis Document at p. 21 associated with the
proposed fees rule (http://www.epa.gov/otaq/fees.htm).
---------------------------------------------------------------------------
EPA determined in the final fees rulemaking that it was premature
to assess fees for SD/I engines since they were not yet subject to
emission standards. The fee calculation nevertheless includes a
projection that there will eventually be 25 certificates of conformity
annually for SD/I engines. We are now formally including SD/I engines
in the ``Other Engines and Vehicles'' category such that the baseline
fee is $839 for each certificate of conformity. Note that we will
continue to update assessed fees each year, so the actual fee in 2010
and later model years will depend on these annual calculations (see
Sec. 1027.105).
(4) Special Provisions Related to Partially Complete Engines
It is common practice for one company to produce engine blocks that
a second company modifies for use as a marine engine. Since our
regulations prohibit the sale of uncertified engines, we are
establishing provisions to clarify the status of these engines and
defining a path by which these engines can be handled without violating
the regulations. See Section VIII.C.1 for more information.
(5) Use of Engines Already Certified to Other Programs
In some cases, manufacturers may want to use engines already
certified under our other programs. Engines certified to the emission
standards for highway applications in part 86 or Large SI applications
in part 1048 are meeting more stringent standards. We are therefore
allowing the pre-existing certification to be valid for engines used in
marine applications, on the condition that the engine is not changed
from its certified configuration in any way (see Sec. 1045.605).
Manufacturers will need to demonstrate that fewer than five percent of
the total sales of the engine model are for marine applications. There
are also a few minor notification and labeling requirements to allow
for EPA oversight of this provision. We are adopting similar provisions
for engines below 19 kW that are certified to Small SI standards as
described in Section III.C.1.
[[Page 59059]]
(6) Import-specific Information at Certification
We are requiring additional information to improve our ability to
oversee compliance related to imported engines (see Sec. 1045.205). In
the application for certification, we require the following additional
information: (1) The port or ports at which the manufacturer has
imported engines over the previous 12 months, (2) the names and
addresses of the agents the manufacturer has authorized to import the
engines, and (3) the location of the test facilities in the United
States where the manufacturer will test the engines if we select them
for testing under a selective enforcement audit. See Section 1.3 of the
Summary and Analysis of Comments for further discussion related to
naming test facilities in the United States.
(7) Alternate Fuels
See Section IV.E.7 for a discussion of requirements that apply to
spark-ignition SD/I engines that operate on fuels other than gasoline.
F. Small-Business Provisions
(1) Small Business Advocacy Review Panel
On June 7, 1999, we convened a Small Business Advocacy Review Panel
under section 609(b) of the Regulatory Flexibility Act as amended by
the Small Business Regulatory Enforcement Fairness Act of 1996 (RFA).
The purpose of the Panel was to collect the advice and recommendations
of representatives of small entities that could be affected by the
proposal and to report on those comments and the Panel's findings and
recommendations as to issues related to the key elements of the Initial
Regulatory Flexibility Analysis under section 603 of the Regulatory
Flexibility Act. We re-convened the Panel on August 17, 2006 to update
our review for the proposal. The Panel reports have been placed in the
rulemaking record for this final rule. Section 609(b) of the Regulatory
Flexibility Act directs the review Panel to report on the comments of
small entity representatives and make findings as to issues related to
certain elements of an initial regulatory flexibility analysis (IRFA)
under RFA section 603. Those elements of an IRFA are:
A description of, and where feasible, an estimate of the
number of small entities to which the rule will apply;
A description of projected reporting, recordkeeping, and
other compliance requirements of the rule, including an estimate of the
classes of small entities that will be subject to the requirements and
the type of professional skills necessary for preparation of the report
or record;
An identification, to the extent practicable, of all
relevant Federal rules that may duplicate, overlap, or conflict with
the rule; and
A description of any significant alternative to the rule
that accomplishes the stated objectives of applicable statutes and that
minimizes any significant economic impact of the rule on small
entities.
In addition to the EPA's Small Business Advocacy Chairperson, the
Panel consisted of the Director of the Assessment and Standards
Division of the Office of Transportation and Air Quality, the
Administrator of the Office of Information and Regulatory Affairs
within the Office of Management and Budget, and the Chief Counsel for
Advocacy of the Small Business Administration.
EPA used the size standards provided by the Small Business
Administration (SBA) at 13 CFR part 121 to identify small entities for
the purposes of its regulatory flexibility analysis. Companies that
manufacture internal-combustion engines and that employ fewer than 1000
employees are considered small businesses for the purpose of the RFA
analysis for this rule. Equipment manufacturers, boat builders, and
fuel system component manufacturers that employ fewer than 500 people
are considered small businesses for the purpose of the RFA analysis for
this rule. Based on this information, we asked 25 companies that met
the SBA small business thresholds to serve as small entity
representatives for the duration of the Panel process. Of these 25
companies, 13 were involved in the marine industry. These companies
represented a cross-section of SD/I engine manufacturers, boat
builders, and fuel system component manufacturers.
With input from small entity representatives, the Panel reports
provide findings and recommendations on how to reduce potential burden
on small businesses that may occur as a result of the proposed rule.
The Panel reports are included in the rulemaking record for this
action. In light of the Panel report, and where appropriate, we
proposed a number of provisions for small business SD/I engine
manufacturers. With this final rule we are adopting many of the
flexibility options proposed with some changes due to the different
standards we are adopting for SD/I high-performance engines. In
addition, we are making a change to the criteria for determining which
companies are eligible for the flexibility options. The following
section describes the flexibility options being adopted as part of this
final rule and the criteria for determining which manufacturers are
eligible.
(2) Final Burden Reduction Approaches for Small-Volume SD/I Engine
Manufacturers
We are establishing several options for small-volume SD/I engine
manufacturers. For purposes of determining which engine manufacturers
are eligible for the small business provisions described below for SD/I
engine manufacturers, we are adopting a 250 employee limit. EPA
believes this limit will cover all the existing small business SD/I
engine manufacturers (as defined by SBA), but places a reasonable limit
on how large a company could grow before they are no longer eligible
for EPA's flexibilities for small volume engine manufacturers.
(a) Additional Lead Time
As recommended in the SBAR Panel report and as proposed, EPA is
establishing an implementation date of 2011 for conventional SD/I
engines produced by small volume engine manufacturers. In addition, EPA
is establishing an implementation date of 2013 for SD/I high-
performance engines produced by small volume engine manufacturers (see
Sec. 1045.145).
(b) Exhaust Emission ABT
In the proposal, EPA cited concerns raised by small businesses that
ABT could give a competitive advantage to large businesses and
requested comment on the desirability of credit trading between high-
performance and conventional SD/I marine engines. As described earlier
in Section III.C.1, EPA is adopting different standards for SD/I high-
performance engines than originally proposed. While we are adopting an
averaging, banking, and trading (ABT) credit program for conventional
SD/I marine engines (see part 1045, subpart H), SD/I high-performance
engines are required to meet the new standards without an ABT program.
(c) Early Credit Generation for ABT
As recommended in the SBAR Panel report and as proposed, we are
adopting an early banking program in which small volume engine
manufacturers can earn bonus credits for certifying earlier than
required (see Sec. 1045.145). This program, combined with the
additional lead time for small businesses, will give small-volume SD/I
engine manufacturers ample opportunity to
[[Page 59060]]
bank emission credits prior to the implementation date of the standards
and will provide greater incentive for more small business engine
manufacturers to introduce advanced technology earlier across the
nation than will otherwise occur. The ABT program applies only to
conventional SD/I engines so the early credit provisions will not apply
to SD/I high-performance engines.
(d) Assigned Emission Rates for SD/I High-Performance Engines
In the proposal, EPA noted that engine manufacturers using emission
credits to comply with the standard will still need to test engines to
calculate how many emission credits are needed. To minimize this
testing burden, we proposed to allow manufacturers to use assigned
baseline emission rates for certification based on previously generated
emission data. As discussed above, we are adopting less stringent
standards for SD/I high-performance engines that do not allow for the
use of the ABT program for demonstrating compliance with the standards.
We are not adopting baseline HC+NOX and CO emission rates
for SD/I high-performance engines since the proposed levels were higher
than the standards being adopted and therefore are of no use without an
ABT program.
(e) Alternative Standards for SD/I High-Performance Engines
In the proposal, EPA cited concerns raised by small businesses that
catalysts had not been demonstrated on high-performance engines and
that they may not be practicable for this application and therefore
requested comment on the need for and level of alternative standards
for SD/I high-performance engines. As described in Section III.C.1, we
are adopting a less stringent set of exhaust emission standards for SD/
I high-performance engines than originally proposed.
In addition, as described in Section III.C.2, we are not adopting
NTE standards for SD/I high-performance engines (See Sec. 1045.105).
This is consistent with the SBAR Panel recommendation that NTE
standards not apply to SD/I high-performance engines.
(f) Broad Engine Families for SD/I High-Performance Engines
In the proposal, EPA noted that the testing burden could be reduced
by using broader definitions of engine families. As proposed, we are
adopting provisions to allow small businesses to group all their SD/I
high-performance engines into a single engine family for certification
(see Sec. 1045.230). A manufacturer will need to perform emission
tests only on the engine in that family that is most likely to exceed
an emission standard.
(g) Simplified Test Procedures for SD/I High-Performance Engines
Existing testing requirements include detailed specifications for
the calibration and maintenance of testing equipment and tolerances for
performing the actual tests. For laboratory equipment and testing,
these specifications and tolerances are intended to achieve the most
repeatable results feasible given testing hardware capabilities. For
SD/I high-performance engines, EPA is adopting a provision that allows
for different equipment than is specified for the laboratory and with
less restrictive specifications and tolerances more typical of in-use
testing (see Sec. 1045.501(h)). These less restrictive specifications
will facilitate less expensive testing for businesses, with little or
no negative effect on the environment. The relaxation on these
specifications is especially helpful for testing high-performance
engines due to their high exhaust flow rates, temperatures, and
emission concentrations. This provision is available to all SD/I high-
performance engine manufacturers, regardless of business size.
(h) Reduced Testing Requirements for SD/I Engines
We are adopting provisions to allow small-volume engine
manufacturers to use an assigned deterioration factor to demonstrate
compliance with the standards for certification rather than doing
service accumulation and additional testing to measure deteriorated
emission levels at the end of the regulatory useful life (see Sec.
1045.240). EPA is not specifying actual levels for the assigned
deterioration factors in this final rule. EPA intends to analyze
available emission deterioration information to determine appropriate
deterioration factors for SD/I engines. The data will likely include
durability information from engines certified to California ARB's
standards and may also include engines certified early to EPA's
standards. Prior to the implementation date for the SD/I standards, EPA
will provide guidance to engine manufacturers specifying the levels of
the assigned deterioration factors for small-volume engine
manufacturers.
We proposed to exempt small-volume manufacturers of SD/I engines
from the production-line testing requirements. However, we are dropping
the production-line testing requirements for all SD/I engine
manufacturers. Therefore, no production-line testing will be required
of any SD/I engine manufacturer, whether large or small (see Sec.
1045.301).
(i) Hardship Provisions
We are adopting two types of hardship provisions for SD/I engine
manufacturers, consistent with the Panel recommendations. EPA used the
SBA size standards for purposes of defining ``small businesses'' for
its regulatory flexibility analysis. The eligibility criteria for the
hardship provisions described below reflect EPA's consideration of the
Panel's recommendations and a reasonable application of existing
hardship provisions. As has been our experience with similar provisions
already adopted, we anticipate that hardship mechanisms will be used
sparingly. First, under the unusual circumstances hardship provision,
any manufacturer subject to the new standards may apply for hardship
relief if circumstances outside their control cause the failure to
comply and if failure to sell the subject engines or equipment or fuel
system component would have a major impact on the company's solvency
(see Sec. 1068.245). An example of an unusual circumstance outside a
manufacturer's control may be an ``Act of God,'' a fire at the
manufacturing plant, or the unforeseen shutdown of a supplier with no
alternative available. The terms and time frame of the relief will
depend on the specific circumstances of the company and the situation
involved. As part of its application for hardship, a company will be
required to provide a compliance plan detailing when and how it will
achieve compliance with the standards. This hardship provision will be
available to all manufacturers of engines, equipment, boats, and fuel
system components subject to the new standards, regardless of business
size.
Second, an economic hardship provision allows small businesses
subject to the new standards to petition EPA for limited additional
lead time to comply with the standards (see Sec. 1068.250). A small
business must make the case that it has taken all possible business,
technical, and economic steps to comply, but the burden of compliance
costs would jeopardize the company's solvency. Hardship relief could
include requirements for interim emission reductions and/or the
purchase and use of emission credits. The length of the hardship relief
decided during review of the hardship application will be up to one
year, with the potential to extend the relief as needed. We anticipate
that
[[Page 59061]]
one to two years will normally be sufficient. As part of its
application for hardship, a company will be required to provide a
compliance plan detailing when and how it will achieve compliance with
the standards. This hardship provision will be available only to
qualifying small businesses.
Because boat builders in many cases will depend on engine
manufacturers to supply certified engines in time to produce complying
boats, we are also providing a hardship provision for all boat
builders, regardless of size, that will allow the builder to request
more time if they are unable to obtain a certified engine and they are
not at fault and will face serious economic hardship without an
extension (see Sec. 1068.255).
G. Technological Feasibility
(1) Level of Standards
Over the past few years, developmental programs have demonstrated
the capabilities of achieving significant reductions in exhaust
emissions from SD/I engines. California ARB has acted on this
information to set an HC+NOX emission standard of 5 g/kW-hr
for SD/I engines, starting in 2008. At this time, three engine
manufacturers have certified SD/I engines to these standards. Chapter 4
of the Final RIA presents data from these engines as well as detailed
data on several developmental SD/I engines with catalysts packaged
within water-cooled exhaust manifolds. Four of these developmental
engines were operated with catalysts in vessels for 480 hours. The
remaining developmental engines were tested with catalysts that had
been subjected to a rapid-aging cycle in the laboratory. Data from
these catalyst-equipped engines support the level of the standards.
SD/I high-performance engines have very high power outputs, large
exhaust gas flow rates, and relatively high concentrations of
hydrocarbons and carbon monoxide in the exhaust gases. As a result, we
believe it is not practical to apply catalyst technology to these
engines. We are therefore adopting standards for SD/I high-performance
engines based on the level of control that can be expected from
recalibration with electronically controlled fuel injection.
(2) Implementation Dates
We anticipate that manufacturers will use the same catalyst designs
to meet the final standards that they will use to meet the California
ARB standards for SD/I engines in 2008. We believe a requirement to
extend the California standards nationwide after a two-year delay
allows manufacturers adequate time to incorporate catalysts across
their product lines. Once the technology is developed for use in
California, it will be available for use nationwide. In fact, several
engine models currently certified to the California standards are
already available with catalysts nationwide. As discussed above, we are
accommodating the transition to new base engines by agreeing to one
year of hardship relief for companies that would otherwise need to
design and certify an engine for that one year before it becomes
obsolete.
(3) Technological Approaches
Engine manufacturers can adapt readily available technologies to
control emissions from SD/I engines. Electronically controlled fuel
injection gives manufacturers more precise control of the air/fuel
ratio in each cylinder, thereby giving them greater flexibility in how
they calibrate their engines. With the addition of an oxygen sensor,
electronic controls give manufacturers the ability to use closed-loop
control, which is especially valuable when using a catalyst. In
addition, manufacturers can achieve HC+NOX reductions
through the use of exhaust gas recirculation. However, the most
effective technology for controlling emissions is a three-way catalyst
in the exhaust stream.
In SD/I engines, the exhaust manifolds are water-jacketed and the
water mixes with the exhaust stream before exiting the vessel.
Manufacturers add a water jacket to the exhaust manifold to meet
temperature-safety protocol. They route this cooling water into the
exhaust to protect the exhaust couplings and to reduce engine noise.
Catalysts must therefore be placed upstream of the point where the
exhaust and water mix-this ensures the effectiveness and durability of
the catalyst. Because the catalyst must be small enough to fit in the
exhaust manifold, potential emission reductions are not likely to
exceed 90 percent, as is common in land-based applications. However, as
discussed in Chapter 4 of the Final RIA, data on catalyst-equipped SD/I
engines show that emissions may be reduced by 70 to 80 percent for
HC+NOX and 30 to 50 percent for CO over the test cycle.
Larger reductions, especially for CO, have been achieved at lower-speed
operation.
There have been concerns that aspects of the marine environment
could result in unique durability problems for catalysts. The primary
aspects that could affect catalyst durability are sustained operation
at high load, saltwater effects on catalyst efficiency, and thermal
shock from cold water coming into contact with a hot catalyst. Modern
catalysts perform well at temperatures up to 1100 [deg]C, which is much
higher than expected in a marine exhaust manifold. These catalysts have
also been shown to withstand the thermal shock of being immersed in
water. More detail on catalyst durability is presented in the Final
RIA. In addition, use of catalysts in automotive, motorcycle, and
handheld equipment has shown that catalysts can be packaged to
withstand vibration in the exhaust manifold.
Manufacturers already strive to design their exhaust systems to
prevent water from reaching the exhaust ports. If too much water
reaches the exhaust ports, significant durability problems will result
from corrosion or hydraulic lock. As discussed in the Final RIA,
industry and government worked on a number of cooperative test programs
in which several SD/I engines were equipped with catalysts and
installed in vessels to prove out the technology. Early in the
development work, a study was performed on an SD/I engine operating in
a boat to see if water was entering the part of the manifold where
catalysts will be installed. Although some water was collected in the
exhaust manifold, it was found that this water came from water vapor
that condensed out of the combustion products. This was easily
corrected using a thermostat to prevent overcooling from the water
jacket.
Four SD/I engines equipped with catalysts were operated in vessels
for 480 hours in fresh water. This time period was intended to
represent the full expected operating life of a typical SD/I engine. No
significant deterioration was observed on any of these catalysts, nor
was there any evidence of water reaching the catalysts. In addition,
the catalysts were packaged such that the exhaust system met industry
standards for maximum surface temperatures.
Testing has been performed on one engine in a vessel on both fresh
water and saltwater over a test protocol designed by industry to
simulate the worst-case operation for water reversion. No evidence was
found of water reaching the catalysts. After the testing, the engine
had emission rates below the HC+NOX standard. We later
engaged in a test program to evaluate three additional engines with
catalysts in vessels operating on saltwater for extended periods. Early
in the program, two of the three manifolds experienced corrosion in the
salt-water environment resulting in water leaks and damage to the
catalyst. These manifolds were rebuilt with guidance from experts in
the marine industry and additional
[[Page 59062]]
hours were accumulated on the boats. Although the accumulated hours are
well below the 480 hours performed on fresh water, the operation
completed showed no visible evidence of water reversion or damage to
the catalysts.
Three SD/I engine manufacturers have certified SD/I engines to the
California ARB standards, and some catalyst-equipped engines are
available for purchase nationwide. Manufacturers have indicated that
they have successfully completed durability testing, including extended
in-use testing on saltwater.
(4) Regulatory Alternatives
In developing the final emission standards, we considered both what
was achievable without catalysts and what could be achieved with
larger, more efficient catalysts than those used in our test programs.
Chapter 4 of the Final RIA presents data on SD/I engines equipped with
exhaust gas recirculation (EGR). HC+NOX emission levels
below 10 g/kW-hr were achieved for each of the engines. CO emissions
ranged from 25 to 185 g/kW-hr. We believe EGR will be a technologically
feasible and cost-effective approach to reducing emissions from SD/I
marine engines. However, we believe greater reductions could be
achieved through the use of catalysts. We considered basing an interim
standard on EGR, but were concerned that this will divert
manufacturers' resources away from catalyst development and could have
the effect of delaying emission reductions from this sector.
Several of the marine engines with catalysts that were tested as
part of the development of the standards had HC+NOX emission
rates appreciably lower that 5 g/kW-hr, even with consideration of
expected in-use emissions deterioration associated with catalyst aging.
However, we believe a standard of 5 g/kW-hr is still appropriate given
the potential variability in in-use performance and in test data. The
test programs described in Chapter 4 of the Final RIA did not
investigate larger catalysts for SD/I applications. The goal of the
testing was to demonstrate catalysts that will work within the
packaging constraints associated with water jacketing the exhaust and
fitting the engines into engine compartments on boats. However, we did
perform testing on engines equipped with both catalysts and EGR. These
engines showed emission results in the 2-3 g/kW-hr range. We expect
that these same reductions could be achieved more simply through the
use of larger catalysts or catalysts with higher precious metal
loading. Past experience indicates that most manufacturers will strive
to achieve emission reductions well below the final standards to give
them certainty that they will pass the standards in-use, especially as
catalysts on SD/I engines are a new technology. Therefore, we do not
believe it is necessary at this time to set a lower standard for these
engines.
For SD/I high-performance engines, we originally proposed a
standard based on the use of catalysts and then considered a less
stringent alternative based on engine fuel system upgrades,
calibration, or other minor changes such as an air injection pump
rather than catalytic control. However, manufacturers commented that
catalysts are not practical for these engines due to the high exhaust
flow rates, high emission rates, and short time between rebuilds. In
the final rule, we are establishing standards that can be met through
the use of engine controls, similar to the alternative standard that
was analyzed in the proposal. Because we do not consider catalyst-based
standards to be feasible for high-performance engines at this time, we
did not model a more stringent alternative for these engines.
(5) Our Conclusions
We believe the final 2010 exhaust emission standards for SD/I
engines represent the greatest degree of emission reduction achievable
in this time frame. Manufacturers of conventional SD/I engines can meet
the standards through the use of three-way catalysts packaged in the
exhaust systems upstream of where the water and exhaust mix.
Manufacturers are already selling engines with this technology. By 2010
there will be widespread experience in applying emission controls to a
large number of engine models.
As discussed in Section VII, we do not believe the final standards
will have negative effects on energy, noise, or safety and may lead to
some positive effects.
IV. Outboard and Personal Watercraft Engines
A. Overview
This section applies to spark-ignition outboard and personal
watercraft (OB/PWC) marine engines and vessels. OB/PWC engines are
currently required to meet the HC+NOX exhaust emissions and
other related requirements under 40 CFR part 91. As a result of these
standards, manufacturers have spent the last several years developing
new technologies to replace traditional carbureted two-stroke engine
designs. Many of these technologies are capable of emission levels well
below the current standards. We are adopting new HC+NOX and
CO exhaust emission standards for OB/PWC marine engines reflecting the
capabilities of these new technologies.
For outboard and personal watercraft engines, the current emission
standards regulate only HC+NOX emissions. As described in
Section II, we are making the finding under Clean Air Act section
213(a)(3) that Marine SI engines cause or contribute to CO
nonattainment in two or more areas of the United States.
We believe manufacturers can use readily available technological
approaches to design their engines to meet the new standards. In fact,
as discussed in Chapter 4 of the Final RIA, manufacturers are already
producing several models of four-stroke engines and direction-injection
two-stroke engines that meet the new standards. The most important
compliance step for the standards will be to retire high-emitting
designs that are still available and replace them with these cleaner
engines. We are not establishing standards based on the use of
catalytic converters in OB/PWC engines. While this may be an attractive
technology in the future, we do not believe there has been sufficient
development work on the application of catalysts to OB/PWC engines to
use as a basis for standards at this time.
Note that we are migrating the regulatory requirements for marine
spark-ignition engines from 40 CFR part 91 to 40 CFR part 1045.
Manufacturers must comply with the provisions in part 1045 for an
engine once the exhaust emission standards begin to apply in 2010. This
gives us the opportunity to update the details of our certification and
compliance program to be consistent with the comparable provisions that
apply to other engine categories and describe regulatory requirements
in plain language. Most of the change in regulatory text provides
improved clarity without substantially changing procedures or
compliance obligations. Where there is a change that warrants further
attention, we describe the need for the change below.
Engines and vessels subject to part 1045 are also subject to the
general compliance provisions in 40 CFR part 1068. These include
prohibited acts and penalties, exemptions and importation provisions,
selective enforcement audits, defect reporting and recall, and hearing
procedures. See Section VIII of the preamble to the proposed rule for
further discussion of these general compliance provisions.
[[Page 59063]]
B. Engines Covered by This Rule
(1) Definition of Outboard and Personal Watercraft Engines and Vessels
The final standards are intended to apply to outboard marine
engines and engines used to propel personal watercraft. We are changing
the definitions of outboard and personal watercraft to reflect this
intent. The original definitions of outboard engine and personal
watercraft marine engine adopted in 40 CFR part 91 are presented below:
Outboard engine is a Marine SI engine that, when properly
mounted on a marine vessel in the position to operate, houses the
engine and drive unit external to the hull of the marine vessel.
Personal watercraft engine (PWC) is a Marine SI engine
that does not meet the definition of outboard engine, inboard engine,
or sterndrive engine, except that the Administrator in his or her
discretion may classify a PWC as an inboard or sterndrive engine if it
is comparable in technology and emissions to an inboard or sterndrive
engine.
With the implementation of catalyst-based standards for sterndrive
and inboard marine engines, we believe the above definitions could be
problematic. Certain applications using SD/I engines and able to apply
catalyst control will not be categorized as SD/I under the original
definitions in at least two cases. First, an airboat engine, which is
often mounted well above the hull of the engine and used to drive an
aircraft-like propeller could be misconstrued as an outboard engine.
However, like traditional sterndrive and inboard engines, airboat
engines are typically derived from automotive-based engines without
substantial modifications for marine application. Airboat engines can
use the same technologies that are available to sterndrive and inboard
engines, so we believe they should be subject to the same standards. To
address the concerns about classifying airboats, we are changing the
outboard definition to specify that the engine and drive unit be a
single, self-contained unit that is designed to be lifted out of the
water. This clarifies that air boats are not outboard engines; air
boats do not have engines and drive units that are designed to be
lifted out of the water. We are adopting the following definition:
Outboard engine means an assembly of a spark-ignition
engine and drive unit used to propel a marine vessel from a properly
mounted position external to the hull of the marine vessel. An outboard
drive unit is partially submerged during operation and can be tilted
out of the water when not in use.
Second, engines used on jet boats (with an open bay for passengers)
have size, power, and usage characteristics that are very similar to
sterndrive and inboard applications, but these engines may be the same
as OB/PWC engines, rather than the marinized automotive engines
traditionally used on sterndrive vessels. Because jet boat engines may
be the same as OB/PWC engines, the regulations classified them as OB/
PWC engines unless the Agency classified them as SD/I due to comparable
technology and emissions as SD/I engines. However, as explained in the
proposed rule, we believe classifying such engines as personal
watercraft engines is inappropriate because it will subject the jet
boats to less stringent emission standards than other boats with
similar size, power, and usage characteristics, and thus potentially
lead to increased use of high-emitting engines in these vessels.
Because the current regulations authorize engines powering jet boats to
be treated as SD/I engines at the discretion of the Agency, but do not
compel such classification, we are finalizing amendments to the
definition to explicitly exclude jet boats and their engines from being
treated as personal watercraft engines or vessels. Instead, we are
classifying jet boat engines as SD/I engines.
The new definition conforms to the definition of personal
watercraft established by the International Organization for
Standardization (ISO 13590). This ISO standard excludes open-bay
vessels and specifies a maximum vessel length of 4 meters. The ISO
standard for personal watercraft therefore excludes personal
watercraft-like vessels 4 meters or greater and jet boats. Thus,
engines powering such vessels will be classified as sterndrive/inboard
engines. We believe this definition effectively serves to differentiate
vessels in a way that groups propulsion engines into categories that
are appropriate for meeting different emission standards. This approach
is shown below with the corresponding definition of personal watercraft
engine. We are making one change to the ISO definition for domestic
regulatory purposes; we are removing the word ``inboard'' to prevent
confusion between PWC and inboard engines and state specifically that a
vessel powered by an outboard marine engine is not a PWC. We are
revising the definitions as follows:
Personal watercraft means a vessel less than 4.0 meters
(13 feet) in length that uses an installed spark-ignition engine
powering a water jet pump as its primary source of propulsion and is
designed with no open load carrying area that would retain water. The
vessel is designed to be operated by a person or persons positioned on,
rather than within the confines of the hull. A vessel using an outboard
engine as its primary source of propulsion is not a personal
watercraft.
Personal watercraft engine means a spark-ignition engine
used to propel a personal watercraft.
Section III.C.3 describes special provisions that will allow
manufacturers extra flexibility with emission credits if they want to
continue using outboard or personal watercraft engines in jet boats.
These engines will need to meet the standards for sterndrive/inboard
engines, but we believe it is appropriate for them to make this
demonstration using emission credits generated by other outboard and
personal watercraft engines because these vessels are currently using
these engine types.
(2) Exclusions and Exemptions
We are maintaining the current exemptions for OB/PWC engines. These
include the testing exemption, the manufacturer-owned exemption, the
display exemption, and the national-security exemption. If the
conditions for an exemption are met, the engine is not subject to the
exhaust emission standards. These exemptions are described in more
detail in Section VIII of the preamble to the proposed rule.
The Clean Air Act provides for different treatment of engines used
solely for competition. In the initial rulemaking to set standards for
OB/PWC engines, we adopted the conventional definitions that excluded
engines from the regulations if they had features that were difficult
to remove and that made it unsafe, impractical, or unlikely to be used
for noncompetitive purposes. We have more recently taken the approach
in other programs of more carefully differentiating competition and
noncompetition models, and are adopting these kinds of changes in this
rule. The changes to the provisions relating to competition engines
apply equally to all types of Marine SI engines. See Section III.B and
Sec. 1045.620 of the regulations for a full discussion of the new
approach.
We are incorporating a new exemption to address individuals who
manufacture recreational marine vessels for personal use as described
in Section III.B.2.
In the rulemaking for recreational vehicles, we chose not to apply
standards to hobby products by
[[Page 59064]]
exempting all reduced-scale models of vehicles that are not capable of
transporting a person (67 FR 68242, November 8, 2002). We are extending
that same provision to OB/PWC marine engines (see Sec. 1045.5).
C. Final Exhaust Emission Standards
We are requiring more stringent exhaust emission standards for new
OB/PWC marine engines. These standards can be met through expanded
reliance on four-stroke engines and two-stroke direct-injection
engines. This section describes the new requirements for OB/PWC engines
for controlling exhaust emissions. See Section VI for a description of
the final requirements related to evaporative emissions.
(1) Standards and Dates
We are requiring new HC+NOX standards for OB/PWC engines
starting in model year 2010 that will achieve more than a 60 percent
reduction from the 2006 standards (see Sec. 1045.103). We are also
establishing new CO emission standards. These standards will result in
meaningful CO reductions from many engines and prevent CO from
increasing for engines that already use technologies with lower CO
emissions. The new emission standards are largely based on
certification data from cleaner-burning four-stroke engines and two-
stroke direct-injection engines that are certified under part 91.
Section IV.H discusses the technological feasibility of these standards
in more detail. Table IV-1 presents the exhaust emission standards for
OB/PWC. The HC+NOX emission standards are the same as those
adopted by California ARB for 2008 and later model years. We are also
applying not-to-exceed emission standards over a range of engine
operating conditions, as described in Section IV.C.2.
Table IV-1: OB/PWC Exhaust Emission Standards [g/kW-hr]
----------------------------------------------------------------------------------------------------------------
Pollutant Power Emission standard
----------------------------------------------------------------------------------------------------------------
HC+NOX............................. P <= 4.3 kW 30.0
P > 4.3 kW 2.1 + 0.09 x (151 + 557/P\0.9\))
CO................................. P <= 40 kW 500--5.0 x P
P> 40 kW 300
----------------------------------------------------------------------------------------------------------------
Note: P = maximum engine power in kilowatts (kW).
Our implementation date allows two additional years beyond the
implementation date of the same standards in California. Manufacturers
generally sell their lower-emission engines, which are already meeting
the 2008 California standards, nationwide. However, the additional time
will give manufacturers time to address any models that may not meet
the upcoming California standards or are not sold in California. This
also accommodates the lead time concerns with the timing of this final
rule as expressed by the commenters.
The emission standards apply at the range of atmospheric pressures
represented by the test conditions specified in part 1065. This
includes operation at elevated altitudes. Since not all engines have
electronic engines with feedback controls to incorporate altitude
compensation, we are taking the same approach here as for Small SI
engines where a similar dynamic is in place. Specifically, we are
requiring that all engines must comply with emission standards in the
standard configuration (i.e., without an altitude kit) at barometric
pressures above 94.0 kPa, which corresponds to altitudes up to about
2,000 feet above sea level (see Sec. 1045.115). This will ensure that
all areas east of the Rocky Mountains and most of the populated areas
in Pacific Coast states will have compliant engines without depending
on engine adjustments. This becomes more important as we anticipate
manufacturers increasingly relying on technologies that are sensitive
to controlling air-fuel ratio for reducing emissions. For operation at
higher altitudes, manufacturers may rely on an altitude kit that allows
their engines to meet emission standards at higher elevations. In this
case, engine manufacturers must describe the kit specifications in
their application for certification and identify in the owner's manual
the altitude ranges for proper engine performance and emission control
that are expected with and without the altitude kit. The owner's manual
must also state that operating the engine with the wrong engine
configuration at a given altitude may increase its emissions and
decrease fuel efficiency and performance. The regulations specify that
owners may follow the manufacturer's instructions to modify their
engines with altitude kits without violating the tampering prohibition.
See Section IV.E.8 for further discussion related to the deployment of
altitude kits where the manufacturers rely on them for operation at
higher altitudes.
The new standards include the same general provisions that apply
today. For example, engines must control crankcase emissions. The
regulations also require compliance over the full range of adjustable
parameters and prohibit the use of defeat devices. (See Sec.
1045.115.)
(2) Not-to-Exceed Standards
We are adopting emission standards that apply over an NTE zone. The
NTE standards are in the form of a multiplier times the duty-cycle
standard for HC+NOX and for CO (see Sec. 1045.105). Section
IV.D.5 gives an overview of the NTE standards and compliance provisions
and describes the NTE test procedures.
Manufacturers commented that certification to the NTE standards
requires additional testing even for engine models that are currently
certified to emission levels below the new duty-cycle based standards.
In addition, they expressed concern that they may need to recalibrate
existing engine models to meet the NTE standards. Manufacturers
commented that this would not be possible by 2010 because of the large
number of engine models. For most engines, manufacturers carry over
preexisting certification test data from year to year. Manufacturers
commented that additional time would be necessary to retest, and
potentially recalibrate, all these engines for certification to the NTE
standards. To address these issues regarding lead time needed to retest
these engines, we are not applying the NTE standards for 2010-2012
model year engines that are certified using preexisting data (i.e.,
carryover engine families). For new engine models, manufacturers
indicated that they will be able to perform the NTE testing and duty-
cycle testing as part of their efforts to certify to the new standards.
Therefore the primary implementation date of 2010 applies to these
engines. Beginning in the 2013 model year, all conventional OB/PWC
engines must be certified to meet the NTE standards.
[[Page 59065]]
This NTE approach complements the weighted modal emission tests
included in this rule. These steady-state duty cycles and standards are
intended to establish average emission levels over several discrete
modes of engine operation. Because it is an average, manufacturers
design their engines with emission levels at individual points varying
as needed to maintain maximum engine performance and still meet the
engine standard. The NTE limit will be an additional requirement. It is
intended to ensure that emission controls function with relative
consistency across the full range of expected operating conditions.
(3) Emission Credit Programs
Engine manufacturers may use emission credits to meet OB/PWC
standards under part 91. We are adopting an ABT program for the new
HC+NOX emission standards that is similar to the previous
program (see part 1045, subpart H). A description of the ABT provisions
for the new OB/PWC standards is described below.
OB/PWC engine manufacturers that have generated HC+NOX
credits under the 2006 standards will be able to use those credits to
demonstrate compliance with the new HC+NOX standards being
adopted in this final rule. The credits generated under the 2006
standards are subject to a three-year credit life. Therefore, a
manufacturer will be able to use those credits for demonstrating
compliance with the new standards as long as the credits have not
expired.
We are allowing an indefinite life for emission credits earned
under the new standards for OB/PWC engines. We consider these emission
credits to be part of the overall program for complying with standards.
Given that we may consider further reductions beyond these standards in
the future, we believe it will be important to assess the ABT credit
situation that exists at the time any further standards are considered.
Emission credit balances will be part of the analysis for determining
the appropriate level and timing of new standards, consistent with the
statutory requirement to establish standards that represent the
greatest degree of emission reduction achievable, considering cost,
safety, lead time, and other factors. If we were to allow the use of
credits generated under the standards adopted in this rule to meet more
stringent standards adopt in a future rulemaking, we may need to adopt
emission standards at more stringent levels or with an earlier start
date than we would absent the continued use of existing emission
credits, depending on the level of emission credit banks.
Alternatively, we may adopt future standards without allowing the use
of existing emission credits.
We are adopting the equation for calculating emission credits for
OB/PWC engines as proposed. This equation represents a simpler
calculation than is currently used for OB/PWC engines and is based on
the equation that is common in many of our other ABT programs. The
primary difference is that the regulatory useful life will be used in
the credit calculation rather than a discounted useful life function
based on engine type and power rating. In addition, the emission
credits will be reported in units of kilograms rather than grams.
We are also adopting an averaging program for CO emissions. Under
this program, manufacturers can generate credits with engine families
that have FELs below the CO emission standard to be used for engine
families in their product line in the same model year that are above
the CO standard. However, we are not establishing a banking program for
CO emissions. As noted in the proposal, we are concerned that a banking
program could result in a large accumulation of credits based on a
given company's mix of engine technologies. Furthermore, because we
generally allow trading only with banked credits, we are not allowing
trading of CO emission credits.
EPA proposed that manufacturers would not be able to earn credits
for one pollutant while using credits to comply with the emissions
standard for another pollutant. We are dropping that provision for the
final rule. The proposed restriction was modeled on similar
requirements in other ABT programs where there was concern that a
manufacturer could use technologies to reduce one pollutant while
increasing another pollutant. The types of technologies manufacturers
are expected to use to comply with the new standards include direct-
injection two-stroke engines or four-stroke engines. Both of these
technologies should result in reductions in both HC+NOX
emissions and CO emissions compared to current designs. While the
technologies are expected to reduce both HC+NOX emissions
and CO emissions, there could be situations where these technologies
are capable of meeting one of the emission standards but not the other.
EPA does not want to preclude such engines from being able to certify
using the provisions of the ABT program and is therefore dropping the
proposed restriction from the final rule.
For OB/PWC engines subject to the new emission standards, we are
adopting FEL caps to prevent the sale of very high-emitting engines.
For HC+NOX, the FEL cap will be the applicable 2006 and
later model year HC+NOX standard, which is dependent on the
average power of an engine family. For CO, the FEL cap will be 150 g/
kW-hr above the newly adopted CO standard, which is also dependent on
the average power of an engine family. We believe these FEL caps will
allow a great deal of flexibility for manufacturers using credits, but
will require manufacturers to stop producing engines that emit
pollutants at essentially uncontrolled levels.
We are specifying that OB/PWC engines are in a separate averaging
set from SD/I engines, with an exception for certain jet boat engines.
This means that credits earned by OB/PWC engines may be used only to
offset higher emissions from other OB/PWC engines. Likewise, credits
earned by SD/I engines may be used only to offset higher emissions from
other SD/I engines. As described in Section III.C.2, manufacturers will
be able to use credits generated from OB/PWC engines to demonstrate
that their jet boat engines meet the HC+NOX and CO standards
for SD/I engines if the majority of units sold in the United States
from those related OB/PWC engine families are sold for use as OB/PWC
engines.
Finally, manufacturers may include as part of their federal credit
calculation the sales of engines in California as long as they don't
separately account for those emission credits under the California
regulations. We originally proposed to exclude engines sold in
California that are subject to the California ARB standards. However,
we consider California's current HC+NOX standards to be
equivalent to those we are adopting in this rulemaking, so we would
expect a widespread practice of producing and marketing 50-state
products. Therefore, as long as a manufacturer is not generating
credits under California's averaging program for OB/PWC engines, we
would allow manufacturers to count those engines when calculating
credits under EPA's program. This is consistent with how EPA allows
credits to be calculated in other nonroad sectors, such as recreational
vehicles.
(4) Durability Provisions
We are keeping the useful life periods from 40 CFR part 91. The
specified useful life for outboard engines is 10 years or 350 hours of
operation, whichever comes first. The useful life for personal
watercraft engines is 5
[[Page 59066]]
years or 350 hours of operation, whichever comes first. (See Sec.
1045.103.)
We are updating the specified emissions warranty periods for
outboard and personal watercraft engines to align with our other
emission control programs (see Sec. 1045.120). Most nonroad engines
have emissions warranty periods that are half of the total useful life
period. Accordingly, the new warranty period for outboard engines is
five years or 175 hours of operation, whichever comes first. The new
warranty period for personal watercraft engines is 30 months or 175
hours, whichever comes first. This contrasts somewhat with the
currently specified warranty period of 200 hours or two years (or three
years for specified major emission control components). The new
approach will slightly decrease the warranty period in terms of hours,
but will somewhat increase the period in terms of calendar years (or
months).
If the manufacturer offers a longer mechanical warranty for the
engine or any of its components at no additional charge, we are
requiring that the emission-related warranty for the respective engine
or component must be extended by the same amount. The emission-related
warranty includes components related to controlling exhaust,
evaporative, and crankcase emissions from the engine. This approach to
setting warranty requirements is consistent with provisions that apply
in most other programs for nonroad engines.
We are keeping the requirements related to demonstrating the
durability of emission controls for purposes of certification (see
Sec. 1045.235, Sec. 1045.240, and Sec. 1045.245). Manufacturers must
run engines long enough to develop and justify full-life deterioration
factors. This allows manufacturers to generate a deterioration factor
that helps ensure that the engines will continue to control emissions
over a lifetime of operation. The new requirement to generate
deterioration factors for CO emissions is the same as that for
HC+NOX emissions. For the HC+NOX standard, we are
requiring that manufacturers use a single deterioration factor for the
sum of HC and NOX emissions. However, if manufacturers get
our approval to establish a deterioration factor on an engine that is
tested with service accumulation representing less than the full useful
life for any reason, we will require separate deterioration factors for
HC and NOX emissions. The advantage of a combined
deterioration factor is that it can account for an improvement in
emission levels with aging. However, for engines that have service
accumulation representing less than the full useful life, we believe it
is not appropriate to extrapolate measured values indicating that
emission levels for a particular pollutant will decrease.
Under the current regulations, emission-related maintenance is not
allowed during service accumulation to establish deterioration factors.
The only maintenance that may be done must be (1) regularly scheduled,
(2) unrelated to emissions, and (3) technologically necessary. This
typically includes changing engine oil, oil filter, fuel filter, and
air filter. In addition, we are specifying that manufacturers may not
schedule critical emission-related maintenance during the useful life
period (see Sec. 1045.125). This will prevent manufacturers from
designing engines with emission controls that depend on scheduled
maintenance that is not likely to occur with in-use engines.
D. Changes to OB/PWC Test Procedures
We are making a number of minor changes to the test procedures for
OB/PWC to make them more consistent with the test procedures for other
nonroad spark-ignition engines. These test provisions will apply to SD/
I marine engines as well.
(1) Duty Cycle
A duty cycle is the set of modes (engine speed and load) over which
an engine is operated during a test. For purposes of exhaust emission
testing, we are keeping the duty cycle specified for OB/PWC engines,
with two adjustments (see Sec. 1045.505). First, we are requiring that
manufacturers may choose to run the specified duty cycle as a ramped-
modal cycle. Second, we are changing the low-power test mode from a
specified 25 percent load condition to 25.3 percent load, which will
complete the intended alignment with the E4 duty cycle adopted by the
International Organization for Standardization.
(2) Maximum Test Speed
The definition of maximum test speed, where speed is the angular
velocity of an engine's crankshaft (usually expressed in revolutions
per minute, or rpm), is an important aspect of the duty cycles for
testing. Engine manufacturers currently declare the rated speeds for
their engines and then used the rated speed as the maximum speed for
testing. However, we have established an objective procedure for
measuring this engine parameter to have a clearer reference point for
an engine's maximum test speed. This is important to ensure that
engines are tested at operating points that correspond with in-use
operation. This also helps ensure that the NTE zone is appropriately
matched to in-use operating conditions.
We are defining the maximum test speed for any engine to be the
single point on an engine's maximum-power versus speed curve that lies
farthest away from the zero-power, zero-speed point on a normalized
maximum-power versus speed plot. In other words, consider straight
lines drawn between the origin (speed = 0, load = 0) and each point on
an engine's normalized maximum-power versus speed curve. The nominal
value of maximum test speed is defined at that point where the length
of this line reaches its maximum value.
The engine mapping procedures in part 1065 that we referenced in
the proposal allow manufacturers to declare a value for maximum test
speed that is within 2.5 percent of the calculated (or measured)
nominal value. Based on the manufacturers' descriptions of the way they
instruct boat builders to match propellers to their engines, we have
included in the final rule a special allowance for manufacturers to
declare a value for maximum test speed that is up to 500 rpm below the
calculated value. This equates to about 8 percent of the calculated
value for most engines; however, we would never expect manufacturers to
select a value for maximum test speed that is above the nominal value,
so the total allowable range is not much greater than for other
engines. We also note that the maximum test speed for a four-stroke
engine that remains installed in a vessel is the highest engine speed
that can occur. As long as the propeller matching and other vessel
characteristics do not take the engine outside of the manufacturer's
specified range, the engine would need to meet the Not-to-Exceed
standards based on the in-use value for maximum test speed. These
provisions related to maximum test speed apply equally to OB/PWC
engines and SD/I engines.
(3) 40 CFR Part 1065
We are requiring that OB/PWC engines certified to the new exhaust
emission standards use the test procedures in 40 CFR part 1065 instead
of those in 40 CFR part 91.\95\ Part 1065 includes detailed laboratory
and equipment specifications and procedures for equipment calibration
and emission measurements. These new procedures will apply starting
with the introduction of new exhaust standards,
[[Page 59067]]
though we will allow manufacturers to start using these new procedures
earlier as an alternative procedure. The procedures in part 1065
include updated provisions to account for newer measurement
technologies and improved calculation and corrections procedures. Part
1065 also specifies more detailed provisions related to alternate
procedures, including a requirement to conduct testing representative
of in-use operation. In many cases, we allow carryover of emission test
data from one year to another. After the implementation of the new
standards, we will allow the carryover of any test data generated prior
to 2009 under the test procedures in 40 CFR part 91.
---------------------------------------------------------------------------
\95\ See our previous rulemakings related to 40 CFR part 1065
for more information about the changes in test provisions (70 FR
40420, July 13, 2005 and 67 FR 68242, November 8, 2002).
---------------------------------------------------------------------------
(4) Engine Break-in
Testing new engines requires a period of engine operation to
stabilize emission levels. The regulations specify two separate figures
for break-in periods. First, for certification, we establish a limit on
how much an engine may operate and still be considered a ``low-hour''
engine. The results of testing with the low-hour engine are compared
with a deteriorated value after some degree of service accumulation to
establish a deterioration factor. For Large SI engines, we require that
low-hour test engines have no more than 300 hours of engine operation.
However, given the shorter useful life for marine engines, this will
not make for a meaningful process for establishing deterioration
factors, even if there is a degree of commonality between the two types
of engines. We are requiring that low-hour marine spark-ignition
engines generally have no more than 30 hours of engine operation (see
Sec. 1045.801). This allows some substantial time for break-in,
stabilization, and running multiple tests, without approaching a
significant fraction of the useful life. The current regulation in part
91 specifies that manufacturers perform the low-hour measurement after
no more than 12 hours of engine operation (see Sec. 91.408(a)(1)). The
new allowance for up to 30 hours of engine operation is consistent with
what we have done for recreational vehicles and will give manufacturers
more time to complete a valid low-hour test.
For production-line testing there is also a concern about how long
an engine should operate to reach a stabilized emission level. We are
keeping the provision in part 91 that allows for a presumed
stabilization period of 12 hours (see Sec. 90.117(a)). We believe 12
hours is sufficient to stabilize the emissions from the engine.
(5) Not-to-Exceed Test Procedures and Standards
Section III.D.2 discusses the general concept and approach behind
NTE standards for Marine SI engines. In addition, Section III.D.2
presents specific zones and limits for catalyst-equipped marine
engines. We are applying the same general NTE testing provisions to OB/
PWC engines, including the same broad NTE zone and ambient conditions
(see Sec. 1045.515).
We anticipate that most OB/PWC engines subject to the NTE standards
will use engine-based controls to meet the exhaust emission standards.
For that reason, this discussion focuses on the NTE zone and subzones
for engines not equipped with catalysts. Data presented in Chapter 4 of
the RIA suggests that the emissions characteristics of marine engines
are largely dependent on technology type. Four-stroke engines tend to
have relatively constant emission levels throughout the NTE zone. In
contrast, two-stroke engines tend to have high variability in
emissions, not only within the NTE zone but between different engine
designs as well. Therefore, we developed separate NTE approaches and
standards for four-stroke and two-stroke engines. These approaches and
standards are discussed below.
(a) Four-Stroke Marine Engines
The NTE approach for four-stroke marine engines without catalysts
is similar to that for catalyst-equipped engines as described in
Section III. We are applying the same NTE zone; however, we are
establishing different subzones and emission limits based on data
presented in the Final RIA. Emission data for four-stroke marine
engines suggest that brake-specific emission rates are relatively
constant throughout the NTE zone. One exception is slightly higher
HC+NOX emissions at low power. To account for this, we are
subdividing the NTE zone to have a low-power subzone below 50 percent
of maximum test speed. In this low-power subzone, the HC+NOX
NTE limit is 1.6, while it is 1.4 for the remainder of the NTE zone.
The CO NTE limit is 1.5 throughout the NTE zone. Figure IV-1 presents
the NTE zone and subzones. These limits would apply to all non-
catalyzed four-stroke engines. See Section III.D.2 for a detailed
discussion of NTE requirements that apply for catalyst-equipped engines
(including OB/PWC engines).
As discussed above in Section IV.C.2, we are providing extra lead
time for 2010-2012 model year engines certified using preexisting data.
The purpose of this provision is to allow testing and calibration work
to better fit into product development cycles. We have received an
indication that a small subset of existing outboard engines may need
additional time to meet the 1.4 NTE limit at mid-range speeds due to
technological challenges associated with high-power supercharging.
Manufacturers have indicated that a slightly higher limit of 1.6 would
be feasible in the 2013 time frame, but additional time would be needed
for hardware changes to meet the 1.4 limit. To address this issue, we
are temporarily expanding Subzone 2 to include mid-range speeds up to
70 percent of maximum test speed for supercharged outboard engines
greater than 150 kW. Beginning with the 2015 model year, these engines
would be subject to the same NTE zone and standards as other four-
stroke engines.
[[Page 59068]]
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(b) Two-Stroke Marine Engines
The emission data presented in Chapter 4 of the Final RIA for two-
stroke direct-injection marine engines suggest that these engines have
high variability in emissions, not only within the NTE zone but between
different engine designs as well. Due to this variability, we do not
believe that a flat (or stepped) limit in the NTE zone could be
effectively used to establish meaningful standards for these engines.
At the same time, we continue to believe that NTE standards are
valuable for facilitating in-use testing. We therefore developed a
weighted NTE approach specifically for these engines. In the long term,
we may consider further emission reductions based on catalytic control
applied to OB/PWC engines. In this case, we would revisit the
appropriateness of the weighted NTE approach in the context of those
standards.
Under the weighted NTE approach, emission data is collected at five
test points. These test points are idle, full power, and the speeds
specified in Modes 2 through 4 of the 5-mode duty cycle. Similar to the
5-mode duty cycle, the five test points are weighted to achieve a
composite value. This composite value must be no higher than 1.2 times
the FEL for that engine family.
The difference in this approach from the 5-mode duty cycle is that
the test torque is not specified. During an in-use test, the engine
would be set to the target speed and the torque value would be allowed
to float. The actual torque would depend on the propeller design, the
weight and condition of the boat, and other factors. In addition, the
engine speed at wide open throttle would be based on actual performance
on the boat. Because in-use engines installed in boats do not generally
operate on the theoretical propeller curve used to define the 5-mode
duty cycle, this approach helps facilitate NTE testing.
At each test mode, limits are placed on allowable engine operation.
These limits are generally based on the NTE zone presented above for
four-stroke engines, but there are two exceptions. First, the lower
torque limit at 40 percent speed is lowered slightly to better ensure
that an engine on an in-use boat is capable of operating within the NTE
zone. Second, the speed range is extended at wide-open throttle for the
same reason. Figure IV-3 presents the NTE zone and subzones. These
limits would apply to all non-catalyzed two-stroke engines. See Section
III.D.2 for a detailed discussion of NTE requirements that apply to
catalyst-equipped engines (including OB/PWC engines).
[[Page 59069]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.063
During laboratory testing, any point within each of the four non-
idle subzones may be chosen as test points. These test points do not
necessarily need to lie on a propeller curve. Note that measured power
should be used in the calculation of the weighted brake-specific
emissions.
(6) Test Fuel
As described below in Section V.D.3, we are adopting provisions
that will allow manufacturers to use a 10 percent ethanol blend for
certification testing of exhaust emissions from Small SI engines as an
alternative to the standard gasoline test fuel. We are adopting similar
provisions for Marine SI engines in this rule. This option to use a 10
percent ethanol blend will begin with the implementation date of the
new exhaust standards for both OB/PWC engines and SD/I engines. The
option to use a 10 percent ethanol blend would apply to PLT testing as
well if the manufacturer based their certification on the 10 percent
ethanol blend. The test fuel specifications are based on using the
current gasoline test fuel and adding ethanol until the blended fuel
has 10 percent ethanol by volume. While we will allow use of a 10
percent ethanol blend for certification, we expect to use our test fuel
without oxygenates for all confirmatory testing for exhaust emissions.
Therefore, an engine manufacturer will want to consider the impacts of
ethanol on emissions in evaluating the compliance margin for the
standard, or in setting the FEL for the engine family if it is
participating in the ABT program. We could decide at our own discretion
to do exhaust emissions testing using a 10 percent ethanol blend if the
manufacturer certified on that fuel.
Ethanol has been blended into in-use gasoline for many years and
its use has been increasing in recent years. Under provisions of the
Energy Independence and Security Act of 2007, ethanol is required to be
used in significantly greater quantities. We project that potentially
80 percent of the national gasoline pool will contain ethanol by 2010,
making ethanol blends (up to 10 percent) the de facto in-use fuel. As
ethanol blends become the main in-use fuel, we believe it makes sense
for manufacturers to optimize their engine designs with regard to
emissions, performance, and durability on such a fuel. While limited
data on Marine SI engines operated on a 10 percent ethanol blend
suggests the HC emissions will decrease and NOX emission
will increase or stay the same, these effects result in small decreases
in total HC+NOX emission levels, with the difference
generally being around 10 percent. CARB is currently running a test
program to look at the emission impacts of ethanol blends on a range of
Marine SI engines. Based on the results of that test program, we may
consider changes to the provisions allowing the use of a 10 percent
ethanol blend for certification and production-line testing.
E. Additional Certification and Compliance Provisions
(1) Production-Line Testing
We are continuing to require that manufacturers routinely test
engines at the point of production to ensure that production
variability does not affect the engine family's compliance with
emission standards. The final rule includes a variety of amendments and
adjustments as described in the proposal. We may also require
manufacturers to perform production line testing under the selective
enforcement auditing provisions of 40 CFR part 1068, subpart E.
(2) In-Use Testing
We are also continuing the requirements related to the
[[Page 59070]]
manufacturer-run in-use testing program. Under this program,
manufacturers test field-aged engines to determine whether they
continue to meet emission standards (see part 1045, subpart E). We are,
however, making a variety of changes and clarifications to the current
requirements, as described in the following sections.
(a) Adjustments Related to Engine Selection
Both EPA and manufacturers have gained insights from implementing
the current program. Manufacturers have expressed a concern that engine
families are selected rather late in the model year, which makes it
harder to prepare a test fleet for fulfilling testing obligations. On
the other hand, we have seen that manufacturers certify some of their
engine families well into the model year. By making selections early in
the model year, we will generally be foregoing the opportunity to
select engine families for which manufacturers don't apply for
certification until after the selections occur.
To address these competing interests, we are adopting an approach
that allows for early selection of engine families, while preserving
the potential to require testing for engines that are certified later
in the model year. For complete applications we receive by December 31
of a given calendar year for the following model year, we expect to
select engine families for testing by the end of February of the
following year. If we have not made a complete selection of engine
families by the end of February, manufacturers have the option of
making their own selections for in-use testing. The regulations include
criteria to serve as guidance for manufacturers to make appropriate
selections. For example, we expect manufacturers to most strongly
consider those engine families with the highest projected sales volume
and the smallest compliance margins. Manufacturers may also take into
account past experience with engine families if they have already
passed an in-use testing regimen and have not undergone significant
design changes since that time.
We will treat engine families differently for in-use testing if we
receive the application after December 31. This applies, for example,
if we receive a complete application for a 2010 engine family in
February 2010. In these cases, the engine family will automatically be
subject to in-use testing, without regard to the 25 percent limitation
that will otherwise dictate our selections. This may appear to increase
the potential test burden, but the clear majority of applications for
certification are completed before the end of the calendar year for the
following model year. This provision will eliminate the manufacturers'
ability to game the testing system by delaying a family of potential
concern until the next calendar year. We expect to receive few new
applications after the end of the calendar year. This will be
consistent with the manufacturers' interest in early family selections,
without jeopardizing EPA's interest in being able to select from a
manufacturer's full product lineup.
(b) Crankcase Emissions
Because the crankcase requirements are based on a design
specification rather than emission measurements, the anticipated
crankcase technologies are best evaluated simply by checking whether or
not they continue to function as designed. As a result, we intend for
an inspection of in-use engines to show whether these systems continue
to function properly throughout the useful life, but we are not
requiring manufacturers to include crankcase emission measurements as
part of the in-use testing program described in this section. This is
consistent with the approach we have taken in other programs.
(c) In-Use Emission Credits
Clean Air Act section 213 requires engines to comply with emission
standards throughout the regulatory useful life, and section 207
requires a manufacturer to remedy in-use nonconformity when we
determine that a substantial number of properly maintained and used
engines fail to conform with the applicable emission standards (42
U.S.C. 7541). As described in the original rulemaking, a potential
option to address a nonconformity is that manufacturers could use a
calculation of emission credits generated under the in-use testing
program to avoid a recall determination if an engine family's in-use
testing results exceeded emission standards (61 FR 52095, October 4,
1996).
We are adopting a more general approach to addressing potential
noncompliance under the in-use testing program than is specified in 40
CFR part 91. The final regulations do not specify how manufacturers
could generate emission credits to offset a nonconforming engine
family. This new approach is preferred for two primary reasons. First,
manufacturers will be able to use emission data generated from field
testing to characterize an engine family's average emission level. This
becomes necessarily more subjective, but allows us to consider a wider
range of information in evaluating the degree to which manufacturers
are complying with emission standards across their product line.
Second, this approach makes clearer the role of the emission credits in
our consideration to recall failing engines. We plan to consider, among
other information, average emission levels from multiple engine
families in deciding whether to recall engines from a failing engine
family. We therefore believe it is not appropriate to have a detailed
emission credit program defining precisely how and when to calculate,
generate, and use credits that do not necessarily have value elsewhere.
Not specifying how manufacturers generate emission credits under
the in-use testing program gives us the ability to consider any
appropriate test data in deciding what action to take. In generating
this kind of information, some general guidelines will apply. For
example, we expect manufacturers to share test data from all engines
and all engine families tested under the in-use testing program,
including nonstandard tests that might be used to screen engines for
later measurement. This allows us to understand the manufacturers'
overall level of performance in controlling emissions to meet emission
standards. Average emission levels should be calculated over a running
three-year period to include a broad range of testing without skewing
the results based on old designs. Emission values from engines
certified to different tiers of emission standards or tested using
different measurement procedures should not be combined to calculate a
single average emission level. Average emission levels should be
calculated according to the following equation, rounding the results to
0.1 g/kW-hr:
Average EL = [Sigma]i[(STD-CL)i x (UL)i x (Sales)i x Poweri x LFi] /
[Sigma]i [(UL)i x (Sales)i x Poweri x LFi]
Where:
Average EL = Average emission level in g/kW-hr.
Salesi = The number of eligible sales, tracked to the point of first
retail sale in the U.S., for the given engine family during the
model year.
(STD-CL)i = The difference between the emission standard (or Family
Emission Limit) and the average emission level for an in-use testing
family in g/kW-hr.
ULi = Useful life in hours.
Poweri = The sales-weighted average maximum engine power for an
engine family in kW.
LFi = Load factor or fraction of maximum engine power utilized in
use; use 0.50 for engine families used only in constant-
[[Page 59071]]
speed applications and 0.32 for all other engine families.
We have adopted this same approach for the in-use testing program
that applies for Large SI engines in 40 CFR part 1048.
(3) Optional Procedures for Field Testing
Outboard engines are inherently portable, so it may be easier to
test them in the laboratory than in the field. However, there is a
strong advantage to using portable measurement equipment to test
personal watercraft and SD/I engines while the engine remains installed
to avoid the effort of taking the engine out and setting it up in a
laboratory. Field testing will also provide a much better means of
measuring emissions to establish compliance with the NTE standards,
because it is intended to ensure control of emissions during normal in-
use operation that may not occur during laboratory testing over the
specified duty cycle. We are adopting the field testing provisions
described below as an option for all OB/PWC and SD/I engines.
The regulations at 40 CFR part 1065, subpart J, specify how to
measure emissions using portable measurement equipment. To test engines
while they remain installed, analyzers are connected to the engine's
exhaust to detect emission concentrations during normal operation.
Exhaust volumetric flow rate and continuous power output are also
needed to convert the analyzer responses to units of g/kW-hr for
comparing to emission standards. These values can be calculated from
measurements of the engine intake flow rate, the exhaust air-fuel ratio
and the engine speed, and from torque information.
Available small analyzers and other equipment may be adapted for
measuring emissions in the field. A portable flame ionization detector
can measure total hydrocarbon concentrations. A portable analyzer based
on zirconia technology can measure NOX emissions. A
nondispersive infrared (NDIR) unit can measure CO. We are requiring
manufacturers to specify how they will intend to draw emission samples
from in-use engines for testing installed engines. For example,
emission samples can be drawn from the exhaust flow directly upstream
of the point at which water is mixed into the exhaust flow. This should
minimize collection of water in the extracted sample, though a water
separator may be needed to maintain a sufficiently dry sample. Mass
flow rates also factor into the torque calculation; this may be
measured either in the intake or exhaust manifold.
Calculating brake-specific emissions depends on determining
instantaneous engine speed and torque levels. We are therefore
requiring manufacturers to design their engine control systems to be
able to continuously monitor engine speed and torque. We have already
adopted this requirement for other mobile source programs where
electronic engine control is used. Monitoring speed values is
straightforward. For torque, the onboard computer needs to convert
measured engine parameters into useful units. Manufacturers generally
will need to monitor a surrogate value such as intake manifold pressure
or throttle position (or both), then rely on a look-up table programmed
into the onboard computer to convert these torque indicators into
Newton-meters. Manufacturers may also want to program look-up tables
for torque conversion into a remote scan tool. Part 1065 specifies the
performance requirements for accuracy, repeatability, and noise related
to speed and torque measurements. These tolerances are taken into
account in the selection of the new NTE standards. We are adopting the
requirement to meet the torque-broadcasting requirements in the 2013
model year, which aligns with the final implementation of the NTE
standards.
(4) Other Changes for In-Use Testing
A question has been raised regarding the extent of liability if an
engine family is found to be noncompliant during in-use testing.
Because it can take up to two years to complete the in-use testing
regimen for an engine family, we want to clarify the status of engines
produced under that engine family's certificate, and under the
certificates of earlier and later engine families that were effectively
of the same design. For example, manufacturers in many cases use
carryover data to continue certifying new engine families for a
subsequent model year; this avoids the need to produce new test data
for engines whose design does not change from year to year. For these
cases, absent any contrary information from the manufacturer, we will
maintain the discretion to include other applicable engine families in
the scope of any eventual recall, as allowed by the Act.
In response to comments received from manufacturers, we have agreed
to adopt a provision allowing manufacturers to request hardship relief
under the in-use testing program if conditions outside their control
prevent them from completing the required testing. We would expect this
to be a rare occurrence, but this provision will allow us to
accommodate manufacturers if extreme unforeseen circumstances prevent a
manufacturer from completing a test program.
There are a variety of smaller changes to the in-use testing
provisions as a result of updating the regulatory language to reflect
the language changes that we adopted for similar testing with Large SI
engines. First, we are removing the requirement to select engines that
have had service accumulation representing less than 75 percent of the
useful life. This gives manufacturers the flexibility to test somewhat
older engines if they want to. Second, we are slightly adjusting the
description of the timing of the test program, specifying that the
manufacturer must submit a test plan within 12 months of EPA selecting
the family for testing, with a requirement to complete all testing
within 24 months. This contrasts with the current requirement to
complete testing within 12 months after the start of testing, which in
turn must occur within 12 months of family selection. We believe the
modified approach allows additional flexibility without delaying the
conclusion of testing. Third, we are requiring that manufacturers
explain why they excluded any particular engines from testing. Finally,
we are requiring manufacturers to report any noncompliance within 15
days after completion of testing for a family, rather than 15 days
after an individual engine fails. This has the advantage for
manufacturers and the Agency of a more unified reporting after testing
is complete, rather than piecemeal reporting before conclusions can be
drawn.
(5) Use of Engines Already Certified to Other Programs
In some cases, manufacturers may want to use engines already
certified under our other programs. Engines certified to the emission
standards for highway applications in part 86 or Large SI applications
in part 1048 are meeting more stringent standards. We are therefore
accepting the pre-existing certification for these engines used in
marine applications, on the condition that the engine is not changed
from its certified configuration in any way (see Sec. 1045.605). We
allow this in a similar way for a limited number of engines certified
to the Small SI emission standards (see Sec. 1045.610). The number of
installed marine engines must generally be less then five percent of
the total U.S. sales of that engine model in all applications.
[[Page 59072]]
(6) Import-Specific Information at Certification
We are requiring additional information to improve our ability to
oversee compliance related to imported engines (see Sec. 1045.205). In
the application for certification, the following additional information
is necessary: (1) The port or ports at which the manufacturer has
imported engines over the previous 12 months, (2) the names and
addresses of the agents the manufacturer has authorized to import the
engines, and (3) the location of the test facilities in the United
States where the manufacturer will test the engines if we select them
for testing under a selective enforcement audit. See Section 1.3 of the
Summary and Analysis of Comments for further discussion related to
naming test facilities in the United States.
(7) Alternate Fuels
The emission standards apply to all spark-ignition engines
regardless of the fuel they use. Almost all Marine SI engines operate
on gasoline, but these engines may also operate on other fuels, such as
natural gas, liquefied petroleum gas, ethanol, or methanol. The test
procedures in 40 CFR part 1065 describe adjustments needed for
operating test engines with oxygenated fuels.
In some special cases, a single engine is designed to alternately
run on different fuels. For example, some engines can switch back and
forth between natural gas and LPG. We are adding a clarification to the
regulations to describe how manufacturers would submit certification
data and divide such engines into engine families. We would expect a
manufacturer to submit test data on each fuel type. If manufacturers
produce engines that run only on one fuel where that dedicated-fuel
engine is identical to a dual-fuel engine with respect to that fuel,
those engines could be included in the same family. This is also true
for the second fuel. For example, if a manufacturer produces an engine
that can run on both gasoline and LPG and also produces that engine
model in gasoline-only and LPG-only versions without adjusting the
calibration or other aspects of that configuration, those engines may
all be included in the same engine family.
Once an engine is placed into service, someone might want to
convert it to operate on a different fuel. This would take the engine
out of its certified configuration, so we are requiring that someone
performing such a fuel conversion to go through a certification
process. We will allow certification of the complete engine using
normal certification procedures, or the aftermarket conversion kit
could be certified using the provisions of 40 CFR part 85, subpart V.
This contrasts with the provisions in part 91 that allow for fuel
conversions that can be demonstrated not to increase emission levels
above the applicable standard. We propose to apply this requirement
starting January 1, 2010. (See Sec. 91.1103 and Sec. 1045.645.)
(8) Special Provisions Related to Altitude
As described in Section IV.C.1, we are allowing manufacturers to
comply with emission standards at high altitudes using an altitude kit.
Manufacturers using altitude kits to comply at altitude must take steps
to describe their altitude kits in the application for certification
and explain their basis for believing that engines with these altitude
kits will comply with emission standards at high altitude.
Manufacturers must also describe a plan for making information and
parts available such that the widespread use of altitude kits will
reasonably be expected in high-altitude areas. For a more thorough
description of these compliance provisions, see the discussion in
Section V.E.5 for nonhandheld Small SI engines.
F. Other Adjustments to Regulatory Provisions
We are moving the regulatory requirements for marine spark-ignition
engines from 40 CFR part 91 to 40 CFR part 1045. This gives us the
opportunity to update the details of our certification and compliance
program to be consistent with the comparable provisions that apply to
other engine categories. The following paragraphs highlight some of the
provisions in the new language that may involve noteworthy changes from
the current regulations in part 91. All these provisions apply equally
to SD/I engines, except that they are not subject to the current
requirements in 40 CFR part 91.
We are making some adjustments to the criteria for defining engine
families (see Sec. 1045.230). The fundamental principle behind engine
families is to group together engines that will have similar emission
characteristics over the useful life. As a result, all engines within
an engine family must have the same approximate bore diameter and use
the same method of air aspiration (for example, naturally aspirated vs.
turbocharged). Under the previous regulation, manufacturers were
allowed the discretion to consider bore and stroke dimensions and
aspiration method for subdividing engine families beyond what was
required under the primary criteria in Sec. 91.115. We believe engines
with substantially different bore diameters will have combustion and
operating characteristics that must be taken into account with unique
engineering. Similarly, adding a turbocharger or supercharger changes
the engine's combustion and emission control in important ways. We are
also requiring that all the engines in an engine family use the same
type of fuel. This may have been a simple oversight in the current
regulations, since all OB/PWC engines operate on gasoline. However, if
a manufacturer were to produce an engine model that runs on natural gas
or another alternative fuel, that engine model should be in its own
engine family. See Section IV.E.7 for a discussion of dual-fuel
engines. Finally we are removing the provision currently in part 91
related to the engine-cooling mechanism. Manufacturers pointed out that
raw-water cooling and separate-circuit cooling do not have a
significant effect on an engine's emission characteristics.
The new regulatory language related to engine labels remains
largely unchanged from the previous requirements (see Sec. 1045.135).
We are including a provision to allow manufacturers to print labels
that have a different company's trademark. Some manufacturers in other
programs have requested this flexibility for marketing purposes.
The warranty provisions are described above. We are adding an
administrative requirement to describe the provisions of the emission-
related warranty in the owners manual (see Sec. 1045.120). We expect
that many manufacturers already do this, but believe it is appropriate
to require this as a routine practice.
Certification procedures depend on establishing deterioration
factors to predict the degradation in emission controls that occurs
over the course of an engine's useful life. This typically involves
service accumulation in the laboratory to simulate in-use operation.
Since manufacturers do in-use testing to further characterize this
deterioration rate, we are specifying that deterioration factors for
certification must take into account any available data from in-use
testing with similar engines. This provision applies in most of our
emission control programs that involve routine in-use testing. To the
extent this information is available, it should be factored into the
certification process. For example, if in-use testing shows that
emission deterioration is substantially higher than that characterized
by the deterioration factor, we expect the manufacturer to factor the
in-use data
[[Page 59073]]
into a new deterioration factor, or to revise durability testing
procedures to better represent the observed in-use degradation.
Maximum engine power for an engine family is an important
parameter. For example, maximum engine power determines the applicable
CO standard for engines at or below 40 kW. For bigger engines, emission
credits are calculated based on total power output. As a result, we are
specifying that manufacturers determine their engines' maximum engine
power as the point of maximum engine power on the engine's nominal
power curve (see Sec. 1045.140). This value may be established as a
design value, but must be determined consistent with the engine mapping
procedures in Sec. 1065.510. The manufacturer must adjust the declared
value for maximum engine power if it does not fall within the range of
values from production engines.
The new requirements related to the application for certification
will involve some new information, most of which is described above,
such as installation instructions and a description of how engines
comply with not-to-exceed standards (see Sec. 1045.205). In addition,
we are requiring that manufacturers submit projected sales volumes for
each family, rather than allowing manufacturers to keep these records
and make them available upon request. Manufacturers already do this
routinely and it is helpful to have ready access to this information to
maintain compliance oversight for such things as emission credit
calculations. We are also requiring that each manufacturer identify an
agent for service in the United States. For companies based outside the
United States, this ensures that we will be able to maintain contact
regarding any official communication that may be required. We have
adopted these same requirements for other nonroad programs.
We are requiring that manufacturers use good engineering judgment
in all aspects of their effort to comply with regulatory requirements.
The regulations at Sec. 1068.5 describe how we will apply this
provision and what we will require of manufacturers where we disagree
with a manufacturer's judgment.
We are also establishing new defect-reporting requirements. These
requirements are described in Section VIII of the preamble to the
proposed rule.
It is common practice for one company to produce engine blocks that
a second company modifies for use as a marine engine. Since our
regulations prohibit the sale of uncertified engines, we are
establishing provisions to clarify the status of these engines and
defining a path by which these engines can be handled without violating
the regulations. See Section VIII.C.1 for more information.
G. Small-Business Provisions
The OB/PWC market has traditionally been made up of large
businesses. We anticipate that the OB/PWC standards will be met through
the expanded use of existing cleaner engine technologies. Small
businesses certifying to standards today are already using technologies
that could be used to meet the new standards. As a result, we are
adopting only three small business regulatory relief provisions for
small business manufacturers of OB/PWC engines. We are allowing small
business OB/PWC engine manufacturers to be exempt from PLT testing and
to use assigned deterioration factors for certification. (EPA will
provide guidance to engine manufacturers on the assigned deterioration
factors prior to implementation of the new OB/PWC standards.) We are
also extending the economic hardship relief to OB/PWC engine
manufacturers that qualify as small businesses (see Sec. 1068.250). We
are defining small business eligibility criteria for OB/PWC engine
manufacturers based on an employee cut-off of 250 employees.
In addition to the flexibilities noted above, all OB/PWC engine
manufacturers, regardless of size, will be able to apply for the
unusual circumstances hardship in Sec. 1068.245. Finally, all OB/PWC
vessel manufacturers that rely on other companies to provide certified
engines or fuel system components for their product will be able to
apply for the hardship provisions in Sec. 1068.255.
H. Technological Feasibility
(1) Level of Standards
Over the past several years, manufacturers have demonstrated their
ability to achieve significant HC+NOX emission reductions
from outboard and personal watercraft engines. This has largely been
accomplished through the introduction of two-stroke direct injection
engines and conversion to four-stroke engines. Recent certification
data for these types of engines show that these technologies may be
used to achieve emission levels significantly below the current exhaust
emission standards. In fact, California standards require a 65 percent
reduction beyond the current federal standards.
Our own analysis of recent certification data shows that most four-
stroke outboard engines and many two-stroke direct injection outboard
engines can meet the final HC+NOX standard. Similarly,
although PWC engines tend to have higher HC+NOX emissions,
presumably due to their higher power densities, many of these engines
can also meet the new HC+NOX standard. Although there is
currently no CO standard for OB/PWC engines, OB/PWC manufacturers are
required to report CO emissions from their engines (see Sec.
91.107(d)(9)). These emissions are based on test data from new engines
and do not consider deterioration or compliance margins. Based on this
data, all the two-stroke direct injection engines show emissions well
below the new standards. In addition, the majority of four-stroke
engines meet the new CO standards as well.
We therefore believe the HC+NOX and CO emission
standards will be achieved by phasing out conventional carbureted two-
stroke engines and replacing them with four-stroke engines or two-
stroke direct injection engines. This has been the market-driven trend
over the last five years. Chapter 4 of the Final RIA presents charts
that compare certification data to the new standards.
(2) Implementation Dates
We are implementing the new emission standards beginning with the
2010 model year. This gives two additional years beyond the
implementation date of the same standards in California. This
additional time may be necessary for manufacturers that do not sell
engine models in California or that sell less than their full product
lineup into the California market. We believe the same technology used
to meet the 2008 standards in California could be used nationwide with
the additional year allowed for any engine models not sold in
California. Low-emission engines sold in California are generally sold
nationwide as part of manufacturer compliance strategies for EPA's 2006
standards. Manufacturers have indicated that they are calibrating their
four-stroke and direct-injection two-stroke engines to meet the
California requirements. To meet the new standards, manufacturers'
efforts will primarily center on phasing out their higher-emission
carbureted two-stroke engines and producing more of their lower
emission engines.
(3) Technological Approaches
Conventional two-stroke engines add a fuel-oil mixture to the
intake air with a carburetor, and use the crankcase to force this mixed
charge air into the combustion chamber. In the two-stroke
[[Page 59074]]
design, the exhaust gases must be purged from the cylinder while the
fresh charge enters the cylinder. With traditional two-stroke designs,
the fresh charge, with unburned fuel and oil, will push the exhaust
gases out of the combustion chamber as the combustion event concludes.
As a result, 25 percent or more of the fresh fuel-oil could pass
through the engine unburned. This is known as scavenging losses.
Manufacturers have phased out sales of the majority of their
traditional two-stroke engines to meet the federal 2006 OB/PWC exhaust
emission standards. However, many of these engines still remain in the
product mix as a result of emission credits.
One approach to minimizing scavenging losses in a two-stroke engine
is through the use of direct fuel injection into the combustion
chamber. The primary advantage of direct injection for a two-stroke
engine is that the exhaust gases can be scavenged with fresh air and
fuel can be injected into the combustion chamber after the exhaust port
closes. As a result, hydrocarbon emissions, fuel economy, and oil
consumption are greatly improved. Some users prefer two-stroke direct
injection engines over four-stroke engines due to the higher power-to-
weight ratio. Most of the two-stroke direct injection engines certified
to the current OB/PWC emission standards have HC+NOX
emissions levels somewhat higher than certified four-stroke engines.
However, these engines also typically have lower CO emissions due to
the nature of a heterogeneous charge. By injecting the fuel directly
into a charge of air in the combustion chamber, localized areas of lean
air/fuel mixtures are created where CO is efficiently oxidized.
OB/PWC manufacturers are also achieving lower emissions through the
use of four-stroke engine designs. Because a single combustion event
takes place over two revolutions of the crankshaft, the fresh fuel-air
charge can enter the combustion chamber after the exhaust valve is
closed. This minimizes scavenging losses. Manufacturers currently offer
four-stroke marine engines with maximum engine power ranging from 1.5
to more than 250 kW. These engines are available with carburetion,
throttle-body fuel injection, or multi-point fuel injection. Based on
the certification data, whether the engine is carbureted or fuel-
injected does not have a significant effect on combined
HC+NOX emissions. For PWC engines, the HC+NOX
levels are somewhat higher, primarily due to their higher power-to-
weight ratio. CO emissions from PWC engines are similar to those for
four-stroke outboard engines.
One manufacturer has certified two PWC engine models with oxidation
catalysts. One engine model uses the oxidation catalyst in conjunction
with a carburetor while the other uses throttle-body fuel injection. In
this application, the exhaust system is shaped in such a way to protect
the catalyst from water. The exhaust system is relatively large
compared to the size of the engine. We are not aware of any efforts to
develop a three-way catalyst system for PWC engines. We are also not
aware of any development efforts to package a catalyst into the exhaust
system of an outboard marine engine. In current designs, water and
exhaust are mixed in the exhaust system to help cool the exhaust and
tune the engine. Water can work its way up through the exhaust system
because the lower end is under water and varying pressures in the
exhaust stream can draw water against the prevailing gas flow. As
discussed in Chapter 4 of the Final RIA, saltwater can be detrimental
to catalyst performance and durability. In addition, outboard engines
are designed with lower units that are designed to be as thin as
possible to improve the ability to turn the engine on the back of the
boat and to reduce drag on the lowest part of the unit. This raises
concerns about the placement and packaging of catalysts in the exhaust
stream. Certainly, the success of packaging catalysts in sterndrive and
inboard boats in recent development efforts (see Section III) suggests
that catalysts may be feasible for outboards with additional effort.
However, this has not yet been demonstrated and significant development
efforts will be necessary.
(4) Regulatory Alternatives
We considered a level of 10 g/kW-hr HC+NOX for OB/PWC
engines above 40 kW with an equivalent percent reduction below the new
standards for engines at or below 40 kW. This second tier of standards
could apply in the 2012 or later time frame. Such a standard would be
consistent with currently certified emission levels from a significant
number of four-stroke outboard engines. We had three concerns with
adopting this second tier of OB/PWC standards. First, while some four-
stroke engines may be able to meet a 10 g/kW-hr standard with improved
calibrations, it is not clear that all engines could meet this standard
without applying catalyst technology. As described in Section IV.H.3,
we believe it is not appropriate to base standards in this rule on the
use of catalysts for OB/PWC engines. Second, certification data for
personal watercraft engines show somewhat higher exhaust emission
levels, so setting the standard at 10 g/kW-hr would likely require
catalysts for many models. Third, it is not clear that two-stroke
engines would be able to meet the more stringent standard, even with
direct injection and catalysts. These engines operate with lean air-
fuel ratios, so reducing NOX emissions with any kind of
aftertreatment is especially challenging.
Therefore, unlike the new standards for sterndrive and inboard
engines, we are not adopting OB/PWC standards that require the use of
catalysts. Catalyst technology would be necessary for significant
additional control of HC+NOX and CO emissions for these
engines. While there is good potential for eventual application of
catalyst technology to outboard and personal watercraft engines, we
believe the technology is not adequately demonstrated at this point.
Much laboratory and in-water work is needed.
(5) Our Conclusions
We believe the final emission standards can be achieved by phasing
out conventional carbureted two-stroke engines in favor of four-stroke
engines or two-stroke direct injection engines. The four-stroke engines
or two-stroke direct injection engines are already widely available
from marine engine manufacturers. One or both of these technologies are
currently in place for the whole range of outboard and personal
watercraft engines.
The new exhaust emission standards represent the greatest degree of
emission control achievable in the contemplated time frame. While
manufacturers can meet the standards with their full product line in
2010, requiring full compliance with a nationwide program earlier, such
as in the same year that California introduces new emission standards,
will pose an unreasonable requirement. Allowing two years beyond
California's requirements is necessary to allow manufacturers to
certify their full product line to the new standards, not only those
products they will make available in California. Also, as described
above, we believe the catalyst technology that will be required to meet
emission standards substantially more stringent than we are adopting
has not been adequately demonstrated for outboard or personal
watercraft engines. As such, we believe the new standards for
HC+NOX and CO emissions are the most stringent possible in
this rulemaking. More time to gain experience with catalysts on
sterndrive and inboard engines and a substantial engineering effort to
apply that learning
[[Page 59075]]
to outboard and personal watercraft engines may allow us to pursue more
stringent standards in a future rulemaking.
As discussed in Section VII, we do not believe the final standards
will have negative effects on energy, noise, or safety and may lead to
some positive effects.
V. Small SI Engines
A. Overview
This section applies to new nonroad spark-ignition engines with
rated power at or below 19 kW (``Small SI engines''). These engines are
most often used in lawn and garden applications, typically by
individual consumers; they are many times also used by commercial
operators and they provide power for a wide range of other home,
industrial, farm, and construction applications. The engines are
typically air-cooled single-cylinder models, though Class II engines
(with displacement over 225 cc) may have two or three cylinders, and
premium models with higher power may be water-cooled.
We have already adopted two phases of exhaust standards for Small
SI engines. The first phase of standards for nonhandheld engines
generally led manufacturers to convert any two-stroke engines to four-
stroke engines. These standards applied only at the time of sale. The
second phase of standards for nonhandheld engines generally led
manufacturers to apply emission control technologies, such as in-
cylinder controls and improved carburetion, with the additional
requirement that manufacturers needed to meet emission standards over a
useful life period.
As described in Section I, this final rule is the result of a
Congressional mandate that springs from the new California ARB
standards. In 2003, California ARB adopted more stringent standards for
nonhandheld engines. These standards target emission reductions of
approximately 35 percent below EPA's Phase 2 standards and are based on
the expectation that manufacturers will use relatively low-efficiency
three-way catalysts to control HC+NOX emissions. California
ARB did not change the applicable CO emission standard.\96\
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\96\ California ARB also adopted new fuel evaporative emission
standards for equipment using handheld and nonhandheld engines.
These included tank permeation standards for both types of equipment
and hose permeation, running loss, and diurnal emission standards
for nonhandheld equipment. See Section VI for additional information
related to evaporative emissions.
---------------------------------------------------------------------------
We are adding these new regulations for Small SI engines in 40 CFR
part 1054 rather than changing the current regulations in 40 CFR part
90. This gives us the opportunity to update the details of our
certification and compliance program that are consistent with the
comparable provisions that apply to other engine categories and
describe regulatory requirements in plain language. Most of the change
in regulatory text provides improved clarity without changing
procedures or compliance obligations. Where there is a change that
warrants further attention, we describe the need for the change below.
For nonhandheld engines, manufacturers must comply with all the
provisions in part 1054 once the Phase 3 standards begin to apply in
2011 or 2012. For handheld engines, manufacturers must comply with the
provisions in part 1054 starting in 2010. Note, however, that part 1054
specifies that certain provisions do not apply for handheld engines
until sometime after 2010.
Engines and equipment subject to part 1054 are also subject to the
general compliance provisions in 40 CFR part 1068. These include
prohibited acts and penalties, exemptions and importation provisions,
selective enforcement audits, defect reporting and recall, and hearing
procedures. See Section VIII of the preamble to the proposed rule for
further discussion of these general compliance provisions.
B. Engines Covered by This Rule
This action includes more stringent exhaust emission standards for
new nonroad engines with rated power at or below 19 kW that are sold in
the United States. The exhaust standards are for nonhandheld engines
(Classes I and II). As described in Section I, handheld Small SI
engines (Classes III, IV, and V) are also subject to standards, but we
are not changing the level of exhaust emission standards for these
engines. As described in Section VI, we are also adopting new standards
for controlling evaporative emissions from Small SI engines, including
both handheld and nonhandheld engines. Certain of the provisions
discussed in this Section V apply to both handheld and nonhandheld
engines, as noted. Reference to both handheld and nonhandheld engines
also includes marine auxiliary engines subject to the Small SI engine
standards for that size engine.
(1) Engines Covered by Other Programs
The Small SI engine standards do not apply to recreational vehicles
covered by EPA emission standards in 40 CFR part 1051. The regulations
in part 1051 apply to off-highway motorcycles, snowmobiles, all-terrain
vehicles, and certain offroad utility vehicles. However, if an
amphibious vehicle or other recreational vehicle with an engine at or
below 19 kW is not subject to standards under part 1051, its engine
will need to meet the Small SI engine standards. We also do not
consider vehicles such as go karts or golf carts to be subject to part
1051 because they are not intended for high-speed operation over rough
terrain; these engines are also subject to Small SI engine standards.
The Small SI engine standards do not apply to engines used in scooters
or other vehicles that qualify as motor vehicles.
Consistent with the current regulation under 40 CFR part 90, Small
SI engine standards apply to spark-ignition engines used as generators
or for other auxiliary power on marine vessels, but not to marine
propulsion engines. As described below, we are finalizing more
stringent exhaust emission standards that will apply uniquely to marine
generator engines.
Engines with rated power above 19 kW are subject to emission
standards under 40 CFR part 1048. However, we adopted a special
provision under part 1048 allowing engines with total displacement at
or below 1000 cc and with rated power at or below 30 kW to meet the
applicable Small SI engine standards instead of the standards in part
1048. For any engines that are certified using this provision, any
emission standards that we adopt for Class II engines and equipment in
this rulemaking (or in later rulemakings) will also apply at the same
time. Since these engines are not required to meet the Small SI engine
standards we have not included them in the analyses associated with
this final rule.
(2) Maximum Engine Power and Engine Displacement
Under the current regulations, ``rated power'' and ``power rating''
are determined by the manufacturer with little or no direction for
selecting appropriate values. We are establishing an objective approach
to establishing the alternative term ``maximum engine power'' under the
regulations (see Sec. 1054.140). This value has regulatory
significance for Small SI engines only to establish whether or not
engines are instead subject to Large SI engine standards. Determining
maximum engine power is therefore relevant only for those engines that
are approaching the line separating these two engine categories. We are
requiring that manufacturers determine and report maximum engine power
if their emission-data engine has a maximum modal power at or above 15
kW (at or
[[Page 59076]]
above 25 kW if engine displacement is at or below 1000 cc).
Similarly, the regulations depend on engine displacement to
differentiate engines for the applicability of different standards. The
regulations currently provide no objective direction or restriction
regarding the determination of engine displacement. We are defining
displacement as the intended swept volume of the engine to the nearest
cubic centimeter, where the engine's swept volume is the product of the
internal cross-sectional area of the cylinders, the stroke length, and
the number of cylinders.
For both maximum engine power and displacement, the declared values
must be within the range of the values from production engines
considering normal production variability. This does not imply that
production engines need to be routinely tested or measured to verify
the declared values, but it serves to define a range of appropriate
values and provides a mechanism by which we can ensure that the
declared values conform to the production engines in question. If
production engines are found to have different values for maximum
engine power or displacement, this should be noted in a change to the
application for certification.
(3) Exempted or Excluded Engines
Under the Clean Air Act, engines that are used in stationary
applications are not nonroad engines. States are generally preempted
from setting emission standards for nonroad engines but this preemption
does not apply to stationary engines. EPA has adopted emission
standards for stationary compression-ignition engines sold or used in
the United States (71 FR 39154, July 11, 2006). EPA also recently
adopted emission standards for stationary spark-ignition engines in a
separate action (73 FR 3568, January 18, 2008). In pursuing emission
standards for stationary engines, we have attempted to maintain
consistency between stationary and nonroad requirements as much as
possible. As explained in the stationary rule, stationary spark-
ignition engines below 19 kW are almost all sold into residential
applications so we believe it is not appropriate to include
requirements for owners or operators that will normally be part of a
program for implementing standards for stationary engines. As a result,
we indicated in the stationary rule that it is most appropriate to set
exhaust and evaporative emission standards for stationary spark-
ignition engines and equipment below 19 kW as if they were used in
nonroad applications. This will allow manufacturers to make a single
product that meets all applicable EPA standards for both stationary and
nonroad applications.
The Clean Air Act provides for a different regulatory approach for
engines used solely in competition. Rather than relying on engine
design features that serve as inherent indicators of dedicated
competitive use, we have taken the approach in other programs of more
carefully differentiating competition and noncompetition models in ways
that reflect the nature of the particular products. In the case of
Small SI engines, we believe there are no particular engine design
features that allow us to differentiate between engines that are used
solely for competition from those with racing-type features that are
not used solely for competition. We are requiring that handheld and
nonhandheld equipment with engines meeting all the following criteria
will be considered as being used solely for competition:
The engine (or equipment in which the engine is installed)
may not be displayed for sale in any public dealership;
Sale of the equipment in which the engine is installed
must be limited to professional competitors or other qualified
competitors;
The engine must have performance characteristics that are
substantially superior to noncompetitive models;
The engines must be intended for use only in competition
events sanctioned (with applicable permits) by a state or federal
government agency or other widely recognized public organization, with
operation limited to competition events, performance-record attempts,
and official time trials.
We are also including a provision allowing us to approve an
exemption for cases in which an engine manufacturer can provide clear
and convincing evidence that an engine will be used solely for
competition even though not all the above criteria apply for a given
situation. This may occur, for example, if a racing association
specifies a particular engine model in the competition rules, where
that engine has design features that prevent it from being certified,
or from being used for purposes other than competition.
Engine manufacturers will make their request for each new model
year and we will deny a request for future production if there are
indications that some engines covered by previous requests are not
being used solely for competition. Competition engines are produced and
sold in very small quantities so manufacturers should be able to
identify which engines qualify for this exemption.
In the rulemaking for recreational vehicles, we chose not to apply
standards to hobby products by exempting all reduced-scale models of
vehicles that were not capable of transporting a person (67 FR 68242,
November 8, 2002). We are extending that same provision to handheld and
nonhandheld Small SI engines. (See Sec. 1054.5.)
In the rulemaking to establish Phase 2 emission standards, we
adopted an exemption for handheld and nonhandheld engines used in
rescue equipment. The regulation does not require any request,
approval, or recordkeeping related to the exemption. We discovered
while conducting the SBAR Panel described in Section VI.G that some
companies are producing noncompliant engines under this exemption. As a
result, we are keeping this exemption but are adding several provisions
to allow us to better monitor how it is used (see Sec. 1054.660). We
are also keeping the requirement that equipment manufacturers use
certified engines if they are available. We are updating this provision
by adding a requirement that equipment manufacturers use an engine that
has been certified to less stringent Phase 1 or Phase 2 standards if
such an engine is available. We are explicitly allowing engine
manufacturers to produce engines for this exemption (with permanent
labels identifying the particular exemption), but only if they have a
written request for each equipment model from the equipment
manufacturer. We are further requiring that the equipment manufacturer
notify EPA of the intent to produce emergency equipment with exempted
engines. Also, to clarify the scope of this provision, we are defining
``emergency rescue situations'' as firefighting or other situations in
which a person is retrieved from imminent danger. Finally, we are
clarifying that EPA may discontinue the exemption on a case-by-case
basis if we find that such engines are not used solely for emergency
and rescue equipment or if we find that a certified engine is available
to power the equipment safely and practically. We are applying the
provisions of this section for new equipment built on or after January
1, 2010.
The current regulations also specify an exemption allowing
individuals to import up to three nonconforming handheld or nonhandheld
engines one time. We are keeping this exemption with three adjustments
(see Sec. 1054.630). First, we are allowing this exemption only for
used equipment. Allowing
[[Page 59077]]
importation of new equipment under this exemption is not consistent
with the intent of the provision, which is to allow people to move to
the United States from another country and continue to use lawn and
garden equipment that may already be in their possession. Second, we
are allowing such an importation once every five years but are
requiring a statement that the person importing the exempted equipment
has not used this provision in the preceding five years. The current
regulations allow only one importation in a person's lifetime without
including any way of making that enforceable. We believe the new
combination of provisions represents an appropriate balance between
preserving the enforceability of the exemption within the normal flow
of personal property for people coming into the country. Third, we are
no longer requiring submission of the taxpayer identification number
since this is not essential for ensuring compliance. We are applying
these changes starting January 1, 2010.
C. Final Requirements
A key element of the new requirements for Small SI engines is the
more stringent exhaust emission standards for nonhandheld engines. We
are also finalizing several changes to the certification program that
will apply to both handheld and nonhandheld engines. For example, we
are clarifying the process for selecting an engine family's useful
life, which defines the length of time over which manufacturers are
responsible for meeting emission standards. We are also adding several
provisions to update the program for allowing manufacturers to use
emission credits to show that they meet emission standards. The
following sections describe the elements of this rule.
The timing for implementation of the new exhaust emission standards
is described below. Unless we specify otherwise, all the additional
regulatory changes will apply when engines are subject to the emission
standards and the other provisions under 40 CFR part 1054. This will be
model year 2012 for Class I engines and model year 2011 for Class II
engines. For handheld engines, we are generally requiring that
manufacturers comply with the provisions of part 1054, including the
certification provisions, starting in the 2010 model year. These new
requirements apply to handheld engines unless stated otherwise. For
convenience we refer to the handheld emission standards in part 1054 as
Phase 3 standards even though the numerical values remain unchanged
from the Phase 2 standards.
(1) Emission Standards
Extensive testing and dialogue with manufacturers and other
interested parties has led us to a much better understanding of the
capabilities and limitations of applying emission control technologies
to nonhandheld Small SI engines. As described in the Final RIA, we have
collected a wealth of information related to the feasibility,
performance characteristics, and safety implications of applying
catalyst technology to these engines. We have concluded within the
context of Clean Air Act section 213 that it is appropriate to
establish emission standards that are consistent with those adopted by
California ARB. We are finalizing HC+NOX emission standards
of 10.0 g/kW-hr for Class I engines starting in the 2012 model year,
and 8.0 g/kW-hr for Class II engines starting in the 2011 model year
(see Sec. 1054.105). For both classes of nonhandheld engines we are
maintaining the existing CO standard of 610 g/kW-hr.
We are eliminating the defined subclasses for the smallest sizes of
nonhandheld engines starting with implementation of the Phase 3
standards. Under the current regulations in part 90, Class I-A is
designated for engines with displacement below 66 cc that may be used
in nonhandheld applications. To address the technological constraints
of these engines, all the current requirements for these engines are
the same as for handheld engines. Class I-B is similarly designated for
engines with displacement between 66 and 100 cc that may be used in
nonhandheld applications. These engines are currently subject to a mix
of provisions that result in an overall stringency that lies between
handheld and nonhandheld engines. We are revising the regulations such
that engines at or below 80 cc are subject to the Phase 3 standards for
handheld engines and equipment in part 1054 starting in the 2010 model
year. We are allowing engines at or below 80 cc to be used without
restriction in nonhandheld equipment. The 80 cc threshold aligns with
the California ARB program. For nonhandheld engines above 80 cc, we are
treating them in every way as Class I engines. Based on the fact that
it is more difficult for smaller displacement engines to achieve the
same g/kW-hr emission level as larger displacement engines, it will be
more of a challenge for manufacturers to achieve a 10.0 g/kW-hr
HC+NOX level on these smallest Class I engines. However, for
those engines unable to achieve the level of the new standards (either
with or without a catalyst), manufacturers may elect to rely on
emission credits to comply with emission standards. We believe all
manufacturers producing engines formerly included in Class I-B also
have a wide enough range of engine models that they will be able to
generate sufficient credits to meet standards across the full product
line. (See Sec. 1054.101 and Sec. 1054.801.)
We are making another slight change to the definition of handheld
engines that may affect whether an engine is subject to handheld or
nonhandheld standards. The handheld definition relies on a weight
threshold for certain engines. As recently as 1999, we affirmed that
the regulation should allow for the fact that switching to a heavier
four-stroke engine to meet emission standards might inappropriately
cause an engine to no longer qualify as a handheld engine (64 FR 5252,
February 3, 1999). The regulation accordingly specifies that the weight
limit is 20 kilograms for one-person augers and 14 kilograms for other
types of equipment, based on the weight of the engine that was in place
before applying emission control technologies. We believe it is
impractical to base a weight limit on product specifications that have
become difficult to establish. We are therefore increasing each of the
specified weight limits by two kilograms, representing the approximate
additional weight related to switching to a four-stroke engine, and
applying the new weight limit to all engines and equipment (see Sec.
1054.801).
Finally, we are revising the list of applications identified in the
handheld definition as being subject to the handheld standards. We are
specifically adding hand-supported jackhammers or rammer/compactor to
the handheld definition as we have approved these types of applications
in the past as meeting the attributes laid out in the definition. We
are removing the ``one-person'' term from the auger description in the
handheld definition because some augers can be operated by two people,
but still have other attributes that would lead to the equipment being
considered handheld. We are also removing the specific mention of pumps
and generators from the handheld definition if they are below the
specified weight limit. With the change noted earlier that allows
manufacturers to use engines below 80cc in either handheld or
nonhandheld applications, we believe these applications no longer need
to be cited for special treatment in the handheld definition.
[[Page 59078]]
The regulations in part 90 allow manufacturers to rely on altitude
kits to comply with emission requirements at high altitude. We are
continuing this approach but are clarifying that all nonhandheld
engines must comply with Phase 3 standards without altitude kits at
barometric pressures above 94.0 kPa, which corresponds to altitudes up
to about 2,000 feet above sea level (see Sec. 1054.115). This will
ensure that all areas east of the Rocky Mountains and most of the
populated areas in Pacific Coast states will have compliant engines
without depending on engine modifications. This becomes increasingly
important as we anticipate manufacturers relying on technologies that
are sensitive to controlling air-fuel ratio for reducing emissions.
Engine manufacturers must identify in the owner's manual the altitude
ranges for proper engine performance and emission control that are
expected with and without the altitude kit. The owner's manual must
also state that operating the engine with the wrong engine
configuration at a given altitude may increase its emissions and
decrease fuel efficiency and performance. See Section V.E.5 for further
discussion related to the deployment of altitude kits where the
manufacturers rely on them for operation at higher altitudes.
We are adopting a slightly different approach for handheld engines
with respect to altitude. Since we are not adopting more stringent
exhaust emission standards, we believe it is appropriate to adopt
provisions that are consistent with current practice at this time. We
are therefore requiring handheld engines to comply with the current
standards without altitude kits at barometric pressures above 96.0 kPa,
which will allow for testing in most weather conditions at all
altitudes up to about 1,100 feet above sea level.
Spark-ignition engines used for marine auxiliary power (i.e.,
marine generator engines) are covered by the same regulations as land-
based engines of the same size. However, the marine generator versions
of Small SI engines are able to make use of ambient water for enhanced
cooling of the engine and exhaust system. Exhaust systems for these
engines are water-jacketed to maintain low surface temperatures to
minimize the risk of fires on boats, where the generator is often
installed in small compartments within the boat. Manufacturers of
marine generator engines have recently developed advanced technology in
an effort to improve fuel consumption and CO emission controls for
marine generators. This advanced technology includes the use of
electronic fuel injection and three-way catalysts. As a result,
manufacturers are offering new products with more than a 99 percent
reduction in CO and have expressed their intent to offer only these
advanced-technology engines in the near future. They have stated that
these low-CO engines are responsive to market demand. We are
establishing a CO standard of 5.0 g/kW-hr CO for marine generator
engines to reflect the recent trend in marine generator engine designs
(see Sec. 1054.105). We believe this standard is necessary to prevent
backsliding in CO emissions that could occur if new manufacturers were
to attempt to enter the market with less expensive, high-CO designs.
See Section II for a discussion of air quality concerns related to CO
emissions.
At this time, we are continuing the current regulatory approach for
wintertime engines (e.g., engines used exclusively to power equipment
such as snowthrowers and ice augers). Under this final rule, the
HC+NOX exhaust emission standards will be optional for
wintertime engines. However, if a manufacturer chooses to certify its
wintertime engines to such standards, those engines will be subject to
all the requirements as if the optional standards were mandatory. We
are adopting a definition of wintertime engines to clarify which
engines qualify for these special provisions.
All engines subject to standards must continue to control crankcase
emissions. In the case of snowthrower engines, crankcase emissions may
be vented to the ambient air as long as manufacturers take crankcase
emissions into account in demonstrating compliance with exhaust
emission standards.
(2) Useful Life
The Phase 2 standards for Small SI engines included the concept
that manufacturers are responsible for meeting emission standards over
a useful life period. The useful life defines the design target for
ensuring the durability of emission controls under normal in-use
operation for properly maintained engines. Given the very wide range of
engine applications, from very low-cost consumer products to commercial
models designed for long-term continuous operation, we determined that
a single useful life value for all products, which is typical for other
engine programs, was not appropriate for Small SI engines. We proposed
at that time to determine the useful life for an engine family based on
specific criteria, but commenters suggested that such a requirement was
overly rigid and unnecessary. The final rule instead specified three
alternative useful life values, giving manufacturers the responsibility
to select the useful life that was most appropriate for their engines
and the corresponding types of equipment. The preamble to the Phase 2
final rule expressed a remaining concern that manufacturers might not
select the most appropriate useful life value. This concern related to
both ensuring effective in-use emission control and maintaining the
integrity of emission-credit calculations. The preamble also stated our
intent to periodically review the manufacturers' decisions to determine
whether modifications to these rules would be appropriate.
The regulations in Sec. 90.105 provide a benchmark for determining
the appropriate useful life value for an engine family. The regulations
direct manufacturers to select the useful life value that ``most
closely approximates the expected useful lives of the equipment into
which the engines are anticipated to be installed.'' To maintain a
measure of accountability, we included a requirement that manufacturers
document the basis for their selected useful life values. The suggested
data included, among other things: (1) Surveys of the life spans of the
equipment in which the subject engines are installed; (2) engineering
evaluations of field-aged engines to ascertain when engine performance
deteriorates to the point where utility and/or reliability is impacted
to a degree sufficient to necessitate overhaul or replacement; and (3)
failure reports from engine customers. These regulatory provisions
identify the median time to retirement for in-use equipment as the
marker for defining the useful life period. This allows manufacturers
to consider that equipment models may fail before the engine has
reached the point of failure and that engines may be installed in
different types of equipment with varying usage patterns. Engines used
in different types of equipment, or even engines used in the same
equipment models used by different operators, may experience widely
varying usage rates. The manufacturer is expected to make judgments
that take this variability into account when estimating the median life
of in-use engines and equipment.
Several manufacturers have made a good faith effort to select
appropriate useful life values for their engine families, either by
selecting only the highest value, or by selecting higher values for
families that appear more likely to be used in commercial applications.
At the same time, we have observed several instances in which engine
models are installed in
[[Page 59079]]
commercial equipment and marketed as long-life products but are
certified to the minimum allowable useful life period.
After assessing several ideas, we chose to adopt an approach that
preserves the fundamental elements of the current provisions related to
useful life but clarifies and enhances its implementation (see Sec.
1054.107). Manufacturers will continue to select the most appropriate
useful life from the same nominal values to best match the expected in-
use lifetime of the equipment into which the engines in the engine
family will be installed. Manufacturers must continue to document the
information supporting their selected useful life. We are adopting
three provisions to address remaining concerns with the process of
selecting useful life values.
First, for manufacturers not selecting the highest available
nominal value for useful life, we expect to routinely review the
information to confirm that it complies with the regulation. Where our
review indicates that the selected useful life may not be appropriate
for an engine family, we may request further justification. If we
determine from available information that a longer useful life is
appropriate, the manufacturer must either provide additional
justification or select a longer useful life for that engine family. We
will encourage manufacturers to use the new provisions related to
preliminary approval in Sec. 1054.210 if there is any uncertainty
related to the useful life selection. We would rather work together
early to establish this in the certification process rather than
reviewing a completed application for certification to evaluate whether
the completed durability demonstration is sufficient.
Second, we are modifying the regulations to allow nonhandheld
engine manufacturers to select a useful life value that is longer than
the three specified nominal values. Manufacturers may choose to do this
for the marketing advantage of selling a long-life product or they may
want to generate emission credits that correspond to an expected
lifetime that is substantially longer than we would otherwise allow. We
are allowing manufacturers to select longer useful life values in 100-
hour increments, up to 3,000 hours for Class I engines and up to 5,000
hours for Class II engines. Durability testing for certification will
need to correspond to the selected useful life period. We have
considered the possibility that a manufacturer might overstate an
engine family's useful life to generate emission credits while knowing
that engines may not operate that long. We believe the inherent testing
burden and compliance liability is enough to avoid such a problem, but
we are including the specified maximum values corresponding with the
applicable useful life for comparable diesel engines or Large SI
engines. We are not allowing for longer useful life values for handheld
engines.
Third, we are requiring that engines and equipment be labeled to
identify the applicable useful life period. The current requirement
allows manufacturers to identify the useful life with code letters on
the engine's emission control information label, with the numerical
value of the useful life spelled out in the owner's manual. We believe
it is important for equipment manufacturers and consumers to be able to
find an unambiguous designation showing the engine manufacturer's
expectations about the useful life of the engine. Comments on the
proposed rule also indicated an interest in using descriptive terms to
identify the useful life on the label. We believe any terminology will
communicate less effectively than the numerical value of the useful
life, but we will allow manufacturers to use specified descriptive
terms in addition to the number of hours.
We are also including a provision in the final rule stating that
the useful life is defined as a five-year period if the engine has not
yet exceeded the specified number of operating hours during that time.
This is consistent with our other engine programs. This does not affect
the certification process. If we test an in-use engine within the five-
year useful life period and there is no clear indication that it has
not yet exceeded the specified number of operating hours, it would need
to meet applicable emission standards. Conversely, if an engine has not
yet exceeded the number of operating hours but the engine is six years
old, it is no longer required to meet emission standards.
(3) Averaging, Banking, and Trading
EPA has included averaging, banking, and trading (ABT) programs in
most of the emission control programs for highway and nonroad engines.
EPA's existing Phase 2 regulations for Small SI engines include an
exhaust ABT program (see 40 CFR 90.201 through 90.211). We are adopting
an ABT program for the Phase 3 HC+NOX exhaust emission
standards that is similar to the existing program (see part 1054,
subpart H). The new exhaust ABT program is intended to enhance the
ability of engine manufacturers to meet more stringent emission
standards. The exhaust ABT program is also structured to avoid delay of
the transition to the new exhaust emission controls. As described in
Section VI.D, we are establishing a separate evaporative ABT program
for fuel tanks used in Small SI equipment. Credits may not be exchanged
between the exhaust ABT program and the evaporative ABT program.
The exhaust ABT program has three main components. Averaging means
the exchange of emission credits between engine families within a given
engine manufacturer's product line for a specific model year. Engine
manufacturers divide their product line into ``engine families'' that
are comprised of engines expected to have similar emission
characteristics throughout their useful life. Averaging allows a
manufacturer to certify one or more engine families at levels above the
applicable emission standard, but below a set upper limit. This level
then becomes the applicable standard for all the engines in that engine
family, for purposes of certification, in-use testing, and the like.
However, the increased emissions must be offset by one or more engine
families within that manufacturer's product line that are certified
below the same emission standard, such that the average standard from
all the manufacturer's engine families, weighted by engine power,
regulatory useful life, and production volume, is at or below the level
of the emission standard. Banking means the retention of emission
credits by the engine manufacturer for use in averaging or trading for
future model years. Trading means the exchange of emission credits
between engine manufacturers which can then be used for averaging
purposes, banked for future use, or traded to another engine
manufacturer.
Because we are not adopting any change in the general equation
under which emission credits are calculated, EPA is allowing
manufacturers to use Phase 2 credits generated under the part 90 ABT
program for engines that are certified in the Phase 3 program under
part 1054, within the limits described below. Furthermore, even though
we are not establishing new exhaust emission standards for handheld
engines, the handheld engine regulations are migrating to part 1054.
Therefore, handheld engines will be included in the new ABT program
under part 1054 with one change in the overall program as described
below.
Under an ABT program, averaging is allowed only between engine
families in the same averaging set, as defined in the
[[Page 59080]]
regulations. For the exhaust ABT program, we are separating handheld
engines and nonhandheld engines into two distinct averaging sets
starting with the 2011 model year. Under the new program, credits may
generally be used interchangeably between Class I and Class II engine
families, with a limited restriction on Phase 3 credits during model
years 2011 and 2012 as noted below. Likewise, credits can be used
interchangeably between all three handheld engine classes (Classes III,
IV, and V). Because the Phase 2 exhaust ABT program allowed exchange
across all engine classes (i.e., allowing exchanges between handheld
engines and nonhandheld engines), manufacturers using credits beginning
with the 2011 model year will need to show that the credits were
generated within the allowed category of engines. For many companies,
especially those in the handheld market, this will potentially be
straightforward since they are primarily in the handheld market. For
companies that have a commingled pool of emission credits generated by
both handheld engines and nonhandheld engines, this will take more
careful accounting. Because manufacturers have been aware of this new
requirement since the proposal, keeping records to distinguish handheld
credits and nonhandheld credits will be relatively straightforward for
2006 and later model years.
We are making two exceptions to the provision restricting credit
exchanges between handheld engines and nonhandheld engines. Currently,
some companies that are primarily nonhandheld engine manufacturers also
sell a limited number of handheld engines. Under the Phase 2 program,
these engine manufacturers can use credits from nonhandheld engines to
offset the higher emissions of their handheld engines. Because we are
not adopting new exhaust requirements for handheld engines, we are
addressing this existing practice by specifying that an engine
manufacturer may use emission credits from their nonhandheld engines
for their handheld engines under certain conditions. Specifically, a
manufacturer may use credits from their nonhandheld engines for their
handheld engines only where the handheld engine family is certified in
2008 and later model years without any design changes from the 2007
model year and the FEL of the handheld engine family does not increase
above the level that applied in the 2007 model year, unless such an
increase is based on emission data from production engines.
Furthermore, we are limiting the number of handheld engines for which a
manufacturer can use emission credits from their nonhandheld engines to
30,000 per year. We believe these provisions allow for engine
manufacturers to continue producing these handheld engines for use in
existing handheld models of low-volume equipment applications while
preventing new high-emitting handheld engine families from entering the
market through the use of nonhandheld engine credits. (See Sec.
1054.740.)
A second exception to the provision restricting credit exchanges
between handheld engines and nonhandheld engines arises because of our
handling of engines below 80cc. Under the new Phase 3 program, all
engines below 80cc are considered handheld engines for the purposes of
the emission standards. However, a few of these engines are used in
nonhandheld applications. Therefore, EPA will allow a manufacturer to
generate nonhandheld ABT credits from engines below 80cc for those
engines a manufacturer has determined are used in nonhandheld
applications. (The credits will be generated against the applicable
handheld engine standard.) These nonhandheld credits could be used
within the Class I and Class II engine classes to demonstrate
compliance with the Phase 3 exhaust standards (subject to applicable
restrictions). The credits generated by engines below 80cc used in
handheld applications could only be used for other handheld engines.
(See Sec. 1054.701.)
Under an ABT program, a manufacturer establishes a ``family
emission limit'' (FEL) for each participating engine family. This FEL
may be above or below the standard. The FEL becomes the enforceable
emission limit for all the engines in that family for purposes of
compliance testing. FELs that are established above the standard may
not exceed an upper limit specified in the ABT regulations. For
nonhandheld engines we are establishing FEL caps to prevent the sale of
very high-emitting engines. Under the new FEL caps, manufacturers will
need to establish FELs at or below the levels of the Phase 2
HC+NOX emission standards of 16.1 g/kW-hr for Class I
engines and 12.1 g/kW-hr for Class II engines. (The Phase 3 FEL cap for
Class I engines with a displacement between 80 cc and 100 cc will be
40.0 g/kW-hr since these engines were Class I-B engines under the Phase
2 regulations and subject to this higher level.) For handheld engines,
where we are not adopting new exhaust emission standards, we are
maintaining the FEL caps as currently specified in the part 90 ABT
regulations.
For nonhandheld engines we are adding two special provisions
related to the transition from Phase 2 to Phase 3 standards in Sec.
1054.740. First, we are providing incentives for manufacturers to
produce and sell engines certified at or below the Phase 3 standards
before the standards are scheduled to be implemented. Second, we are
establishing provisions to allow the use of Phase 2 credits for a
limited time under specific conditions. The following discussions
describe each of these provisions in more detail for Class I engines
and Class II engines separately.
For Class I engines, engine manufacturers can generate early Phase
3 credits by producing engines with an FEL at or below 10.0 g/kW-hr
prior to 2012. These early Phase 3 credits will be calculated and
categorized into two distinct types of credits, Transitional Phase 3
credits and Enduring Phase 3 credits. For engines certified with an FEL
at or below 10.0 g/kW-hr, the manufacturer will earn Transitional Phase
3 credits. The Transitional Phase 3 credits will be calculated based on
the difference between 10.0 g/kW-hr and 15.0 g/kW-hr. (The 15.0 g/kW-hr
level is the production-weighted average of Class I FEL values under
the Phase 2 program.) Manufacturers could use the Transitional Phase 3
credits from Class I engines in 2012 through 2014 model years. For
engines certified with an FEL below 10.0 g/kW-hr, manufacturers will
earn Enduring Phase 3 credits in addition to the Transitional Phase 3
credits described above. The Enduring Phase 3 credits will be
calculated based on the difference between the FEL for the engine
family and 10.0 g/kW-hr (i.e., the applicable Phase 3 standard). The
Enduring Phase 3 credits could be used once the Phase 3 standards are
implemented without the model year restriction noted above for
Transitional Phase 3 credits.
Engine manufacturers may certify their Class I engines using Phase
2 credits generated by Class I or Class II engines for the first two
years of the Phase 3 standards (i.e., model years 2012 and 2013) under
certain conditions. The manufacturer must first use all of its
available transitional Phase 3 credits to demonstrate compliance with
the Phase 3 standards, subject to the cross-class credit restriction
noted below which applies prior to model year 2013. If these
Transitional Phase 3 credits are sufficient to demonstrate compliance,
the manufacturer may not use Phase 2 credits. If these Transitional
Phase 3 credits are insufficient to
[[Page 59081]]
demonstrate compliance, the manufacturer could use Phase 2 credits to a
limited degree (under the conditions described below) to cover the
remaining amount of credits needed to demonstrate compliance. If
manufacturers still need credits to demonstrate compliance, they may
then use their remaining Phase 3 credits (i.e., their Enduring Phase 3
credits or any other Phase 3 credits generated in 2012 or 2013, subject
to the cross-class credit restriction noted below which applies prior
to model year 2013).
The maximum number of Phase 2 HC+NOX exhaust emission
credits that manufacturers could use for their Class I engines will be
calculated based on the characteristics of Class I engines produced
during the 2007, 2008, and 2009 model years. For each of those years,
the manufacturer will calculate a Phase 2 credit allowance using the
ABT credit equation and inserting 1.6 g/kW-hr for the ``Standard--FEL''
term, and basing the rest of the values on the total production of
Class I engines, the production-weighted power for all Class I engines,
and production-weighted useful life value for all Class I engines
produced in each of those years. Manufacturers will not include their
wintertime engines in the calculations unless the engines are certified
to meet the otherwise applicable HC+NOX emission standard.
The maximum number of Phase 2 HC+NOX exhaust emission
credits a manufacturer could use for their Class I engines (calculated
in kilograms) will be the average of the three values calculated for
model years 2007, 2008, and 2009. The calculation described above
allows a manufacturer to use Phase 2 credits to cover a cumulative
shortfall over the first two years for their Class I engines of 1.6 g/
kW-hr above the Phase 3 standard.
The Phase 2 credit allowance for Class I engines could be used all
in 2012, all in 2013, or partially in either or both model year's ABT
compliance calculations. Because ABT compliance calculations must be
done annually, the manufacturer will know its 2013 remaining allowance
based on its 2012 calculation. For example, if a manufacturer uses all
of its Phase 2 credit allowance in 2012, it will have no use of Phase 2
credits for 2013. Conversely, if a manufacturer doesn't use any Phase 2
credits in 2012, it will have all of its Phase 2 credit allowance
available for use in 2013. If a manufacturer uses less than its
calculated total credits based on the 1.6 g/kW-hr limit in 2012, the
remainder will be available for use in 2013. This provision allows for
limited use of Phase 2 emission credits to address the possibility of
unanticipated challenges in reaching the Phase 3 emission levels in
some cases or selling Phase 3 compliant engines early nationwide,
without creating a situation that will allow manufacturers to
substantially delay the introduction of Phase 3 emission controls.
For Class II engines, engine manufacturers could generate early
Phase 3 credits by producing engines with an FEL at or below 8.0 g/kW-
hr prior to 2011. These early Phase 3 credits will be calculated and
categorized as Transitional Phase 3 credits and Enduring Phase 3
credits. For engines certified with an FEL at or below 8.0 g/kW-hr, the
manufacturer will earn Transitional Phase 3 credits. The Transitional
Phase 3 credits will be calculated based on the difference between 8.0
g/kW-hr and 11.0 g/kW-hr. (The 11.0 g/kW-hr level is the production-
weighted average of Class II FEL values under the Phase 2 program.)
Manufacturers could use the Transitional Phase 3 credits from Class II
engines in 2011 through 2013 model years. For engines certified with an
FEL below 8.0 g/kW-hr, manufacturers will earn Enduring Phase 3 credits
in addition to the Transitional Phase 3 credits described above. The
Enduring Phase 3 credits will be calculated based on the difference
between the FEL for the engine family and 8.0 g/kW-hr (i.e., the
applicable Phase 3 standard). The Enduring Phase 3 credits could be
used once the Phase 3 standards are implemented without the model year
restriction noted above for Transitional Phase 3 credits.
Engine manufacturers may certify their Class II engines using Phase
2 credits generated by Class I or Class II engines for the first three
years of the Phase 3 standards (i.e., model years 2011, 2012 and 2013)
under certain conditions. The manufacturer must first use all of its
transitional Phase 3 credits to demonstrate compliance with the Phase 3
standards, subject to the cross-class credit restriction noted below
which applies prior to model year 2013. If these Transitional credits
are sufficient to demonstrate compliance, the manufacturer may not use
Phase 2 credits. If these Transitional Phase 3 credits are insufficient
to demonstrate compliance, the manufacturer could use Phase 2 credits
to a limited degree (under the conditions described below) to cover the
remaining amount of credits needed to demonstrate compliance. If the
manufacturer still needs credits to demonstrate compliance, they may
then use their remaining Phase 3 credits (i.e., their Enduring Phase 3
credits or any other Phase 3 credits generated in 2011, 2012, or 2013,
subject to the cross-class credit restriction noted below which applies
prior to model year 2013).
The maximum number of Phase 2 HC+NOX exhaust emission
credits a manufacturer could use for their Class II engines will be
calculated based on the characteristics of Class II engines produced
during the 2007, 2008, and 2009 model years. For each of those years,
the manufacturer will calculate a Phase 2 credit allowance using the
ABT credit equation and inserting 2.1 g/kW-hr for the ``Standard--FEL''
term, and basing the rest of the values on the total production of
Class II engines, the production-weighted power for all Class II
engines, and production-weighted useful life value for all Class II
engines produced in each of those years. Manufacturers will not include
their wintertime engines in the calculations unless the engines are
certified to meet the otherwise applicable HC+NOX emission
standard. The maximum number of Phase 2 HC+NOX exhaust
emission credits a manufacturer could use for their Class II engines
(calculated in kilograms) will be the average of the three values
calculated for model years 2007, 2008, and 2009. The calculation
described above allows a manufacturer to use Phase 2 credits to cover a
cumulative shortfall over the first three years for their Class II
engines of 2.1 g/kW-hr above the Phase 3 standard.
The Phase 2 credit allowance for Class II engines could be used all
in 2011, all in 2012, all in 2013, or partially in any or all three
model year's ABT compliance calculations. Because ABT compliance
calculations must be done annually, the manufacturer will know its
remaining allowance based on its previous calculations. For example, if
a manufacturer uses all of its Phase 2 credit allowance in 2011, it
will have no Phase 2 credits for 2012 or 2013. However, if a
manufacturer uses less than its calculated total credits based on the
2.1 g/kW-hr limit in 2011, it will have the remainder of its allowance
available for use in 2012 and 2013. This provision allows for some use
of Phase 2 emission credits to address the possibility of unanticipated
challenges in reaching the Phase 3 emission levels in some cases or
selling Phase 3 engines nationwide, without creating a situation that
will allow manufacturers to substantially delay the introduction of
Phase 3 emission controls.
To avoid the use of credits to delay the introduction of Phase 3
technologies, we are also not allowing manufacturers to use Phase 3
credits from Class I engines to demonstrate compliance with Class II
engines in the 2011 and 2012 model years. Similarly,
[[Page 59082]]
we are not allowing manufacturers to use Phase 3 credits from Class II
engines to demonstrate compliance with Class I engines in the 2012
model year. The 1.6 kW-hr and 2.1 g/kW-hr allowances discussed above
may not be exchanged across engine classes or traded among
manufacturers.
We are making one additional adjustment related to the exhaust ABT
program for engines subject to the new emission standards. We are
adopting a requirement that lowering an FEL after the start of
production may occur only if the manufacturer has emission data from
production engines justifying the lower FEL (see Sec. 1054.225). This
prevents manufacturers from making FEL changes late in the model year
to generate more emission credits (or use fewer emission credits) when
there is little or no opportunity to verify whether the revised FEL is
appropriate for the engine family. This provision is common in EPA's
emission control programs for other engine categories. We are also
requiring that any revised FEL can apply only for engines produced
after the FEL change. This is necessary to prevent manufacturers from
recalculating emission credits in a way that leaves no way of verifying
that the engines produced prior to the FEL change met the applicable
requirements.
As described below in Section V.E.3, we are allowing equipment
manufacturers to install a limited number of Class II engines,
certified by engine manufacturers with a catalyst as Phase 3 engines,
into equipment without the catalyst. (This is only allowed when the
engine is shipped separately from the exhaust system under the
provisions described in Section V.E.2.) Because engine manufacturers
may be generating emission credits from these engines based on the use
of a catalyst, EPA is concerned that engine manufacturers could be
earning exhaust ABT credits for engines that are sold but never have
the catalyst installed. Therefore, EPA believes it is appropriate to
adjust such credits to account for the fact that equipment
manufacturers may in many cases legally install a non-catalyzed muffler
on an engine that is part of a family whose certification depends on
the use of a catalyst. Therefore, EPA is adopting a 0.9 adjustment
factor for calculating credits for engine families that are available
under the delegated assembly provisions and are also participating in
the TPEM program. In addition, EPA is including an option that will
allow engine manufacturers to track the final configuration of the
engines to determine the actual number of engines that were downgraded
under the TPEM program. A manufacturer would need to track sales for
all the equipment manufacturers purchasing the given engine family. The
engine manufacturer could use the resulting number of engines that were
not downgraded in its calculation of ABT credits for that specific
engine family. Engine manufacturers may specifically direct equipment
manufacturers not to participate in the TPEM program for certain engine
models, which would allow for a more straightforward accounting of the
number of engines that are downgraded under the TPEM program.
For all emission credits generated by engines under the Phase 3
exhaust ABT program, we are allowing an indefinite credit life. We
consider these emission credits to be part of the overall program for
complying with Phase 3 standards. Given that we may consider further
reductions beyond these standards in the future, we believe it will be
important to assess the ABT credit situation that exists at the time
any further standards are considered. Emission credit balances will be
part of the analysis for determining the appropriate level and timing
of new standards, consistent with the statutory requirement to
establish standards that represent the greatest degree of emission
reduction achievable, considering cost, safety, lead time, and other
factors. If we were to allow the use of Phase 3 credits to meet future
standards, we may need to adopt emission standards at more stringent
levels or with an earlier start date than we would absent the continued
(or limited) use of Phase 3 credits, depending on the level of Phase 3
credit banks. Alternatively, we could adopt future standards without
allowing the use of Phase 3 credits. The final requirements in this
rulemaking describe a middle path in which we allow the use of Phase 2
credits to meet the Phase 3 standards, with provisions that limit the
extent and timing of using these credits.
Finally, manufacturers may include as part of their federal credit
calculation the sales of engines in California as long as they don't
separately account for those emission credits under the California
regulations. We originally proposed to exclude engines sold in
California which are subject to the California ABR standards. However,
we consider California's current HC+NOX standards to be
equivalent to those we are adopting in this rulemaking, so we would
expect a widespread practice of producing and marketing 50-state
products. Therefore, as long as a manufacturer is not generating
credits under California's averaging program for small engines, we
would allow manufacturers to count those engines when calculating
credits under EPA's program. This is consistent with how EPA allows
credits to be calculated in other nonroad sectors, such as recreational
vehicles.
D. Testing Provisions
The test procedures provide an objective measurement for
establishing whether engines comply with emission standards. The
following sections describe a variety of changes to the current test
procedures. Except as identified in the following sections, we are
preserving the testing-related regulatory provisions that currently
apply under 40 CFR part 90 for Phase 2 engines. Note that there is no
presumption that any previous approvals, guidance, or judgments related
to alternatives, deviations, or interpretations of the testing
requirements under the Phase 1 or Phase 2 program will continue to
apply; any decisions on such issues will be handled going forward on a
case-by-case basis.
(1) Migrating Procedures to 40 CFR Part 1065
Manufacturers have been using the procedures in 40 CFR part 90 to
test their engines for certification of Phase 1 and Phase 2 engines. As
part of a much broader effort, we have adopted comprehensive testing
specifications in 40 CFR part 1065 that are intended to serve as the
basis for testing all types of engines. The procedures in part 1065
include updated information reflecting the current state of available
technology. We are applying the procedures in part 1065 to nonhandheld
engines starting with new certification testing in 2013 and later model
years as specified in 40 CFR part 1054, subpart F. The procedures in
part 1065 identify new types of analyzers and update a wide range of
testing specifications, but leave intact the fundamental approach for
measuring exhaust emissions. There is no need to shift to the part 1065
procedures for nonhandheld engines before 2013. This allows
manufacturers time to make any necessary adjustments or upgrades in
their lab equipment and procedures. While any new certification testing
for nonhandheld engines will be subject to the part 1065 procedures
starting in model year 2013, manufacturers will be allowed to continue
certifying nonhandheld engines using carryover data generated under the
part 90 procedures.
We are not setting new exhaust emission standards for handheld
engines so there is no natural point in
[[Page 59083]]
time for shifting to the part 1065 procedures. We nevertheless believe
handheld engines should also use the part 1065 procedures for measuring
exhaust emissions. We are requiring manufacturers to start using the
part 1065 procedures in the 2013 model year as described above for
nonhandheld engines. Manufacturers will be allowed to continue
certifying handheld engines using carryover data generated under the
part 90 procedures, but any new certification testing will be subject
to the part 1065 procedures starting with the 2013 model year.
We have taken several steps to address the concerns raised by
engine manufacturers related to the specified test procedures in part
1065. First, we have confirmed that the calculations in part 1065 yield
the same emission results for a given set of raw data from testing. The
two calculation methods resulted in differences that were less than 1
percent for both handheld and nonhandheld engines. We have identified a
variety of clarifications and adjustments that we need to make to the
equations in Sec. 1065.655 to ensure accurate calculations for engines
operating with rich air-fuel mixtures. Second, we have modified the
cycle-validation criteria in Sec. 1054.505 to more carefully reflect
achievable torque control for small engines. The new criteria are based
on a combination of specifications for continuous measurements and mean
values, including specification of absolute thresholds where a
percentage approach would not work for very small torque values. Third,
we are adjusting the fueling instructions in part 1065 to allow for
fuel-oil mixtures with two-stroke engines.
We also acknowledge that handheld engines that depend on special
fixtures for proper testing should be tested under the provisions of
Sec. 1065.10(c) for special test procedures. This would require that
manufacturers describe their test fixtures and make them available upon
request. Further effort may be required to incorporate more specific
requirements or specifications related to these test fixtures. We
expect to cooperate with government agencies from California and from
other countries in an effort to harmonize Small SI test procedures, for
part 1065 procedures generally and for these special test procedures in
particular.
(2) Duty Cycle
The regulations under part 90 currently specify duty cycles for
testing engines for exhaust emissions. The current requirements specify
how to control speeds and loads and describe the situations in which
the installed engine governor controls engine speed. We are extending
these provisions to testing under the new standards with a few
adjustments described below. For engines equipped with an engine speed
governor, the current regulations at 40 CFR 90.409(a)(3) state:
For Class I, Class I-B, and Class II engines subject to Phase 2
standards that are equipped with an engine speed governor, the governor
must be used to control engine speed during all test cycle modes except
for Mode 1 or Mode 6, and no external throttle control may be used that
interferes with the function of the engine's governor; a controller may
be used to adjust the governor setting for the desired engine speed in
Modes 2-5 or Modes 7-10; and during Mode 1 or Mode 6 fixed throttle
operation may be used to determine the 100 percent torque value.
In addition, the current regulations at 40 CFR 90.410(b) state:
For Phase 2 Class I, I-B, and II engines equipped with an engine
speed governor, during Mode 1 or Mode 6 hold both the specified
speed and load within five percent of point, during
Modes 2-3, or Modes 7-8 hold the specified load with
five percent of point, during Modes 4-5 or Modes 9-10, hold the
specified load within the larger range provided by 0.27
Nm (0.2 lb-ft), or ten (10) percent of
point, and during the idle mode hold the specified speed within
ten percent of the manufacturer's specified idle engine
speed (see Table 1 in Appendix A of this subpart for a description
of test Modes).
Manufacturers have raised questions about the interpretation of
these provisions. Our intent is that the current requirements specify
that testing be conducted as follows:
Full-load testing occurs at wide-open throttle to maintain
engines at rated speed, which is defined as the speed at which the
engine's maximum power occurs (as declared by the manufacturer).
Idle testing occurs at the manufacturer's specified idle
speed with a maximum load of five percent of maximum torque. The
regulation allows adjustment to control speeds that are different than
will be maintained by the installed governor.
The installed governor must be used to control engine
speed for testing at all modes with torque values between idle and
full-load modes. The regulation allows adjustments for nominal speed
settings that are different than will be maintained by the installed
governor without modification.
We are adopting the Phase 3 standards with adjustments to the
regulatory requirements currently described in 40 CFR part 90 (see
Sec. 1054.505). Since each of these adjustments may have some effect
on measured emission levels, we believe it is appropriate to implement
these changes concurrent with the Phase 3 standards. To the extent the
adjustments apply to handheld engines, we believe it is appropriate to
apply the changes for new testing with 2013 and later model year
engines for the reasons described above for adopting the test
procedures in part 1065.
First, for engines with installed governors we are requiring the
engine speed during the idle mode to be controlled by the governor. We
believe there is no testing limitation that will call for engine
operation at idle to depart from the engine's governed speed. Allowing
manufacturers to arbitrarily declare an idle speed only allows
manufacturers to select an idle speed that gives them an advantage in
achieving lower measured emission results but not in a way that
corresponds to in-use emission control. We are also aware that some
production engines have a user-selectable control for selecting high-
speed or low-speed idle (commonly identified as ``rabbit/turtle''
settings). We believe this parameter adjustment may have a significant
effect on emissions that should be captured in the certification test
procedure. As a result, we are requiring that manufacturers conduct
testing with user-selectable controls set to keep the engine operating
at low-speed idle if any production engines in the engine family have
such an option. For engines with no installed governor, part 1065
specifies that the engine should operate at the idle speed declared by
the manufacturer.
Second, we are allowing an option in which manufacturers will test
their nonhandheld engines using a ramped-modal version of the specified
duty cycle. We expect this testing to be equivalent to the modal
testing described above but it will have advantages for streamlining
test efforts by allowing for a single result for the full cycle instead
of relying on a calculation from separate modal results. Under the new
requirement we will allow manufacturers the option to select this type
of testing. Manufacturers must use the same test method for production-
line testing that they use for certifying the engine family.
Manufacturers may include results from both types of testing in their
application for certification, in which case they could use either
method for production-line testing. EPA's confirmatory testing will
involve the same type of testing
[[Page 59084]]
performed by the manufacturers for certification.
Third, the part 90 regulations currently specify two duty cycles
for nonhandheld engines: (1) Testing at rated speed; and (2) testing at
85 percent of rated speed. The regulations direct manufacturers simply
to select the most appropriate cycle and declare the rated speed for
their engines. We are making this more objective by stating that rated
speed is 3,600 rpm and intermediate speed is 3,060 rpm, unless the
manufacturer demonstrates that a different speed better represents the
in-use operation for their engines. This is consistent with the most
common in-use settings and most manufacturers' current practice.
In addition, we are adding regulatory provisions to clarify how
nonhandheld engines are operated to follow the prescribed duty cycle.
As described in part 90, we are requiring that the engines operate
ungoverned at wide-open throttle for the full-power mode. This test
mode is used to denormalize the rest of the duty cycle. This operation
is intentionally not representative of in-use operation, but disabling
the governor allows for more uniform testing that is not dependent on
the various governing strategies that manufacturers might use. To avoid
a situation where engines are designed to control emissions over the
test cycle, with less effective controls under similar modes of
operation that engines experience in use, we are adding a requirement
for manufacturers to provide an explanation in the application for
certification if air-fuel ratios are significantly different for
governed and ungoverned operation at wide-open throttle, especially for
fuel-injected engines. Manufacturers would need to explain why this
emission control strategy is not a defeat device. If we test engines
governed and ungoverned at wide open throttle, we would expect to see
little or no difference in emission rates. If we would observe higher
emission rates with governed engine operation, manufacturers would
again need to justify why this discrepancy is not a defeat device.
Engines with conventional carburetors offer a limited ability to
manipulate air-fuel ratios at different operating points, so in these
cases manufacturers would simply state that air-fuel ratios do not vary
significantly at governed and ungoverned points of full-load operation.
Testing at other modes occurs with the governor controlling engine
speed. Before each test mode, manufacturers may adjust the governor to
target the same nominal speed used for the full-power mode, with a
tolerance limiting the variation in engine speed at each mode.
Alternatively, testing may be done by letting the installed governor
control engine speed, in which case only the torque value will need to
be controlled within an established range. Any EPA testing will be done
only with installed governors controlling engine speed in the standard
configuration, regardless of the method used by manufacturers for their
own testing. Any such engine with test results that exceed applicable
emission standards would be considered to fail, without regard to
emission results that might be different with testing in which the
governor is adjusted to target a given nominal speed.
A different duty cycle applies to handheld engines, which are
generally not equipped with governors to control engine speed. The
current regulations allow manufacturers to name their operating speed
for testing at each of the test modes. However, we are concerned that
this approach allows manufacturers too much discretion for selecting a
rated speed for high-load testing. We are revising this approach to
specify that manufacturers must select a speed that best represents in-
use operation for the engine family if the in-use applications involve
operation centered on a given nominal speed (350 rpm).
Engine manufacturers generally also make their own equipment, so this
can often be established for engines in an engine family. For engine
families without such a predominant operating speed, we require that
engine manufacturers test their engines within 350 rpm of the speed at
which the engine produces maximum power. Some engine families may have
a dominant engine speed, but also include a variety of applications
that operate at different in-use speeds. We specify for these cases
that engine manufacturers must test at both of the test speeds
identified above, in which case EPA testing might also involve emission
measurements using either (or both) test speeds. We are further
requiring manufacturers to describe in their application for
certification how they select the value for rated speed.
(3) Test Fuel
We are requiring Phase 3 exhaust emission testing with a standard
test fuel consistent with the existing requirements under 40 CFR part
90 (see 40 CFR part 1065, subpart H). The existing regulatory
specifications allow for no oxygenates in the test fuel. Because
California ARB specifies a test fuel which contains the oxygenate MTBE
(but also allows for the use of EPA's test fuel), we understand that
some engine manufacturers will have emission data from engines that
meet EPA's Phase 3 standards based on testing to meet California's Tier
3 Small Off-Road Engine requirements for 2007 and later model years. In
some cases the test data will be based on California's oxygenated test
fuel, although manufacturers have the option to certify using a test
fuel such as that specified by EPA in 40 CFR part 90. To allow for a
quicker transition to the new EPA standards, we will allow for use of
this pre-existing exhaust emission test data (based on California's
oxygenated test fuel) for EPA certification purposes through the 2012
model year. Manufacturers could also use the California ARB test fuel
for their PLT testing, if they based their certification on that fuel.
The use of the California ARB data would be subject to the provisions
for carryover data for demonstrating compliance with the standards in
effect. (The carryover provisions for Phase 3 are specified in Sec.
1054.235.) While we will allow use of California ARB data for
certification through the 2012 model year, we will use our test fuel
without oxygenates for all confirmatory testing we perform for exhaust
emissions. We are limiting the timeframe for such a provision because
we ultimately want the exhaust emission test results to be performed
using the EPA specified test fuel.
In the proposal we noted our concerns about testing with oxygenated
fuels since this could affect an engine's air-fuel ratio, which in turn
could affect the engine's combustion and emission characteristics.
Because of the relatively recent dramatic increase in the use of
ethanol (another oxygenate) in the broad motor gasoline pool, we have
reexamined our position (as discussed below) and are adopting
provisions that will allow manufacturers to use a 10 percent ethanol
blend for certification testing for exhaust emissions from nonhandheld
engines, as an alternative to the standard test fuel. This option to
use a 10 percent ethanol blend will begin with the implementation date
of the Phase 3 exhaust standards. The use of the ethanol blend would
apply to production-line testing as well if the manufacturer based
their certification on the 10 percent ethanol blend. We are also
committing to using a 10 percent ethanol blend for all confirmatory
testing we perform for exhaust emissions under the provisions described
below.
Ethanol has been blended into in-use gasoline for many years, and
until as recently as 2005, was used in less than one-third of the
national gasoline pool.
[[Page 59085]]
However, ethanol use has been increasing in recent years and, under
provisions of the Energy Independence and Security Act of 2007, ethanol
will be required in significantly greater quantities. We project that
potentially 80 percent of the national gasoline pool will contain
ethanol by 2010, making ethanol blends up to 10 percent the de facto
in-use fuel. As ethanol blends become the primary in-use fuel, we
believe it makes sense for manufacturers to optimize their engine
designs with regard to emissions, performance, and durability on such a
fuel. We also believe manufacturers need to know that any confirmatory
testing we do on their engines will be performed on the same fuel the
manufacturer used for certification since the fuel can impact the
ability to demonstrate compliance with the emission standards.
Limited data of nonhandheld engine emissions tested on 10 percent
ethanol blends suggests the HC emissions will decrease and
NOX emissions will increase compared to emissions from the
same engine operated on current certification fuel without oxygenates.
Depending on the relative HC and NOX levels of the engines,
these offsetting effects can result in small increases or decreases in
total HC+NOX emission levels. Because the impact on
HC+NOX emissions can vary slightly from engine family to
engine family, we do not want manufacturers varying their certification
fuel from one family to another to gain advantage with regard to
emissions certification.
Therefore, if a manufacturer wishes to use a 10 percent ethanol
blend for certification, they should use the 10 percent ethanol blend
for all their Phase 3 nonhandheld engines for a given engine class by
the third year of the Phase 3 standard (i.e., by the 2014 model year
for Class I engines and by the 2013 model year for Class II engines).
During the transition period, we will perform any confirmatory testing
on the 10 percent ethanol blend if that is the fuel used by the
manufacturer for certification. At the end of the transition period, we
will perform any confirmatory testing on the 10 percent ethanol blend
if that is the fuel used by the manufacturer for certification, but
only if the manufacturer has certified all their nonhandheld engines in
that engine class on the 10 percent ethanol blend. If the manufacturer
has not certified all its engines in a given engine class on the 10
percent ethanol blend, we may decide to test the engine on our current
test fuel without oxygenates. (See Sec. 1054.145 and Sec. 1054.501.)
For handheld engines, where we do not have sufficient data on the
impact of ethanol blends on emissions, we are adopting a slightly
different approach. Manufacturers will have the option to use a 10
percent ethanol blend for certification beginning with the 2010 model
year. The option to use a 10 percent ethanol blend would apply to PLT
testing as well if the manufacturer based their certification on the 10
percent ethanol blend. While we will allow use of a 10 percent ethanol
blend for certification, we expect to use our test fuel without
oxygenates for all confirmatory testing for exhaust emissions.
Therefore, an engine manufacturer will want to consider the impacts of
ethanol on emissions in evaluating the compliance margin for the
standard, or in setting the FEL for the engine family if it is
participating in the ABT program. We could decide at our own discretion
to do exhaust emissions testing using a 10 percent ethanol blend if the
manufacturer certified on that fuel. It should be noted that both EPA
and the California ARB are currently running test programs to assess
the emission impacts of a 10 percent ethanol blend on a range of Small
SI engines, including handheld engines. Based on the results of that
test program, we may want to consider changes to the provisions
allowing the use of a 10 percent ethanol blend for certification and
PLT testing for handheld engines. If the results of the handheld engine
testing show that emissions are comparable on both fuels, we would
expect to revise the provisions for handheld engines and take a similar
approach to that described above for nonhandheld engines. (See Sec.
1054.501.)
The test fuel specifications for the 10 percent ethanol blend are
based on using the current gasoline test fuel and adding fuel-grade
ethanol until the blended fuel contains 10 percent ethanol by volume.
In addition, we recognize that in some cases using fuel-grade ethanol
may be less practical than using other grades and so we will allow the
use of other grades, provided they do not affect a manufacturer's
ability to demonstrate compliance with the emission standards. To
understand this allowance, it is helpful to remember that one of the
main purposes of certification is for the manufacturer to use test data
to show that the engines produced will conform to the regulations.
Implicit in this is the concept that if EPA were to test an engine in
the family according to the specified procedures, its measured
emissions would be below the standards. Allowing a manufacturer to
deviate from the specified test procedures could potentially hinder our
ability to determine whether the engines would meet the standards when
tested according to the specified procedures. Nevertheless, it is
possible to overcome this concern based on the expected impact of the
deviation on measured emissions and on the manufacturer's compliance
margin (that is, the degree to which the measured certification
emissions are below the standard). For example, we would conclude that
a deviation that was expected to change measured emission rates by less
than 0.1 g/kW-hr would clearly not affect a manufacturer's ``ability to
demonstrate compliance with the emission standards'' if the certified
emission level was 1.0 g/kW-hr below the standard (or below the Family
Emission Limit). On the other hand, a deviation that was expected to
change measured emission rates by 0.1 to 0.5 g/kW-hr would affect a
manufacturer's ``ability to demonstrate compliance with the emission
standards'' if the compliance margin was only 0.5 g/kW-hr. Another way
to show that a deviation will not affect a manufacturer's ``ability to
demonstrate compliance with the emission standards'' is to show through
engineering analysis that a deviation will actually cause measured
emissions to increase relative to the specified procedures.
It should be noted that this is the first time EPA regulations
specify the use of an ethanol test fuel for exhaust emissions testing
for certification purposes. It is likely that EPA will consider similar
test fuel changes in the future for other vehicle and engine categories
including those addressed in this final rule. As part of those
deliberations, it is possible that EPA could decide that the test fuel
specifications for the ethanol blend should be different than those
adopted in this rule. Should that occur, EPA would need to consider
whether changes to the test fuel specifications adopted in this rule
for the 10 percent ethanol blend are appropriate for Small SI engine
testing.
E. Certification and Compliance Provisions for Small SI Engines and
Equipment
(1) Deterioration Factors
As part of the certification process, manufacturers generate
deterioration factors to demonstrate that their engines meet emission
standards over the full useful life. We are adopting some changes from
the procedures currently included in part 90 (see Sec. 1054.240 and
Sec. 1054.245). Much of the basis for these
[[Page 59086]]
changes comes from the experience gained in testing many different
engines in preparation for this final rule. First, we are discontinuing
bench aging of emission components. Testing has shown that operating
and testing the complete engine is necessary to get accurate
deterioration factors. Second, we are allowing assigned deterioration
factors for a limited number of small-volume nonhandheld engine
families. Manufacturers could use assigned deterioration factors for
multiple small-volume nonhandheld engine families as long as the total
production for all the nonhandheld engine families for which the
manufacturer is using assigned deterioration factors is estimated at
the time of certification to be no more than 10,000 units per year.
Third, we are allowing assigned deterioration factors for all engines
produced by small-volume nonhandheld engine manufacturers.
For the HC+NOX standard, we are specifying that
manufacturers use a single deterioration factor for the sum of HC and
NOX emissions. However, if manufacturers get approval to
establish a deterioration factor on an engine that is tested with
service accumulation representing less than the full useful life for
any reason, we will require separate deterioration factors for HC and
NOX emissions. The advantage of a combined deterioration
factor is that it can account for an improvement in emission levels for
a given pollutant with aging. However, for engines that have service
accumulation representing less than the full useful life, we believe it
is not appropriate to extrapolate measured values indicating that
emission levels for a particular pollutant will decrease. This is the
same approach we adopted for recreational vehicles.
EPA is not establishing the values for the assigned deterioration
factors for small-volume nonhandheld engine manufacturers in this final
rule. In an effort to develop deterioration factors that are
appropriate for Small SI engines, we plan to evaluate certification
data from Phase 3 engines certified early with EPA and from engines
certified under California ARB's Tier 3 standards (which began in 2007
and 2008). Because we are not promulgating new exhaust standards for
handheld engines, the assigned deterioration factor provisions adopted
for Phase 2 handheld engines are being retained.
Although we are not establishing new exhaust standards for handheld
engines, handheld engine manufacturers noted that California ARB has
approved certain durability cycles for accumulating hours on engines
for the purpose of demonstrating the durability of emission controls.
The durability cycles approved by California ARB vary from a 30-second
cycle for chainsaws to a 20-minute cycle for blowers, with 85 percent
of the time operated at wide open throttle and 15 percent of the time
operated at idle. Engine manufacturers can run the durability cycles
repeatedly until they accumulate the hours of operation equivalent to
the useful life for the engine family. Our current regulations state
that ``service accumulation is to be performed in a manner using good
judgment to ensure that emissions are representative of production
engines.'' While we are not changing the regulatory language regarding
service accumulation, the California ARB-approved durability cycles are
appropriate and acceptable to EPA for accumulating hours on handheld
engines for demonstrating the durability of emission controls.
(2) Delegated Final Assembly
The current practice of attaching exhaust systems to engines
varies. Class I engines are typically designed and produced by the
engine manufacturer with complete emission control systems. Equipment
manufacturers generally buy these engines and install them in their
equipment, adjusting equipment designs if necessary to accommodate the
mufflers and the rest of the exhaust system from the engine
manufacturer.
Engine manufacturers generally produce Class II engines without
exhaust systems, relying instead on installation instructions to ensure
that equipment manufacturers get mufflers that fall within a specified
range of backpressures that is appropriate for a given engine model.
Equipment manufacturers are free to work with muffler manufacturers to
design mufflers that fit into the space available for a given equipment
model, paying attention to the need to stay within the design
specifications from the engine manufacturers. A similar situation
applies for air filters, where equipment manufacturers in some cases
work with component manufacturers to use air filters that are tailored
to the individual equipment model while staying within the design
specifications defined by the engine manufacturer.
The existing regulations require that certified engines be in their
certified configuration when they are introduced into commerce. We
therefore need special provisions to address the possibility that
engines will need to be produced and shipped without exhaust systems or
air intake systems that are part of the certified configuration. We
have adopted such provisions for heavy-duty highway engines and for
other nonroad engines in 40 CFR 85.1713 and 40 CFR 1068.260,
respectively. These provisions generally require that engine
manufacturers establish a contractual arrangement with equipment
manufacturers and take additional steps to ensure that engines are in
their certified configuration before reaching the ultimate purchaser.
We are applying delegated-assembly provisions for nonhandheld
engines that are similar to those adopted for heavy-duty highway
engines. In fact, we have modified the proposed requirements and the
requirements that apply to heavy-duty highway engines (and to other
nonroad engines) such that a single set of requirements in part 1068
will simultaneously apply to all these engine categories. This combined
approach incorporates substantial elements of the program we proposed
for Small SI engines.
This approach generally requires that engine manufacturers apply
for certification in the normal way, identifying all the engine parts
that make up the engine configurations covered by the certification.
Equipment manufacturers will be able to work with muffler manufacturers
to get mufflers with installed catalysts as specified in the engine
manufacturer's application for certification. If equipment
manufacturers need a muffler or catalyst that is not covered by the
engine manufacturer's certification, the engine manufacturer will need
to amend the application for certification. This may require new
testing if the data from the original emission-data engine are not
appropriate for showing that the new configuration will meet emission
standards, as described in Sec. 1054.225. (Alternatively, the
equipment manufacturer may take on the responsibility for certifying
the new configuration, as described in Sec. 1054.612.) Engine
manufacturers will also identify in the application for certification
their plans to sell engines without emission-related components. We are
adopting several provisions to ensure that engines will eventually be
in their certified configuration. For example, engine manufacturers
will establish contracts with affected equipment manufacturers, include
installation instructions to make clear how engine assembly should be
completed, keep records of the number of engines produced under these
provisions, and obtain annual affidavits from affected equipment
manufacturers to confirm that they are installing the proper emission-
related components on the engines and that they have ordered
[[Page 59087]]
the number of components that corresponds to the number of engines
involved.
While the delegated-assembly provisions are designed for direct
shipment of engines from engine manufacturers to equipment
manufacturers, we are aware that distributors play an important role in
providing engines to large numbers of equipment manufacturers. We are
requiring that these provisions apply to distributors in one of two
ways. First, engine manufacturers may have an especially close working
relationship with primary distributors. In such a case, the engine
manufacturer can establish a contractual arrangement allowing the
distributor to act as the engine manufacturer's agent for all matters
related to compliance with the delegated-assembly provisions. This
allows the distributor to make arrangements with equipment
manufacturers to address design needs and perform oversight functions.
We will hold the engine manufacturer directly responsible if the
distributor fails to meet the regulatory obligations that will
otherwise apply to the engine manufacturer. However, starting in 2015,
we are allowing this approach only with our specific approval for
individual manufacturers and distributors. While this arrangement is
necessary to facilitate making engines available under the Transition
Program for Equipment Manufacturers, we are concerned that it will be
difficult for EPA and for manufacturers to properly ensure that all
engines are built up to a certified configuration when assembly
responsibilities are so far removed from the engine manufacturer. This
is underscored by a recent finding that an equipment manufacturer was
intentionally not following an engine manufacturer's instructions when
installing Small SI engines such that the final installation involved
an engine that was not in a certified configuration. In the years
before 2015, we expect that EPA and manufacturers will learn a lot
about delegated assembly, including the extent to which there are cases
in which engines are improperly assembled, whether those problems
represent intentional violations or mistakes as part of a good-faith
effort to meet applicable requirements. We will be prepared to judge
individual requests based on the experience gained under the initial
years of the Phase 3 standards. However, given the challenges
associated with engine manufacturers allowing distributors to act as
their agents with respect to delegated assembly, we expect
manufacturers to ask us to allow this only in unusual circumstances
when the standard approach would be very impractical. Also, depending
on the broader experience with this provision before 2015, we may
consider changing the regulation to allow this to continue without our
specific approval, for Small SI engines or for all types of engines. If
we find that there are substantial problems in implementing this
provision, we may also consider removing the allowance to continue
using distributors this way for delegated assembly past 2014.
Second, other distributors may receive shipment of engines without
exhaust systems, but they will add any aftertreatment components before
sending the engines on to equipment manufacturers. Engine manufacturers
will treat these distributors as equipment manufacturers for the
purposes of delegated assembly. Equipment manufacturers buying engines
from such a distributor will not have the option of separately
obtaining mufflers from muffler manufacturers. However, we would expect
distributors to cooperate with small equipment manufacturers to work
out any necessary arrangements to specify and design their components
and equipment. This second situation involves a more straightforward
compliance scenario so this provision does not expire. In both of these
scenarios, the engine manufacturer continues to be responsible for the
in-use compliance of all their engines.
Engine manufacturers will need to affix a label to the engine to
clarify that it needs certain emission-related components before it is
in its certified configuration. This labeling information is important
for alerting assembly personnel to select mufflers with installed
catalysts; the label will also give in-house inspectors or others with
responsibility for quality control a tool for confirming that all
engines have been properly assembled and installed. Given the large
numbers of engine and equipment models and the interchangeability of
mufflers with and without catalysts, we believe proper labeling will
reduce the possibility that engines will be misbuilt. This labeling can
be done with either of two approaches. First, a temporary label may be
applied such that it could not be removed without a deliberate action
on the part of the equipment manufacturer. We believe it is not
difficult to create a label that will stay on the engine until it is
deliberately removed. Second, manufacturers may add the words
``delegated assembly'' to the engine's permanent emission control
information label (or ``DEL ASSY'' where limited space requires an
abbreviation).
In addition, engine manufacturers will need to perform or arrange
for audits to verify that equipment manufacturers are properly
assembling engines. Engine manufacturers may rely on third-party agents
to perform auditing functions. Since the purpose of the audit is to
verify that equipment manufacturers are properly assembling products,
they may not perform audits on behalf of engine manufacturers. We are
requiring that audits involve at a minimum reviewing the equipment
manufacturer's production records and procedures, inspecting the
equipment manufacturer's production operations, and inspecting the
final assembled products. Inspection of final assembled products may
occur at any point in the product distribution system. For example,
products may be inspected at the equipment manufacturer's assembly or
storage facilities, at regional distribution centers, or at retail
locations. The audit must also include confirmation that the number of
aftertreatment devices shipped was sufficient for the number of engines
involved. Engine manufacturers would keep records of the audit results
and make these records available to us upon request. These auditing
specifications represent a minimum level of oversight. In certain
circumstances we may expect engine manufacturers to take additional
steps to ensure that engines are assembled and installed in their
certified configuration. For example, equipment manufacturers with very
low order volumes, an unclear history of compliance, or other
characteristics that will cause some concern may prompt us to require a
more extensive audit to ensure effective oversight in confirming that
engines are always built properly. Engine manufacturers must describe
in the application for certification their plan for taking steps to
ensure that all engines will be in their certified configuration when
installed by the equipment manufacturer. EPA approval of a
manufacturer's plan for delegated assembly will be handled as part of
the overall certification process.
We are requiring that engine manufacturers annually audit twelve
equipment manufacturers, or fewer if they are able to audit all
participating equipment manufacturers on average once every four years.
These audits will be divided over different equipment manufacturers
based on the number of engines sold to each equipment manufacturer. We
specify that these auditing rates are reduced to a maximum of four
equipment manufacturers per year starting in 2015.
[[Page 59088]]
In 2019 and later, manufacturers would continue to perform a maximum of
four audits annually, but we specify that audits may be divided evenly
to cover all equipment manufacturers over a ten-year period.
We are not adopting the proposed requirement for engine
manufacturers to establish an alphanumeric designation to identify each
unique catalyst design and instruct equipment manufacturers to stamp
this code on the external surface of the exhaust system. However,
manufacturers may choose to do this voluntarily as a means of more
readily assessing whether engines have been properly assembled.
We are requiring that all the same provisions apply for separate
shipment related to air filters if they are part of an engine's
certified configuration, except for the auditing. However, this does
not apply if manufacturers identify intake systems, including air
filters, by simply instructing equipment manufacturers to maintain the
pressure drop within a certain range. This is typical of the way many
exhaust systems are handled today. We will require auditing related to
air filters that are specifically identified in the application for
certification only if engine manufacturers are already performing
audits related to catalysts. We believe there is much less incentive or
potential for problems with equipment manufacturers producing engines
with noncompliant air filters so we believe a separate auditing
requirement for air filters is unnecessary.
The final regulation specifies that the exemption expires when the
equipment manufacturer takes possession of the engine and the engine
reaches the point of final equipment assembly. The point of final
equipment assembly for purposes of delegated assembly for
aftertreatment components is the point at which the equipment
manufacturer attaches a muffler to the engine. Engines observed in
production or inventory assembled with improper mufflers will be
considered to have been built contrary to the engine manufacturer's
installation instructions. Catalysts are invariably designed as part of
the muffler, so no reason exists for installing a different muffler
once a given muffler has been installed using normal production
procedures. If equipment manufacturers sell equipment without following
these instructions, they will be considered in violation of the
prohibited acts i.e., selling uncertified engines). If there is a
problem with any given equipment manufacturer, we will disallow
continued use of the delegated-assembly provisions for that equipment
manufacturer until the engine manufacturer has taken sufficient steps
to remedy the problem.
We are aware that the new approach of allowing equipment
manufacturers to make their own arrangements to order mufflers results
in a situation in which the equipment manufacturer must spend time and
money to fulfill their responsibilities under the regulations. This
introduces a financial incentive to install mufflers with inferior
catalysts, or to omit the catalyst altogether. To address this concern,
we are requiring that engine manufacturers get written confirmation
from each equipment manufacturer before an initial shipment of engines
for a given engine model. This confirmation will document the equipment
manufacturer's understanding that they are using the appropriate
aftertreatment components. The written confirmation will be due within
30 days after shipping the engines and will be required before shipping
any additional engines from that engine family to that equipment
manufacturer.
The shipping confirmation included in the rule for heavy-duty
highway engines is a very substantial provision to address the fact
that vehicle manufacturers will gain a competitive advantage by
producing noncompliant products, and that engines in commerce will be
labeled as if they were fully compliant even though they are not yet in
their certified configuration. This is especially problematic when a
muffler with no catalyst can easily be installed and can perform
without indicating a problem. To address this concern we are requiring
that equipment manufacturers include in their annual affidavits an
accounting for the number of aftertreatment components they have
ordered relative to the number of engines shipped without the catalysts
that the mufflers will otherwise require.
Production-line testing normally involves building production
engines using normal assembly procedures. For engines shipped without
catalysts under the delegated-assembly provisions, it is not normally
possible to do this at the engine manufacturer's facility, where such
testing will normally occur. To address this, we are specifying that
engine manufacturers must arrange to get a randomly selected catalyst
that will be used with the engine. The catalyst must come from any
point in the normal distribution from the aftertreatment component
manufacturer to the equipment manufacturer. The catalyst may come from
the engine manufacturer's own inventory as long as it is randomly
procured. Engine manufacturers are required to keep records showing how
they randomly selected catalysts.
See Section 2.8 of the Summary and Analysis of Comments for further
discussion of issues related to delegated assembly.
(3) Transition Program for Equipment Manufacturers
Given the level of the new Phase 3 exhaust emission standards for
Class II engines, we believe there may be situations where the use of a
catalyzed muffler could require equipment manufacturers to modify their
equipment. We are therefore establishing a set of provisions to provide
equipment manufacturers with reasonable lead time for transitioning to
the new standards. These provisions are similar to the program we
adopted for nonroad diesel engines (69 FR 38958, June 29, 2004).
Equipment manufacturers will not be obligated to use any of these
provisions, but all equipment manufacturers that produce Class II
equipment are eligible to do so. We are also requiring that all
companies under the control of a common entity will be considered
together for the purposes of applying these allowances. Manufacturers
will be eligible for the allowances described below only if they have
primary responsibility for designing and manufacturing equipment, and
if their manufacturing procedures include installing engines in the
equipment.
(a) General Provisions
Under the final rule, beginning in the 2011 model year and lasting
through the 2014 model year, each equipment manufacturer may install
Class II engines not certified to the Phase 3 emission standards in a
limited number of equipment applications produced for the U.S. market
(see Sec. 1054.625). We refer to these here as ``flex engines.'' These
flex engines will need to meet the Phase 2 standards. The maximum
number of ``allowances'' each manufacturer can use are based on 30
percent of an average year's production of Class II equipment. The
number of allowances is calculated by determining the average annual
U.S.-directed production of equipment using Class II engines produced
from January 1, 2007 through December 31, 2009. Thirty percent of this
average annual production level is the total number of allowances an
equipment manufacturer may use under this transition program over four
years. Manufacturers can use these allowances for their Class II
equipment over four model years from 2011 through 2014, with the usage
spread over these model years as
[[Page 59089]]
determined by the equipment manufacturer. Equipment produced under
these provisions can use engines that meet the Phase 2 emission
standards instead of the Phase 3 standards. If an equipment
manufacturer newly enters the Class II equipment market during 2007,
2008 or 2009, the manufacturer will calculate its average annual
production level based only on the years during which it actually
produced Class II equipment. Equipment manufacturers newly entering the
Class II equipment market after 2009 will not receive any allowances
under the transition program and will need to incorporate Phase 3
compliant engines into the Class II equipment beginning in 2011.
Equipment using engines built before the effective date of the
Phase 3 standards will not count toward an equipment manufacturer's
allowances. Equipment using engines that are exempted from the Phase 3
standards for any reason will also not count toward an equipment
manufacturer's allowances. For example, we are allowing small-volume
engine manufacturers to continue producing Phase 2 engines for two
model years after the Phase 3 standards apply. All engines subject to
the Phase 3 standards, including those engines that are certified to
FELs at higher levels than the standard, but for which an engine
manufacturer uses exhaust ABT credits to demonstrate compliance, will
count as Phase 3 complying engines and will not be included in an
equipment manufacturer's count of allowances.
The choice of the allowances based on 30 percent of one year's
production is based on our best estimate of the degree of reasonable
lead time needed by the largest equipment manufacturers to modify their
equipment designs as needed to accommodate engines and exhaust systems
that have changed as a result of more stringent emission standards. We
believe this level of allowances responds to the need for lead time to
accommodate the workload related to redesigning equipment models to
incorporate catalyzed mufflers while ensuring a significant level of
emission reductions in the early years of the new program.
As described in Section VI, technologies for controlling running
losses may involve a significant degree of integration between engine
and equipment designs. In particular, routing a vapor line from the
fuel tank to the engine's intake system depends on engine modifications
that will allow for this connection. As a result, any equipment using
flex engines will not need to meet running loss standards.
(b) Coordination Between Engine and Equipment Manufacturers
We are establishing two separate paths for complying with
administrative requirements related to the new transition program,
depending on how the engine manufacturer chooses to make flex engines
available. Engine manufacturers choosing to use the delegated-assembly
provisions described above will be enabling equipment manufacturers to
make the decision whether to complete the engine assembly in the Phase
3 configuration or to use a non-catalyzed muffler such that the engine
will meet Phase 2 standards and will therefore need to be counted as a
flex engine. If engine manufacturers do not use the delegated-assembly
provisions, equipment manufacturers will need to depend on engine
manufacturers to produce and ship flex engines that are already in a
configuration meeting Phase 2 standards and labeled accordingly. Each
of these scenarios involves a different set of compliance provisions,
which we describe below. Note that in no case may an equipment
manufacturer remove a catalyzed muffler from an engine and replace it
with a noncatalyzed muffler; this would be a violation of the
prohibition against tampering.
(i) Compliance Based on Engine Manufacturers
Engine manufacturers will in many cases produce complete engines.
This will be the case if the engine does not require a catalyst or if
the engine manufacturer chooses to design their own exhaust systems and
ship complete engine assemblies to equipment manufacturers.
Under this scenario, we are requiring that equipment manufacturers
request a certain number of flex engines from the engine manufacturer.
The regulatory provisions specifically allow engine manufacturers to
continue to build and sell Phase 2 engines needed to meet the market
demand created by the transition program for equipment manufacturers,
provided they receive the written assurance from the equipment
manufacturer that such engines are being procured for this purpose. We
are requiring that engine manufacturers keep copies of the written
assurance from equipment manufacturers for at least five years after
the final year in which allowances are available.
Engine manufacturers are currently required to label their
certified engines with a variety of information. We are requiring that
engine manufacturers producing complete flex engines under this program
identify on the engine label that they are flex engines. In addition,
equipment manufacturers are required to apply an Equipment Flexibility
Label to the engine or piece of equipment that identifies the equipment
as using an engine produced under the Phase 3 transition program for
equipment manufacturers. These labeling requirements allow EPA to
easily identify flex engines and equipment, verify which equipment
manufacturers are using these flex engines, and more easily monitor
compliance with the transition provisions. Labeling of the equipment
could also help U.S. Customs to quickly identify equipment being
imported lawfully using the Transition Program for Equipment
Manufacturers.
While manufacturers will need to meet Phase 2 standards with their
flex engines, they will not need to certify them for the current model
year. We are instead applying the provisions of 40 CFR 1068.265, which
require manufacturers to keep records showing that they meet emission
standards without requiring submission of an application for
certification.
(ii) Compliance Based on Equipment Manufacturers
We are adopting a different set of compliance provisions for engine
manufacturers that make arrangements to ship engines separately from
exhaust-system components. Under this scenario, as discussed above, the
engine manufacturers must establish a relationship with the equipment
manufacturers allowing the equipment manufacturer to install catalysts
to complete engine assembly in compliance with Phase 3 standards.
In this case, engine manufacturers will design and produce their
Phase 3 engines and label them accordingly. The normal path for these
engines covered by the delegated-assembly provisions will involve
shipment of the engine without an exhaust system to the equipment
manufacturer. The equipment manufacturer will then follow the engine
manufacturer's instructions to add the exhaust system including the
catalyst to bring the engine into a certified Phase 3 configuration.
Under the transition program, equipment manufacturers will choose for
each of these engines to either follow the engine manufacturer's
instructions to install a catalyst to make it compliant with Phase 3
standards or install a non-catalyzed muffler to make it compliant with
Phase 2 standards. Any such engines downgraded to Phase 2 standards
will count toward the equipment manufacturer's total number
[[Page 59090]]
of allowances under the transition program.
To make this work, engine manufacturers will need to take certain
steps to ensure overall compliance. First, engine manufacturers will
need to include emission data in the application for certification
showing that the engine meets Phase 2 standards without any
modification other than installing a non-catalyzed exhaust system. This
may include a specified range of backpressures that equipment
manufacturers must meet in procuring a non-catalyst muffler. If the
Phase 3 engine without a catalyst will otherwise still be covered by
the emission data from engines produced in earlier model years under
the Phase 2 standards, manufacturers could rely on carryover emission
data to make this showing. Second, the installation instructions we
specify under the delegated-assembly provisions will need to describe
the steps equipment manufacturers must take to make either Phase 3
engines or Phase 2 flex engines. Third, for engine families that
generate positive emission credits under the exhaust ABT program,
engine manufacturers must generally decrease the number of ABT credits
generated by the engine family by 10 percent. We believe the 10 percent
decrease should provide an emission adjustment commensurate with the
potential use of the equipment manufacturer flexibility provisions. (As
described earlier in Section V.C.3, EPA is including an option that
will allow engine manufacturers to track the final configuration of the
engines to determine the actual number of engines that were downgraded
for the TPEM program.)
Equipment manufacturers using allowances under these provisions
must keep records that allow EPA or engine manufacturers to confirm
that equipment manufacturers followed appropriate procedures and
produced an appropriate number of engines without catalysts. In
addition, we are requiring that equipment manufacturers place a label
on the engine as close as possible to the engine manufacturer's
emission control information label to identify it as a flex engine. The
location of this label is important since it effectively serves as an
extension of the engine manufacturer's label, clarifying that the
engine meets Phase 2 standards, not the Phase 3 standards referenced on
the original label. This avoids the problematic situation of changing
or replacing labels, or requiring engine manufacturers to send
different labels.
Engine manufacturers might choose to produce Class II engines that
are compliant with the Phase 3 standards before the 2011 model year and
set up arrangements for separate shipment of catalyzed mufflers as
described in Section V.E.2. We expect any engine manufacturers
producing these early Phase 3 engines to continue production of
comparable engine models that meet Phase 2 standards rather than
forcing all equipment manufacturers to accommodate the new engine
design early. We believe it will not be appropriate for equipment
manufacturers to buy Phase 3 engines in 2010 or earlier model years and
downgrade them to meet Phase 2 emission standards as described above.
We are therefore allowing the downgrading of Phase 3 engines only for
2011 and later model years.
Because equipment manufacturers in many cases depend on engine
manufacturers to supply certified engines in time to produce complying
equipment, we are also adopting a hardship provision for all equipment
manufacturers (see Sec. 1068.255). An equipment manufacturer will be
required to use all its allowances under the transition program
described above before being eligible to use this hardship.
(iii) Reporting and Recordkeeping Requirements
Equipment manufacturers choosing to participate in the transition
program will be required to keep records of the U.S-directed production
volumes of Class II equipment in 2007 through 2009 broken down by
equipment model and calendar year. Equipment manufacturers will also
need to keep records of the number of flex engines they use under this
program.
We are also establishing certain notification requirements for
equipment manufacturers. Any manufacturer wishing to participate in the
new transition provisions need to notify EPA before producing equipment
with flex engines. They must submit information on production of Class
II equipment over the three-year period from 2007 through 2009,
calculate the number of allowances available, and provide basic
business information about the company. For example, we will want to
know the names of related companies operating under the same parent
company that are required to count engines together under this program.
This early notification will not be a significant burden to the
equipment manufacturer and will greatly enhance our ability to ensure
compliance. Indeed, equipment manufacturers will need to have the
information required in the notification to know how to use the
allowances.
We are establishing an ongoing reporting requirement for equipment
manufacturers participating in the Phase 3 transition program. Under
the program, participating equipment manufacturers will be required to
submit an annual report to EPA that shows its annual number of
equipment produced with flex engines under the transition provisions in
the previous year. Each report must include a cumulative count of the
number of equipment produced with flex engines for all years. To ease
the reporting burden on equipment manufacturers, EPA intends to work
with the manufacturers to develop an electronic means for submitting
information to EPA.
(c) Additional Allowances for Small and Medium-Sized Companies
We believe small-volume equipment manufacturers will need a greater
degree of lead time than manufacturers that sell large volumes of
equipment. The small companies are less likely to have access to
prototype engines from engine manufacturers and generally have smaller
engineering departments for making the necessary design changes.
Allowances representing thirty percent of annual U.S.-directed
production provide larger companies with substantial lead time to plan
their product development for compliance but smaller companies may have
a product mix that requires extensive work to redesign products in a
short amount of time. We are therefore specifying that small-volume
equipment manufacturers may use this same transition program with
allowances totaling 200 percent of the average annual U.S.-directed
production of equipment using Class II engines from 2007 through 2009.
For purposes of this program, a small-volume equipment manufacturer is
defined as a manufacturer that produces fewer than 5,000 pieces of
nonhandheld equipment per year subject to EPA regulations in each of
the three years from 2007 through 2009 or meets the SBA definition of
small business equipment manufacturer (i.e., generally fewer than 500
employees for manufacturers of most types of equipment). These
allowances are spread over the same four-year period between 2011 and
2014. For example, a small-volume equipment manufacturer could
potentially use Phase 2 engines on all their Class II equipment for two
years or they might sell half their Class II equipment with Phase 2
engines for four years assuming production stayed constant over the
four years.
[[Page 59091]]
Medium-sized equipment manufacturers, i.e., companies that produce
too much equipment to be considered a small-volume equipment
manufacturer but produce fewer than 50,000 pieces of Class II equipment
annually, may also face difficulties similar to that of small-volume
equipment manufacturers. These companies may be like small-volume
manufacturers if they have numerous product lines with varied
approaches to installing engines and mufflers. Other companies may be
more like bigger companies if they produce most of their equipment in a
small number of high-volume models or have consistent designs related
to engine and muffler installations. We are therefore creating special
provisions that will enable us to increase the number of transition
allowances that are available to these medium-sized companies that have
annual U.S.-directed production of Class II equipment of between 5,000
and 50,000 in each of the three years from 2007 through 2009. To obtain
allowances greater than 30 percent of average annual production, a
medium-sized manufacturer will need to notify us before they produce
equipment with flex engines by January 31, 2010 if they believe the
standard allowances based on 30 percent of average annual production of
Class II equipment do not provide adequate lead time starting in the
2011 model year. Additional allowances may be requested only if the
equipment manufacturer can show they are on track to produce a number
of equipment models representing at least half of their total U.S.-
directed production volume of Class II equipment in the 2011 model year
compliant with all exhaust and evaporative emission standards. As part
of their request, the equipment manufacturer will need to describe why
more allowances are needed to accommodate anticipated changes in engine
designs resulting from engine manufacturers' compliance with changing
exhaust emission standards. The equipment manufacturer will also need
to request a specific number of additional allowances needed with
supporting information to show why that many allowances are needed. We
may approve additional allowances up to 70 percent of the average
annual U.S.-directed production of Class II equipment from 2007 through
2009. If a medium-sized company were granted the full amount of
additional allowances, they will have allowances equivalent to 100
percent of the average annual production volume of Class II equipment.
As noted above, the determination of whether a company is a small-
or medium-sized manufacturer will be based primarily on production data
over the 2007 through 2009 period submitted to EPA before 2011. After a
company's status as a small- or medium-sized company has been
established based on the data, EPA is requiring that manufactures keep
that status even if a company's production volume grows during the next
few years, such that the company will no longer qualify as a small- or
medium-sized company. EPA believes equipment manufacturers need to know
at the beginning of the transition program (i.e., 2011) how many
allowances they will receive under the program. Changing a company's
size determination during the program, which could affect the number of
allowances available, will make it difficult for companies to plan and
could lead to situations where a company is in violation of the
provisions based on the use of allowances that were previously allowed.
Likewise, if a company is purchased by another company or merges with
another company after the determination of small- or medium-size status
is established in 2010, the combined company could, at its option, keep
the preexisting status for the individual portions of the combined
company. If the combined company chooses to keep the individual
designations, the combined company must submit the annual reports on
the use of allowances broken down for each of the previously separate
companies.
(d) Requirements for Importers and Imported Equipment
Under this final rule, only companies that manufacture equipment
can qualify for the relief provided under the Phase 3 transition
provisions. Equipment manufacturers producing equipment outside the
United States that comply with the provisions discussed below can enjoy
the same transition provisions as domestic manufacturers. Such
equipment manufacturers that do not comply with the compliance-related
provisions discussed below will not receive allowances. Importers that
do not manufacture equipment will not receive any transition relief
directly, but could import equipment with a flex engine if it is
covered by an allowance or transition provision associated with a
foreign equipment manufacturer. This will allow transition provisions
to be used by equipment manufacturers producing equipment outside the
United States in the same way as equipment manufacturers producing
equipment domestically, at the option of the overseas manufacturer,
while avoiding the potential for importers to inappropriately use
allowances. These regulations apply equally to foreign equipment
manufacturers and to domestic equipment manufacturers that build
equipment outside the country that is eventually sold in the United
States.
All equipment manufacturers wishing to use the transition
provisions for equipment produced outside the United States must comply
with all the requirements discussed above. Along with the equipment
manufacturer's notification described earlier, an overseas equipment
manufacturer will have to comply with various compliance related
provisions (see Sec. 1054.626). These provisions are similar to those
adopted for nonroad diesel engines. As part of the notification, such
an equipment manufacturer will have to:
Agree to provide EPA with full, complete and immediate
access to conduct inspections and audits;
Name an agent in the United States for service;
Agree that any enforcement action related to these
provisions will be governed by the Clean Air Act;
Submit to the substantive and procedural laws of the
United States;
Agree to additional jurisdictional provisions;
Agree that the equipment manufacturer will not seek to
detain or to impose civil or criminal remedies against EPA inspectors
or auditors for actions performed within the scope of EPA employment
related to the provisions of this program;
Agree that the equipment manufacturer becomes subject to
the full operation of the administrative and judicial enforcement
powers and provisions of the United States without limitation based on
sovereign immunity; and
Submit all reports or other documents in the English
language, or include an English language translation.
In addition to these provisions, we are requiring equipment
manufacturers producing equipment for importation under the transition
program to comply with a bond requirement for equipment imported into
the United States. We believe a bond program is an important tool for
ensuring that importing equipment manufacturers are subject to the same
level of enforcement as equipment manufacturers producing equipment
domestically. Specifically, we believe a bonding requirement for these
equipment manufacturers is an important enforcement tool for ensuring
that EPA has the ability to collect any
[[Page 59092]]
judgments assessed against an overseas equipment manufacturer for
violations of these transition provisions.
Under a bond program, the participating equipment manufacturer will
have to maintain a bond in the proper amount that is payable to satisfy
judgments that result from U.S. administrative or judicial enforcement
actions for conduct in violation of the Clean Air Act. The equipment
manufacturer will generally obtain a bond in the proper amount from a
third party surety agent that has been listed with the Department of
the Treasury. As discussed in Sections V.E.6, EPA is establishing other
bond requirements as well. An equipment manufacturer that is required
to post a bond under any of these provisions will be required to obtain
only one bond of the amount specified for those sections. Equipment
manufacturers may avoid the bond requirements based on the level of
assets in the United States, as described in Section V.E.6.
In addition to the equipment manufacturer requirements discussed
above, EPA is also requiring importers of equipment with flex engines
from a complying equipment manufacturer to comply with certain
provisions. EPA believes these importer provisions are essential to
EPA's ability to monitor compliance with the transition provisions.
Therefore, the regulations require each importer to notify EPA prior to
their initial importation of equipment with flex engines. Importers
will be required to submit their notification before importing
equipment with flex engines from a complying equipment manufacturer.
The importer's notification will need to include the following
information:
The name and address of importer (and any parent company);
The name and address of the manufacturers of the equipment
and engines the importer expects to import; and
Number of units of equipment with flex engines the
importer expects to import for each year broken down by equipment
manufacturer.
In addition, EPA is requiring that any importer electing to import
to the United States equipment with flex engines from a complying
equipment manufacturer must submit annual reports to EPA. The annual
report will include the number of units of equipment with flex engines
the importer actually imported to the United States in the previous
calendar year; and identify the equipment manufacturers and engine
manufacturers whose equipment and engines were imported.
(e) Provisions for Rotation-Molded Fuel Tanks
Equipment manufacturers may face challenges in transitioning to
rotation-molded fuel tanks that meet the new permeation standards.
These modified fuel tanks may require equipment manufacturers to adjust
the designs of their equipment to ensure that the new fuel tanks can be
incorporated without problems. We are therefore allowing equipment
manufacturers to use noncompliant rotational-molded fuel tanks for two
additional years on limited numbers of 2011 and 2012 model year
equipment using Class II engines. Equipment manufacturers may use
noncompliant rotational-molded fuel tanks if the production volume of
the fuel tank design used in Class II equipment models is collectively
no more than 5,000 units in the 2011 model year. In the 2012 model
year, equipment manufacturers may use noncompliant rotational-molded
fuel tanks if the production volume of the fuel tank design used in
Class II equipment models is collectively no more than 5,000 units in
the 2012 model year, but the total number of exempted rotational-molded
fuel tanks across the manufacturer's Class II equipment is limited to
10,000 units. If production volumes are greater than 5,000 for a given
fuel tank design (or greater than 10,000 corporate-wide in 2012), all
those tanks must comply with emission standards. Tank designs would be
considered identical if they are produced under a single part number to
conform to a single design or blueprint. In addition, tank designs
would be considered identical if they differ only with respect to
production variability, post-production changes (such as different
fittings or grommets), supplier, color, or other extraneous design
variables. We originally proposed to allow noncompliant rotation-molded
fuel tanks for any equipment that was counted under the allowances
described in this section which used flex engines meeting Phase 2
exhaust emission standards. However, the approach being finalized today
could be applied to any equipment using Class II engines (subject to
the constraints noted above), whether or not the equipment uses a flex
engine.
(4) Equipment Manufacturer Recertification
It has generally been engine manufacturers that certify with EPA
for exhaust emissions because the standards are engine-based. However,
because the Phase 3 nonhandheld standards are expected to result in the
use of catalysts, a number of equipment manufacturers, especially those
that make low-volume models, believe it may be necessary to produce
their own unique engine/muffler designs, but using the same catalyst
substrate already used in a muffler that is part of an engine
manufacturers certified configuration. In this situation, the engine
will not be covered by the engine manufacturer's certificate, as the
engine/muffler design is not within the specifications for the
certified engine. The equipment manufacturer is therefore producing a
new distinct engine which is not covered by a certificate and therefore
needs to be certified with EPA.
To allow the possibility of an equipment manufacturer certifying
such an engine/muffler design with EPA, we are establishing a
simplified engine certification process for nonhandheld equipment
manufacturers (see Sec. 1054.612). Under the simplified certification
process, the nonhandheld equipment manufacturer will need to
demonstrate that it is using the same catalyst substrate as the
approved engine manufacturer's engine family, provide information on
the differences between their engine/exhaust system and the engine/
exhaust system certified by the engine manufacturer, and explain why
the emissions deterioration data generated by the engine manufacturer
will be representative for the equipment manufacturer's configuration.
The equipment manufacturer will need to perform low-hour emission
testing on an engine equipped with their modified exhaust system and
demonstrate that it meets the emission standards after applying the
engine manufacturer's deterioration factors for the certified engine
family. We will not require production-line testing for these engines.
The equipment manufacturer will be responsible to meet all the other
requirements of an engine manufacturer under the regulations, including
labeling, warranty, defect reporting, payment of certification fees,
and other things. The useful life period selected for the original
certification will also apply for the equipment manufacturer's
streamlined certification. This provision is primarily intended for
easing the transition to new standards. Starting in the 2015 model
year, we are therefore limiting these recertification provisions to
small-volume emission families (sales below 5,000 units).
(5) Special Provisions Related to Altitude
For nonhandheld engines we are requiring compliance with our
standards at all altitudes, consistent
[[Page 59093]]
with other engine categories.\97\ However, since spark-ignition engines
without electronic control of air/fuel ratio cannot compensate for
changing air density, their emissions generally change with changing
altitude. In recognition of this technological limit, we are adopting
special testing and compliance provisions related to altitude. As
described in Section V.C.1, we are requiring that nonhandheld engines
meet emission standards without an altitude kit, but will allow, in
certain cases, testing at barometric pressures below 94.0 kPa (which is
roughly equivalent to an elevation of 2,000 feet above sea level) using
an altitude kit. (An altitude kit may be as simple as a single
replacement part for the carburetor that allows a greater volumetric
flow of air into the carburetor to make the engine operate as it would
at low altitudes.) Such kits were allowed under part 90 and we are
keeping the provisions that already apply in part 90 related to
descriptions of these altitude kits in the application for
certification. This includes a description of how engines comply with
emission standards at varying atmospheric pressures, a description of
the altitude kits, and the associated part numbers.
---------------------------------------------------------------------------
\97\ Note that we are not changing exhaust standards for
handheld engines and are therefore codifying altitude provisions in
the new part 1054 that are consistent with those that apply under
part 90.
---------------------------------------------------------------------------
During certification, manufacturers will have two choices regarding
testing and compliance at barometric pressures below 94.0 kPa: (1) Test
engines for demonstrating compliance with the standards without an
altitude kit; or (2) test engines for demonstrating compliance with the
standards using an altitude kit. Those manufacturers choosing Option 2
will be required to identify the altitude range for which it expects
proper engine performance and emission control will occur with and
without the altitude kit, state that engines will comply with
applicable emission standards throughout the useful life with the
altitude kit installed according to instructions, and include any
supporting information. Manufacturers choosing Option 2 will also need
to describe a plan for making information and parts available to
consumers such that widespread use of altitude kits will reasonably be
expected in high-altitude areas. For nonhandheld engines, this will
involve all counties with elevations substantially above 4,000 feet
(see Appendix III to part 1068). This includes all U.S. counties where
75 percent of the land mass and 75 percent of the population are above
4,000 feet (see 45 FR 5988, January 24, 1980 and 45 FR 14079, March 4,
1980).
Assuming we grant a certificate that includes a manufacturer's
reliance on an altitude kit during testing, any compliance testing at
higher altitudes (more precisely, lower barometric pressures) would be
conducted with the altitude kit installed on the engine according to
the manufacturer's instructions. Note that manufacturers would not be
required to submit test data from high-altitude testing in their
applications, provided they could demonstrate through engineering
analysis the basis for knowing the altitude kits will allow the engines
to meet the emission standards at high altitude. Any high-altitude
testing of an engine family that does not use these high altitude
provisions will be tested without an altitude kit installed.
We considered requiring manufacturers relying on altitude kits to
ensure that all engines sold in high-altitude areas were sold with
altitude kits installed, but determined that such a requirement would
have been burdensome to the manufacturers, impractical, and very
disruptive to the market, and may not work in practice. Certificate
holders will be the engine manufacturers, which generally have little
or no control over the location at which the sale to the ultimate
purchaser is made. In most cases, the engines will be sold to equipment
manufacturers and/or through distributors or large retailers. However,
even in cases when a manufacturer might have control over the location
at which the sale to the ultimate purchaser is made, it is not clear
that the manufacturer could ensure that every piece of equipment sold
in a high-altitude area has an engine with an altitude kit installed.
In light of these potential problems, we believe the approach being
finalized will be effective and is the most appropriate approach. It is
not tampering for a consumer not to install the altitude kit. We expect
it will be common practice for consumers to install altitude kits
because they are inexpensive, easy to install, and improve performance
at higher altitudes. Manufacturers have also emphasized that retailers
and consumers are well aware of the need to modify engines for proper
operation in high-altitude areas. Toward that end, we are requiring
manufacturers to make the information and parts sufficiently easy for
the consumer to obtain so that the manufacturer ``would reasonably
expect that altitude kits would be widely used in the high-altitude
counties.'' This approach should result in effective control of
emissions in high-altitude areas while still addressing the
manufacturers' concerns regarding control over distribution practices
and point of sale. In fact, it is worth noting that we expect this
overall approach to be more effective in achieving emission reductions
than the current regulations under Phase 2. Nevertheless, should we
determine that operation of engines in high-altitude areas without
altitude kits installed is widespread, we would reconsider the need for
additional requirements.
(6) Special Provisions for Compliance Assurance
EPA's experiences in recent years have highlighted the need for
more effective tools for preventing the introduction of noncompliant
engines into U.S. commerce. These include noncompliant engines sold
without engine labels or with counterfeit engine labels. We are
adopting the special provisions in the following sections to help us
address these problems.
(a) Importation Form
Importation of engines is regulated both by EPA and by U.S. Customs
and Border Protection. Current Customs regulations specify that anyone
importing a nonroad engine (or equipment containing a nonroad engine)
must complete a declaration form before importation. EPA has created
Declaration Form 3520-21 for this purpose. Customs requires this in
many cases, but there are times when they allow engines to be imported
without the proper form. It will be an important advantage for EPA's
own compliance efforts to be able to enforce this requirement. We are
therefore modifying part 90 to mirror the existing Customs requirement
(and the EPA requirement in Sec. 1068.301) for importers to complete
and retain the declaration form before importing engines (see Sec.
90.601). This will facilitate a more straightforward processing of
cases in which noncompliant products are brought to a U.S. port for
importation because currently no requirement exists for measuring
emissions or otherwise proving that engines are noncompliant at the
port facility. Since this is already a federal requirement, we are
making this effective immediately with the final rule.
(b) Assurance of Warranty Coverage
Manufacturers of Small SI engines subject to the standards are
required to provide an emission-related warranty so owners are able to
have repairs done at no expense for emission-related defects during an
initial warranty period. Established companies are able to do
[[Page 59094]]
this with a network of authorized repair facilities that can access
replacement parts and properly correct any defects. In contrast, we are
aware that some manufacturers are selling certified engines in the
United States without any such network for processing warranty claims.
As such, owners who find that their engines have an emission-related
defect are unable to properly file a warranty claim or get repairs that
should be covered by the warranty. In effect, this allows companies to
certify their engines and agree to provide warranty coverage without
ever paying for legitimate repairs that should be covered by the
warranty. We are therefore requiring that all manufacturers demonstrate
several things before we will approve certification for their engines
(see Sec. 90.1103 and Sec. 1054.120). The following provisions apply
to manufacturers who certify engines, and include importers who certify
engines. First, we are requiring manufacturers to provide and monitor a
toll-free telephone number and an e-mail address for owners to receive
information about how to make a warranty claim and how to make
arrangements for authorized repairs. Second, we are requiring
manufacturers to provide a source of replacement parts within the
United States. For imported parts, this will require at least one
distributor within the United States.
Finally, we are requiring manufacturers to have a network of
authorized repair facilities or to take one of multiple alternate
approaches to ensure that owners will be able to get free repair work
done under warranty. In the proposal we specified that warranty-related
repairs may be limited to authorized repair facilities as long as
owners did not have to travel more than 100 miles for repairs (or
further in remote areas of the country). For companies without a
nationwide repair network, we proposed alternative methods for meeting
warranty obligations, including free shipping, free service calls, or
reimbursement of costs through local nonauthorized service centers.
Manufacturers suggested a different metric for demonstrating a
readiness to meet warranty obligations, focusing on maintaining
authorized service centers in every metropolitan area with a population
of 100,000 or greater (according to the 2000 census). We agree that the
suggested approach would provide an effective demonstration of a valid
warranty network and are including that in the regulation; however, we
believe it is still appropriate to include the proposed provisions
related to the 100-mile specification in the final rule. For example,
there may be some companies with a regional market that have an
effective network of repair facilities in that region, but not in other
parts of the country. In this circumstance, it is appropriate to allow
the manufacturer multiple paths for showing that it will be able to
respond effectively to all warranty claims nationwide. We are therefore
including the 100-mile approach as an additional alternative in the
regulations, as well as including a variety of adjustments to address
the concerns raised in the comments.
We believe these requirements are both necessary and effective for
ensuring proper warranty coverage for all owners. At the same time, we
are adopting a flexible approach that allows companies to choose from a
variety of alternatives for providing warranty service. We therefore
believe these requirements are readily achievable for any company. We
are therefore implementing these requirements starting with the 2010
model year. This should allow time for the administrative steps
necessary to arrange for any of the allowable compliance options
described above.
(c) Bond Requirements Related to Enforcement and Compliance Assurance
Certification initially involves a variety of requirements to
demonstrate that engines and equipment are designed to meet applicable
emission standards. After certification is complete, however, several
important obligations apply to the certifying manufacturer or importer.
For example, we require ongoing testing of production engines, as well
as reporting of recurring defects. Manufacturers may also need to pay
penalties if there is a violation and may need to perform a recall if
their products are found to be noncompliant. For companies operating
within the United States, we are generally able to take steps to
communicate clearly and insist on compliance with applicable
regulations. For example, in certain circumstances we may meet with
specific company representatives, halt production, or seize assets. For
companies without staff or assets in the United States, these
alternatives are not available. Accordingly, we have limited ability to
enforce our requirements or recover any appropriate penalties, which
increases the risk of environmental problems as well as problems for
owners. This creates the potential for a company to gain a competitive
advantage if they do not have substantial assets or operations in the
United States by avoiding some of the costs of complying with EPA
regulations.
To address this concern, we are adopting a requirement for
manufacturers of certified engines and equipment (including importers)
to post a bond to cover any potential compliance or enforcement actions
under the Clean Air Act. Manufacturers and importers will be exempt
from the bond requirement if they are able to sufficiently demonstrate
an assurance that they will meet any compliance- or enforcement-related
obligations. The bonding requirements apply for companies that do not
have fixed assets in the United States meeting the smallest applicable
thresholds from the following:
A threshold of $3 million applies for manufacturers that
have been certificate holders in each of the preceding ten years
without failing a test conducted by EPA officials or having been found
by EPA to be noncompliant under applicable regulations.
A threshold of $6 million applies for secondary engine
manufacturers or for equipment manufacturers that certify no engines
with respect to exhaust emission standards. A secondary engine
manufacturer is generally a certifying company that buys partially
complete engines for final assembly from another engine manufacturer.
A threshold of $10 million applies for companies that do
not qualify for the smaller specified bond thresholds.
The value of the bond must be at least $500,000, though a higher
bond value may apply based on multiplying the annual volume of
shipments by a per-engine rate. The per-engine bond amount is $25 for
handheld engines and Class I engines. Class II engines cover a much
wider range of applications, so we further differentiate the bond for
those engines. The proposed per-engine bond amounts for Class II
engines is $50 for engines between 225 and 740 cc, $100 for engines
between 740 and 1,000 cc, and $200 for engines above 1,000 cc. These
values are generally scaled to be approximately 10 to 15 percent of the
retail value. In the case of handheld engines, this is based on the
retail value of equipment with installed engines, since these products
are generally marketed that way. Class II engines are very often sold
as loose engines to equipment manufacturers, so the corresponding per-
engine bond values are based on the retail value of the engine alone.
This approach is similar to the bond requirements that apply for
nonroad diesel engines (see Sec. 1039.626).
The total bond amount will be based on the value of imported
products over
[[Page 59095]]
a one-year period. If a bond is used to satisfy a judgment, the company
will then be required to increase the amount of the bond within 90 days
of the date the bond is used to cover the amount that was used. Also,
we will require the bond to remain in place for five years after the
company no longer imports Small SI engines.
These bonding requirements apply for 2010 and later model year
engines and are enforceable for all products introduced into U.S.
commerce starting January 1, 2010.
(d) Bond Requirements Related to Warranty
Warranty is an additional potential compliance obligation. Engine
manufacturers must service warranty claims for emission-related defects
that occur during the prescribed warranty period. We have experience
with companies that have faced compliance-related problems where it was
clear that they did not have the resources to make warranty repairs if
that were necessary. Such companies benefit from certification without
bearing the full range of associated obligations. We believe it is
appropriate to add a requirement to post a bond to ensure that a
company can meet their warranty obligations. The concern for being able
to meet these obligations applies equally to domestic and foreign
manufacturers. The biggest indicator of a manufacturer's ability to
make warranty repairs relates to the presence of repair facilities in
the United States. We are therefore adopting a bond requirement
starting with the 2010 model year for all manufacturers (including
importers) that do not have a repair network in the United States that
is available for processing warranty repairs (see Sec. 90.1007 and
Sec. 1054.120). Such a repair network will need to involve at least
100 authorized repair facilities in the United States, or at least one
such facility for each 5,000 engines sold in the United States,
whichever is less. Companies not meeting these criteria will need to
post a bond as described above for compliance assurance. We will allow
companies that must post bond to arrange for warranty repairs to be
done at independent facilities. Note that a single bond payment will be
required for companies that must post bond for compliance-related
obligations, as described above, in addition to the bond for warranty-
related obligations.
(e) Restrictions Related to Naming Model Years
We are adopting the proposed provisions that restrict what model
years can be assigned to imported products. Importers can only declare
a model year up to one year before the calendar year of importation in
cases where new emission standards start to apply. We are adopting this
requirement for all engine categories subject to part 1068. See the
detailed discussion of this issue in Section VIII.C.
(f) Import-Specific Information at Certification
We are requiring additional information to improve our ability to
oversee compliance related to imported engines (see Sec. 90.107 and
Sec. 1054.205). In the application for certification, we are requiring
the following additional information starting with the 2010 model year:
(1) The port or ports at which the manufacturer has imported engines
over the previous 12 months, (2) the names and addresses of the agents
the manufacturer has authorized to import the engines, and (3) the
location of the test facilities in the United States where the
manufacturer will test the engines if we select them for testing under
a selective enforcement audit. See Section 1.3 of the Summary and
Analysis of Comments for further discussion related to naming test
facilities in the United States. The current regulations in part 90 do
not include these specific requirements; however, we do specify already
that we may select imported engines at a port of entry. In such a case,
we will generally direct the manufacturer to do testing at a facility
in the United States. The new provision allows the manufacturers to
make these arrangements ahead of time rather than relying on EPA's
selection of a test lab. Also, the current regulations state in Sec.
90.119 that EPA may conduct testing at any facility to determine
whether engines meet emission standards.
(g) Counterfeit Emission Labels
We have observed that some importers attempt to import noncompliant
products by creating an emission control information label that is an
imitation of a valid label from another company. We are not requiring
that certifying manufacturers take steps to prevent this, but we are
including a provision that specifically allows manufacturers to add
appropriate features to prevent counterfeit labels. This may include
the engine's serial number, a hologram, or some other unique
identifying feature. This provision is effective immediately upon
completion of the final rule since it is an allowance and not a
requirement (see Sec. 90.114 and Sec. 1054.135).
(h) Partially Complete Engines
As described in Section VIII, we are clarifying the engine
manufacturers' responsibilities for certification with respect to
partially complete engines. While this is intended to establish a path
for secondary engine manufacturers to get their engines from the
original engine manufacturer, we are aware that this will also prevent
manufacturers from selling partially complete engines as a strategy to
circumvent certification requirements. If long blocks or engines
without fuel systems are introduced into U.S. commerce, either the
original manufacturer or the company completing engine assembly will
need to hold a certificate for that engine.
(7) Using Certified Small SI Engines in Marine Applications
Manufacturers have described situations in which Small SI engines
are used in marine applications. As described in Section III.E.5, we
are allowing limited numbers of certified Small SI engines to be used
as marine propulsion engines without certifying to the Marine SI
emission standards in part 1045 (see Sec. 1045.610).
(8) Alternate Fuels
The emission standards apply to all spark-ignition engines
regardless of the fuel they use. Almost all Small SI engines operate on
gasoline, but these engines may also operate on other fuels, such as
natural gas, liquefied petroleum gas, ethanol, or methanol. The test
procedures in 40 CFR part 1065 describe adjustments needed for
operating test engines with oxygenated fuels.
In some special cases, a single engine is designed to alternately
run on different fuels. For example, some engines can switch back and
forth between natural gas and LPG. We are adding a clarification to the
regulations to describe how manufacturers would submit certification
data and divide such engines into engine families. Manufacturers would
submit test data for each type of fuel. If a manufacturer certifies a
dual-fuel engine family, but produces engines that run only on one fuel
where that dedicated-fuel engine is identical to the certified dual-
fuel engine with respect to that fuel, those engines could be included
in the same family. This is also true for the second fuel. For example,
if a manufacturer produces an engine that can run on both gasoline and
LPG, and also produces that engine model in gasoline-only and LPG-only
versions, without adjusting the calibration or other aspects of each
respective configuration, those engines
[[Page 59096]]
may all be included in the same engine family. In effect, these engines
are covered by the original certificate because they are made to
conform to the description included in the original application for
certification except that they do not have the full functionality of
the dual-fuel engines.
Once an engine is placed into service, someone might want to
convert it to operate on a different fuel. This would take the engine
out of its certified configuration, so we are requiring that someone
performing such a fuel conversion go through a certification process.
We will allow certification of the complete engine using normal
certification procedures, or the aftermarket conversion kit could be
certified using the provisions of 40 CFR part 85, subpart V. This
contrasts with the existing provisions that allow for fuel conversions
that can be demonstrated not to increase emission levels above the
applicable standard. We are applying this requirement starting January
1, 2010. (See Sec. 90.1003 and Sec. 1054.635.)
(9) Other Provisions
We are also making a variety of changes in the provisions that make
up the certification and compliance program. Most of these changes
serve primarily to align with the regulations we have started to apply
to other types of engines.
The new warranty provisions are based on the requirements that
already apply under 40 CFR part 90. We are adding an administrative
requirement to describe the provisions of the emission-related warranty
in the owners manual. We expect that many manufacturers already do this
but believe it is appropriate to require this as a routine practice.
(See Sec. 1054.120.)
Testing new engines requires a period of engine operation to
stabilize emission levels. The regulations specify two separate figures
for break-in periods for purposes of certification testing. First,
engines are generally operated long enough to stabilize emission
levels. Second, we establish a limit on how much an engine may operate
and still be considered a ``low-hour'' engine. The results of testing
with the low-hour engine are compared with a deteriorated value after
some degree of service accumulation to establish a deterioration
factor. For Marine SI engines, we are requiring that the engine can be
presumed to have stabilized emission levels after 12 hours of engine
operation, with a provision allowing approval for more time if needed,
and we generally require that low-hour test engines have no more than
30 hours of engine operation. However, given the shorter useful life
for many Small SI engines, this will not make for a meaningful process
for establishing deterioration factors. For example, emission levels in
Small SI engines may not stabilize before deterioration begins to
affect emission levels, which will prevent the engine from ever truly
having stabilized emission levels. Also, the low-hour emission test
should occur early enough for the deterioration factor to adequately
represent the deterioration over the engine's lifetime.
We are requiring that Small SI engines with a useful life above 300
hours can be presumed stable after 12 hours with low-hour testing
generally occurring after no more than 24 hours of engine operation.
For Small SI engines with useful life below 300 hours, we are requiring
a combination of provisions to address this concern. First, we are
allowing manufacturers to establish a stabilization period that is less
than 12 hours without showing that emission levels have fully
stabilized (see Sec. 1054.501). Second, we are specifying that low-
hour testing must generally occur after no more than 15 hours of engine
operation (see Sec. 1054.801). This allows some substantial time for
break-in, stabilization, and running multiple tests, without
approaching a significant fraction of the useful life. Third, we are
requiring that manufacturers consistently test low-hour production-line
engines (and emission-data engines in the case of carryover
deterioration factors for certification) using the same degree of
service accumulation to avoid inaccurate application of deterioration
factors (see Sec. 1054.240 and Sec. 1054.305).
We are clarifying the maintenance that manufacturers may perform
during service accumulation as part of the certification process. The
general approach is to allow any amount of maintenance that is not
emission-related, but to allow emission-related maintenance only if it
is a routine practice with in-use engines. In most of our emission
control programs we specify that 80 percent of in-use engines should
undergo a particular maintenance step before manufacturers can do that
maintenance during service accumulation for certification testing. We
are aware that Small SI engines are predominantly operated by
homeowners with widely varying practices in servicing their lawn and
garden equipment. As such, achieving a rate of 80 percent may be
possible only for the most obvious maintenance steps. We are therefore
adopting a more accommodating approach for Small SI engines. In
particular, we are allowing manufacturers to perform a maintenance step
during certification based on information showing that 60 to 80 percent
of in-use engines get the specified maintenance at the recommended
interval. We will approve the use of such maintenance based on the
relative effect on performance and emissions. For example, we may allow
scheduled fuel-injector replacement if survey data show this is done at
the recommended interval for 65 percent of engines and performance
degradation is shown to be roughly proportional to the degradation in
emission control for engines that do not have their fuel injectors
replaced.
One maintenance step of particular interest is replacement of air
filters. In larger spark-ignition engines, we do not treat replacement
of air filters as critical emission-related maintenance, largely
because those engines have feedback controls to compensate for changes
in varying pressure drop across the air filter. However, for Small SI
engines varying air flow through the air filter has a direct effect on
the engine's air-fuel ratio, which in turn directly affects the
engine's emission rates for each of the regulated pollutants. Service
accumulation generally takes place in laboratory conditions with far
less debris, dust, or other ambient particles that will cause filter
loading, so filter changes should be unnecessary to address this
conventional concern. We are concerned that the greater effect is from
fuel and oil that may deposit on the back side of the filter,
especially from crankcase ventilation into the intake. This effect will
go undetected if there are no measurements with filters that have
experienced significant engine operation. We believe it would be
appropriate for this rulemaking to allow manufacturers to clean or
change air filters as long as manufacturers perform emission
measurements before and after these maintenance steps. It would be best
to perform testing with each air filter change; however, we would find
it acceptable if manufacturers tested engines before and after every
other air filter change. This approach allows for continued air filter
changes, consistent with our testing to establish the feasibility of
the Phase 3 emission standards, but properly identifies the effect on
emissions. We are taking a similar approach for maintenance with spark
plugs, except that tests must occur before and after each step to clean
or replace the spark plugs. We will be interested in a future
rulemaking to set emission standards based on less optimistic
assumptions regarding the degree of air filter and spark plug
maintenance with in-use equipment.
[[Page 59097]]
See Section 2.4 of the Summary and Analysis of Comments for a more
detailed discussion related to maintenance.
We are defining criteria for establishing engine families that are
very similar to what is currently specified in 40 CFR part 90. We are
requiring that engines with turbochargers be in a different family than
naturally aspirated engines since that will be likely to substantially
change the engine's emission characteristics. Very few if any Small SI
engines are turbocharged today so this change will not be disruptive
for any manufacturer. We are also specifying that engines must have the
same number and arrangement of cylinders and approximately the same
total displacement. This will help us avoid the situation where
manufacturers argue that engines with substantially different engine
blocks should be in the same engine family. We will implement this
provision consistent with the approach adopted by California ARB in
which they limit engine families to include no more than 15 percent
variation in total engine displacement. Similarly, the current
regulations in part 90 do not provide a clear way of distinguishing
engine families by cylinder dimensions (bore and stroke) so we are also
changing part 90 to limit the variation in displacement within an
engine family to 15 percent. (See Sec. 1054.230 and Sec. 90.116.)
The test procedures for Small SI engines are designed for engines
operating in constant-speed applications. This covers the large
majority of affected equipment; however, we are aware that engines
installed in some types of equipment, such as small utility vehicles or
go carts, are not governed to operate only at a single rated speed.
These engines will be certified based on their emission control over
the constant-speed duty cycle even though they do not experience
constant-speed operation in use. We are not prepared to establish a new
duty cycle for these engines but we are requiring engine manufacturers
to explain how their emission control strategy is not a defeat device
in the application for certification. For example, if engines will
routinely experience in-use operation that differs from the specified
duty cycle for certification, the manufacturer should describe how the
fuel-metering system responds to varying speeds and loads not
represented by the duty cycle. We are also requiring that engine
distributors and equipment manufacturers that replace installed
governors must get a new certificate of conformity for those engines to
avoid a tampering violation.
F. Small-Business Provisions
(1) Small Business Advocacy Review Panel
On August 17, 2006, we convened a Small Business Advocacy Review
Panel (SBAR Panel or the Panel) under section 609(b) of the Regulatory
Flexibility Act (RFA), as amended by the Small Business Regulatory
Enforcement Fairness Act of 1996 (SBREFA). The purpose of the Panel was
to collect the advice and recommendations of representatives of small
entities that could be affected by this rule and to prepare a report
containing the Panel's recommendations for small entity flexibilities
based on those comments, as well as on the Panel's findings and
recommendations regarding the elements of the Initial Regulatory
Flexibility Analysis (IRFA) under section 603 of the RFA. Those
elements of an IRFA are:
A description of, and where feasible, an estimate of the
number of small entities to which the rule will apply;
A description of projected reporting, recordkeeping, and
other compliance requirements of the rule, including an estimate of the
classes of small entities that will be subject to the requirements and
the type of professional skills necessary for preparation of the report
or record;
An identification, to the extent practicable, of all
relevant Federal rules that may duplicate, overlap, or conflict with
the rule; and
A description of any significant alternative to the rule
that accomplishes the stated objectives of applicable statutes and that
minimizes any significant economic impact of the rule on small
entities.
The report of the Panel has been placed in the rulemaking record
for this final rule.
In addition to EPA's Director of the Office of Regulatory
Management and Information who acted as chairperson, the Panel
consisted of the Director of EPA's Assessment and Standards Division of
the Office of Transportation and Air Quality, the Administrator of the
Office of Management and Budget's Office of Information and Regulatory
Affairs, and the Chief Counsel for Advocacy of the Small Business
Administration.
Using definitions provided by the Small Business Administration
(SBA), companies that manufacture internal-combustion engines and that
employ fewer than 1,000 people are considered small businesses for the
SBAR Panel. Companies that manufacture equipment and that employ fewer
than 500 people, or fewer than 750 people for manufacturers of
construction equipment, or fewer than 1,000 people for manufacturers of
generators, are considered small businesses for the SBAR Panel. Based
on this information, we asked 25 companies that met the SBA small
business thresholds to serve as small entity representatives for the
duration of the Panel process. Of these 25 companies, 14 of them
represented a cross-section of Small SI engine manufacturers, equipment
manufacturers, and fuel system component manufacturers. (The rest of
the companies were involved in the Marine SI market.)
With input from small entity representatives, the Panel drafted a
report providing findings and recommendations to us on how to reduce
the potential burden on small businesses that may occur as a result of
the proposed rule. The Panel report is included in the rulemaking
record for this final rule. In light of the Panel report, and where
appropriate, we proposed a number of provisions for small business
engine manufacturers and small business equipment manufacturers. We are
adopting all the flexibility options as proposed. The following section
describes the flexibility options being adopted in this final rule.
(2) Burden Reduction Approaches for Small-Volume Nonhandheld Engine
Manufacturers
We are incorporating several provisions for small business
nonhandheld engine manufacturers. The purpose of these provisions is to
reduce the burden on companies for which fixed costs cannot be
distributed over a large number of engines.
Under EPA's current Phase 2 regulations, EPA provided a number of
provisions for small-volume engine manufacturers. For the Phase 2
regulations, the criteria for determining if a company was a ``small-
volume engine manufacturer'' was based on whether the company projected
at certification to have production of no more than 10,000 nonhandheld
engines per year (excluding engines sold in California that are subject
to the California ARB standards). Based on past experience, EPA
believes that determining the applicability of the provisions based on
number of employees, as compared to volume of products, can be more
problematic given the nature of the workforce in terms of full-time,
part-time, contract, overseas versus domestic, and parent
[[Page 59098]]
companies. EPA believes it can avoid these potential complications and
still provide relief to nearly all small businesses by continuing to
use the annual sales criteria for determining which entities qualify as
a small volume engine manufacturer under the Phase 3 program. For these
reasons, EPA is retaining the current production-based criteria for
determining who is a small-volume engine manufacturer and, as a result,
eligible for the Phase 3 flexibilities described below (see Sec.
1054.801).
Based on confidential sales data provided to EPA by engine
manufacturers, the 10,000 unit cut-off for engine manufacturers will
include all the small business engine manufacturers currently
identified using SBA's employee-based definition. To ensure all small
businesses have access to the flexibilities described below, EPA is
also allowing engine manufacturers exceeding the production cut-off
level noted above but having fewer than 1,000 employees to request
treatment as a small-volume engine manufacturer (see Sec. 1054.635).
In such a case, the manufacturer will need to provide information to
EPA demonstrating that the manufacturer has fewer employees than the
1,000 cut-off level to be approved as a small-volume engine
manufacturer.
If a small-volume engine manufacturer grows over time and exceeds
the production volume limit of 10,000 nonhandheld engines per year, the
engine manufacturer will no longer be eligible for the small-volume
flexibilities. However, because some of the flexibilities described
below provide manufacturers with the ability to avoid certain testing
such as durability testing or production line testing, it may be
difficult for a manufacturer to fully comply with all the testing
requirements immediately upon losing its small-volume status. In such
cases, the engine manufacturer can contact EPA and request additional
time, subject to EPA approval, before they would be required to meet
the testing requirements that generally apply to engine manufacturers.
(a) Assigned Deterioration Factors
We are allowing small-volume engine manufacturers to rely on an
assigned deterioration factor to demonstrate compliance with the
standards for the purposes of certification rather than doing service
accumulation and additional testing to measure deteriorated emission
levels at the end of the regulatory useful life (see Sec. 1054.240).
EPA is not establishing actual levels for the assigned deterioration
factors with this final rule. EPA intends to analyze emissions
deterioration information that becomes available over the next few
years to determine what deterioration factors will be appropriate for
nonhandheld engines. This is likely to include deterioration data for
engines certified to comply with California ARB's Tier 3 standards and
engines certified early to EPA's Phase 3 standards. Prior to the
implementation date for the Phase 3 standards, EPA will provide
guidance to engine manufacturers specifying the levels of the assigned
deterioration factors for small-volume engine manufacturers.
(b) Exemption From Production-Line Testing
We are exempting small-volume engine manufacturers from the
production-line testing requirements (see Sec. 1054.301). Therefore,
small-volume engine manufacturers will not be required to perform
production-line testing on any of their engine families.
(c) Additional Lead Time
We are allowing small-volume engine manufacturers to delay
implementation of the Phase 3 exhaust emission standards for two years
(see Sec. 1054.145). Small-volume engine manufacturers will be
required to comply with the Phase 3 exhaust emission standards
beginning in model year 2014 for Class I engines and model year 2013
for Class II engines. Under this approach, manufacturers will be able
to apply this delay to all their nonhandheld engines or to just a
portion of their production. For those engine families that are
certified to meet the Phase 3 standards prior to these delayed dates by
selecting an FEL at or below the Phase 3 standards, small volume engine
manufacturers can generate early Phase 3 credits (as discussed in
Section V.C.3) through the 2013 model year for Class I engines and
through the 2012 model years for Class II engines. This option provides
more lead time for small-volume engine manufacturers to redesign their
products. They will also be able to learn from some of the hurdles
overcome by larger manufacturers.
(d) Broad Engine Families
We are also allowing small-volume engine manufacturers to use a
broader definition of engine family for certification purposes. Under
the existing engine family criteria specified in the regulations,
manufacturers group their various engine lines into engine families
that have similar design characteristics including the combustion
cycle, cooling system, cylinder configuration, number of cylinders,
engine class, valve location, fuel type, aftertreatment design, and
useful life category. We are allowing small-volume engine manufacturers
to group all their Small SI engines into a single engine family for
certification by engine class and useful life category, subject to good
engineering judgment (see Sec. 1054.230).
(e) Hardship Provisions
We are also establishing two types of hardship provisions for
nonhandheld engine manufacturers consistent with the Panel
recommendations. As has been our experience with similar provisions
already adopted, we anticipate that hardship mechanisms will be used
sparingly. First, under the unusual circumstances hardship provision,
any manufacturer subject to the new standards may apply for hardship
relief if circumstances outside their control cause the failure to
comply and if failure to sell the subject engines or equipment or fuel
system component would have a major impact on the company's solvency
(see Sec. 1068.245). An example of an unusual circumstance outside a
manufacturer's control may be an ``Act of God,'' a fire at the
manufacturing plant, or the unforeseen shutdown of a supplier with no
alternative available. The terms and time frame of the relief will
depend on the specific circumstances of the company and the situation
involved. As part of its application for hardship, a company will be
required to provide a compliance plan detailing when and how it will
achieve compliance with the standards. This hardship provision will be
available to all manufacturers of engines, equipment, boats, and fuel
system components subject to the new standards, regardless of business
size.
Second, an economic hardship provision allows small businesses
subject to the new standards to petition EPA for limited additional
lead time to comply with the standards (see Sec. 1068.250). A small
business must make the case that it has taken all possible business,
technical, and economic steps to comply, but the burden of compliance
costs would have a significant impact on the company's solvency.
Hardship relief could include requirements for interim emission
reductions and/or the purchase and use of emission credits. The length
of the hardship relief decided during review of the hardship
application will be up to one year, with the potential to extend the
relief as needed. We anticipate that one to two years will normally be
sufficient. As part of its application for
[[Page 59099]]
hardship, a company will be required to provide a compliance plan
detailing when and how it will achieve compliance with the standards.
This hardship provision will be available only to qualifying small
businesses.
(3) Burden Reduction Approaches for Small-Volume Nonhandheld Equipment
Manufacturers
We are establishing three provisions for small-volume nonhandheld
equipment manufacturers. The purpose of these provisions is to reduce
the burden on companies for which fixed costs cannot be distributed
over large sales volumes. That is useful for small-volume equipment
manufacturers that may need more lead time to redesign their equipment
to accommodate the new Phase 3 engine designs.
Under EPA's current Phase 2 regulations, EPA provided a number of
lead time provisions for small-volume equipment manufacturers. For the
Phase 2 regulations, the criteria for determining if a company was a
``small-volume equipment manufacturer'' was based on whether the
company produced fewer than 5,000 nonhandheld pieces of equipment per
year (excluding equipment sold in California that are subject to the
California ARB standards). For the same reasons noted above for engine
manufacturers, EPA is retaining the current production-based criteria
for determining who is a small-volume equipment manufacturer and, as a
result, eligible for the Phase 3 flexibilities described below (see
Sec. 1054.801). The determination of which companies qualify as small-
volume equipment manufacturers for the purposes of the flexibilities
described below will be based on the average annual U.S.-directed
production of nonhandheld equipment over three years from 2007 through
2009.
Based on estimated sales data for equipment manufacturers, EPA
believes the 5,000 unit cut-off for equipment manufacturers will
include almost all the small business equipment manufacturers using
SBA's employee-based definition. However, to ensure all small
businesses have access to the flexibilities described below, EPA is
also allowing equipment manufacturers which exceed the production cut-
off level noted above, but comply with SBA's employee-based definition
(e.g., 500 employees for equipment manufacturers, 750 employees for
construction equipment manufacturers, and 1,000 employees for generator
manufacturers), to request treatment as a small-volume equipment
manufacturer (see Sec. 1054.635). In such a case, the manufacturer
must provide information to EPA demonstrating that the manufacturer has
fewer employees than the applicable employee cut-off level to be
approved as a small-volume equipment manufacturer.
(a) Additional Lead Time
As described in Section V.E.3., EPA is implementing a transition
program for all equipment manufacturers that produce Class II
equipment. Under that program, equipment manufacturers can install
Phase 2 engines in limited numbers of Class II equipment over the first
four years the Phase 3 standards apply (i.e., 2011 through 2014). The
number of equipment that can use Phase 2 engines is based on 30 percent
of an average annual production level of Class II equipment. However,
for small-volume equipment manufacturers, EPA is allowing a higher
level of allowances. Small-volume equipment manufacturers can install
Phase 2 engines at a level of 200 percent of an average annual
production level of Class II equipment. Small-volume equipment
manufacturers can use these allowances over the same four year period
of the transition program noted above (see Sec. 1054.625). Therefore,
a small-volume equipment manufacturer could potentially use Phase 2
engines on all their Class II equipment for two years, consistent with
the SBAR Panel's recommendation, or they might, for example, sell half
their Class II equipment with Phase 2 engines for four years assuming
sales stay constant over time.
(b) Simplified Certification Procedure
We are establishing a simplified engine certification procedure for
all equipment manufacturers, including small-volume equipment
manufacturers (see Sec. 1054.612). See Section V.E.4 for further
discussion of this provision.
(c) Hardship Provisions
Because nonhandheld equipment manufacturers in many cases depend on
engine manufacturers to supply certified engines in time to produce
complying equipment, we are also establishing a hardship provision for
all nonhandheld equipment manufacturers, regardless of size. The
provision will allow an equipment manufacturer to request more time if
they are unable to obtain a certified engine and they are not at fault
and will face serious economic hardship without an extension (see Sec.
1068.255).
G. Technological Feasibility
(1) Level of Standards
We are promulgating new, more stringent exhaust HC+NOX
standards for Class I and II Small SI engines. We are also establishing
a new CO standard for Small SI engines used in marine generator
applications.
For the 2008 model year manufacturers have certified nearly 500
Class I and II engine families to the Phase 2 standards using a variety
of engine designs and emission control technology. All Class I engines
were produced using carbureted air-fuel induction systems. A small
number of engines used catalyst-based emission control technology.
Similarly, Class II engines were predominantly carbureted. A limited
number of these engines used catalyst technology, electronic engine
controls and fuel injection, or were water-cooled. In both classes,
several engine families were certified at levels that will comply with
the new Phase 3 standards. Also, several families were very close to
the new emission standards. This suggests that, even accounting for the
relative increase in stringency associated with the Phase 3
requirements, some families either will not need to do anything or will
require only modest reductions in their emission performance to meet
the new standards. However, many engine families clearly will have to
do more to improve their emission controls.
Based on our own testing of advanced technology for these engines,
our engineering assessments, and statements from the affected industry,
we believe the new requirements will require many engine manufacturers
to adopt exhaust aftertreatment technology using catalyst-based
systems. Other likely changes include improved engine designs and fuel
delivery systems. Finally, adding electronic controls or fuel injection
systems may obviate the need for catalytic aftertreatment for some
engine families, with the most likely candidates being multi-cylinder
engine designs.
(2) Implementation Dates
We are establishing HC+NOX exhaust emission standards of
10.0 g/kW-hr for Class I engines starting in the 2012 model year and
8.0 g/kW-hr for Class II engines starting in the 2011 model year. For
both classes of nonhandheld engines, we are maintaining the existing CO
standard of 610 g/kW-hr. We expect manufacturers to meet these
standards by improving engine combustion and adding catalysts on most
engines.
For spark-ignition engines used in marine generators, we are
promulgating a more stringent Phase 3 CO emission
[[Page 59100]]
standard of 5.0 g/kW-hr. This will apply equally to all sizes of
engines subject to the Class I and II Small SI engine standards, with
implementation dates as described above relative to Class I and Class
II engines.
(3) Technological Approaches
Our feasibility assessment began by evaluating the emissions
performance of current technology for Small SI engines and equipment.
These initial efforts focused on developing a baseline for emissions
and general engine performance so we could assess the potential for new
emission standards for engines and equipment in this category. This
process involved laboratory and field evaluations of the current
engines and equipment. We reviewed engineering information and data on
existing engine designs and their emissions performance. Patents of
existing catalyst/muffler designs for Class I engines were also
reviewed. We engaged engine manufacturers and suppliers of emission
control-related engine components in discussions regarding recent and
expected advances in emissions performance beyond that required to
comply with the current Phase 2 standards. Finally, we purchased
catalyst/muffler units that were already in mass production by an
engine manufacturer for use on European walk-behind lawn mowers and
conducted engineering and chemical analyses on the design and materials
of those units.
We used the information and experience gathered in the above
effort, along with the previous catalyst design experience of our
engineering staff, to design and build prototype catalyst-based
emission control systems that were capable of effectively and safely
achieving the new Phase 3 requirement based on dynamometer and field
testing. We also used the information and the results of our engine
testing to assess the potential need for improvements to engine and
fuel system designs, and the selective use of electronic engine
controls and fuel injection on some engine types. A great deal of this
effort was conducted in association with our more exhaustive study
regarding the efficacy and safety of implementing advanced exhaust
emission controls on Small SI engines, as well as new evaporative
requirements for these engines. In other testing, we evaluated advanced
emission controls on a multi-cylinder Class II engine with electronic
fuel injection. The results of that study are also discussed in Section
VII.
In our test program to assess the feasibility of achieving the
Phase 3 HC+NOX standard, we evaluated 15 Class I engines of
varying displacements and valve-train designs. Each of these engines
was equipped with a catalyst-based control system and all achieved the
applicable standard at the end of their regulatory useful lives. Our
work also suggests that manufacturers of Class I engines may need to
improve the durability of their basic engine designs, ignition systems,
or fuel metering systems for some engines to comply with the emission
regulations.
We tested five single-cylinder, overhead-valve Class II engines
with prototype catalyst/muffler control systems. Three of the engines
were carbureted and two were equipped with electronic engine and fuel
controls. This latter technology improves the management of air-fuel
mixtures and ignition spark timing. Each of the engines achieved the
requisite emission limit for HC+NOX (i.e., 8.0 g/kW-hr).
Based on this work and information from one manufacturer of emission
controls, we believe either a catalyst-based system or electronic
engine controls appear sufficient to meet the standard. Recent
certification data also suggests a number of Class II engines may be
able to comply with the new standard with engine modifications only.
Finally, similar to Class I engines, we found that manufacturers of
Class II engines may also need to improve the durability of their
ignition systems or fuel metering systems for some engines to comply
with the emission regulations.
Multi-cylinder Class II engines are very similar to their single-
cylinder counterparts regarding engine design and combustion
characteristics. There are no multi-cylinder Class I engines. Based on
these attributes and our testing of two twin-cylinder engines, we
conclude that the Phase 3 HC+NOX standard is technically
feasible.
Nonetheless, we also found that multi-cylinder engines may present
a unique concern with the application of catalytic control technology
under atypical operating conditions. More specifically, the concern
relates to the potential consequences of combustion misfire or a
complete lack of combustion in one of the two or more cylinders when a
single catalyst/muffler design is used. A single muffler is typically
used in Class II applications. In a single-catalyst system, the
unburned fuel and air mixture from the malfunctioning cylinder could
combine with hot exhaust gases from the other, properly operating
cylinder. This condition can create high temperatures within the
muffler system as the unburned fuel and air charge from the misfiring
cylinder combusts within the exhaust system. This could potentially
destroy the catalyst.
One solution is simply to have a separate catalyst/muffler for each
cylinder. Another solution is to employ electronic engine controls to
monitor ignition and put the engine into ``limp-mode'' until necessary
repairs are made. For engines using carburetors, this would effectively
require the addition of electronic controls. For engines employing
electronic fuel injection that may need to add a small catalyst, it
will require that the electronic controls incorporate ignition misfire
detection if they do not already utilize the inherent capabilities
within the engine management system.
As described earlier, we also expect some engine families to use
electronic fuel injection to meet the Phase 3 standard without
employing catalytic aftertreatment. Engine families that already use
these fuel metering systems and are reasonably close to complying with
the new requirement are likely to need only additional calibration
changes to the engine management system for compliance. In addition, we
expect that some engine families that currently use carbureted fuel
systems will convert directly to electronic fuel injection.
Manufacturers may adopt this strategy to couple achieving the standard
without a catalyst and realizing other advantages of using fuel
injection such as easier starting, more stable and reliable engine
operation, and reduced fuel consumption.
Our evaluation of electronic fuel injection systems that could be
used to attain the new standard found that a rather simple, low-cost
system should be sufficient. We demonstrated this proof of concept as
part of the engine test program we conducted in anticipation of the
proposed rule. In that program, we fitted two single-cylinder Class II
engines with an electronic control unit and fuel system components
developed for motor-scooters and small-displacement motorcycles for
Asian markets. The sensors for the system were minimized to include a
throttle position sensor, air charge temperature sensor, oil
temperature sensor, manifold absolute pressure sensor, and a crankshaft
position sensor. This is in contrast to the fuel injection systems
currently used in some equipment with two-cylinder Class II engine
applications that employ more sophisticated and expensive automotive-
based components.
Finally, there are a number of Class II engines that use gaseous
fuels (i.e., liquefied petroleum gas or natural gas). Based on our
engineering evaluation of current and likely emission control
[[Page 59101]]
technology for these engines, we conclude that there are no special
concerns relative to achieving the Phase 3 HC+NOX standard.
Turning to the Phase 3 CO standard for Class I and II Small SI
engines used in marine generator applications, these engines have
several rather unique design considerations that are relevant to
achieving the new standard. Marine generator engines are designed to
operate for very long periods. Manufacturers generally design the
engines to operate at lower loads to accommodate continuous operation.
Manufacturers also design them to take advantage of the cooling
available from the water in the lake or river where the boat is
operating (seawater). By routing seawater through the engine block, or
using a heat exchanger that transfers heat from the engine coolant to
the seawater, manufacturers are able to maintain engine temperatures as
well as or better than automotive engines. Stable temperatures in the
engine block make a very significant difference in engine operation,
enabling much less distortion of the cylinders and a much more
consistent combustion event. These operating characteristics make it
possible to introduce advanced technology for controlling emissions.
Manufacturers also use this cooling water in a jacketing system around
the exhaust in order to minimize surface temperatures and reduce the
risk of fires on boats.
The vast majority of gasoline marine generators are produced by two
engine manufacturers. Recently, these two manufacturers have converted
their marine generator product lines to new designs which can reduce CO
emissions by more than 99 percent. These manufacturers stated that this
action is to reduce the risk of CO poisoning in response to demands
from boat builders. These low-CO emission designs use closed-loop
electronic fuel injection and catalytic control. Both of these
manufacturers have certified low-CO engines capable of complying with
the new standards. These manufacturers also use electronic controls to
monitor catalyst function.
(4) Consideration of Regulatory Alternatives
In developing the final emission standards, we considered what was
achievable with catalyst technology. Our technology assessment work
indicated that the new emission standards are feasible in the context
of provisions for establishing emission standards prescribed in section
213 of the Clean Air Act. We also considered what could be achieved
with larger, more efficient catalysts and improved fuel induction
systems. In particular, Chapter 4 of the Final RIA presents data on
Class I engines with more active catalysts and on Class II engines with
closed-loop control fuel injection systems in addition to a catalyst.
In both cases larger emission reductions were achieved.
Based on this work we considered HC+NOX standards
involving a 50 percent reduction for Class I engines and a 65-70
percent reduction for Class II engines. Chapter 11 of the Final RIA
evaluates these alternatives, including an assessment of the overall
technology and costs of meeting more stringent standards. For Class I
engines a 50 percent reduction standard would require base engine
changes not necessarily involved with the standards we are finalizing
and the use of a more active catalyst. For Class II engines this would
likely require the widespread use of closed-loop fuel injection systems
rather than carburetors and some other engine upgrades in addition to
the use of three-way catalysts.
We believe it is not appropriate at this time to adopt more
stringent exhaust emission standards for Small SI engines. Our key
concern is lead time. More stringent standards will require three to
five years of lead time beyond the 2011 model year start date we are
allowing for the program contained in this final rule. We believe it
will be more effective to implement the new Phase 3 standards to
achieve near-term emission reductions needed to reduce ozone precursor
emissions and to minimize growth in the Small SI exhaust emissions
inventory in the post 2010 time frame. More efficient catalysts, engine
improvements, and closed-loop electronic fuel injection could be the
basis for more stringent Phase 4 emission standards at some point in
the future.
(5) Our Conclusions
We believe the Phase 3 exhaust emission standards for nonhandheld
Small SI engines will achieve significant emission reductions.
Manufacturers will likely meet the new standards with a variety of
strategies including catalysts packaged in mufflers, engine
modifications, and fuel-injection systems. Test data from readily
available technologies have demonstrated the feasibility of achieving
the new emission levels.
As discussed in Section VII, we believe the new standards will have
no negative effects on energy, noise, or safety and may lead to some
positive effects.
VI. Evaporative Emissions
A. Overview
In this final rule, we are also establishing standards for
controlling evaporative emissions from fuel systems in marine vessels
and equipment powered by Small SI engines. These new standards include
requirements for controlling permeation and diurnal emissions from
marine vessels and permeation and running loss emissions from Small SI
equipment.
Evaporative emissions refer to hydrocarbons released into the
atmosphere when gasoline or other volatile fuels escape from a fuel
system. The primary source of evaporative emissions from nonroad
gasoline engines and equipment is known as permeation, which occurs
when fuel penetrates the material used in the fuel system and reaches
the ambient air. This is especially common through rubber and plastic
fuel-system components such as fuel lines and fuel tanks. Diurnal
emissions are another important source of evaporative emissions.
Diurnal emissions occur as the fuel heats up due to increases in
ambient temperature. As the fuel heats, liquid fuel evaporates into the
vapor space inside the tank. In a sealed tank, these vapors will
increase the pressure inside the tank; however, most tanks are vented
to prevent this pressure buildup. The evaporating fuel therefore drives
vapors out of the tank into the atmosphere. Running loss emissions are
similar to diurnal emissions except that vapors escape the fuel tank as
a result of heating from the engine or some other source of heat during
operation rather than from normal daily temperature changes.
Other sources of evaporative emissions include diffusion and
refueling. Diffusion emissions occur when vapor escapes the fuel tank
through an opening as a result of random molecular motion, independent
of changing temperature. Although we are not adopting a specific
standard for diffusion emissions, we expect that these emissions will
be controlled through the running loss and diurnal emission controls.
Refueling losses are vapors that are displaced from the fuel tank to
the atmosphere when someone fills a fuel tank. Refueling spitback is
the spattering of liquid fuel droplets coming out of the filler neck
during a refueling event. Spillage is fuel that is spilled while
refueling. We are continuing to work with manufacturers to develop
industry standards for refueling emission control, and we are adopting
a requirement that manufacturers use fuel system designs
[[Page 59102]]
that will help facilitate a reduction in fuel spillage.
B. Fuel Systems Covered by This Rule
The new evaporative emission standards will apply to fuel systems
for both Small SI engines and Marine SI engines. The marine standards
apply to fuel systems related to both propulsion and auxiliary engines.
In some cases, specific standards are required only for certain types
of equipment, as described below. These standards will apply only to
new products.
We are incorporating the regulations related to evaporative
emission standards in 40 CFR part 1060, as described in Section VI.C.
Also, as described in Section VIII, we are allowing component
manufacturers and some equipment manufacturers to certify products
under the provisions of part 1060 with respect to recreational vehicles
and Large SI engine. We have also adopted requirements for controlling
evaporative emissions from marine compression-ignition engines that
operate on volatile liquid fuels (such as methanol or ethanol). Now
that we are adopting final requirements in part 1060, we are including
a reference to part 1060 for these marine compression-ignition engines.
The following definitions are important in establishing which
components are covered by the new standards: ``evaporative,'' ``fuel
system,'' ``fuel line,'' ``portable nonroad fuel tank,'' and
``installed marine fuel tank.'' See the full text of these definitions
in the final regulations at Sec. 1060.801.
Note in particular that the new standards will apply to fuel lines,
including hose or tubing that contains liquid fuel. This includes fuel
supply lines but not vapor lines or vent lines that are not normally
exposed to liquid fuel. We consider fuel return lines for handheld
engines to be vapor lines, not fuel lines. Data in Chapter 5 of the
Final RIA suggest that permeation rates through vapor lines and vent
lines are already lower than the new standard; this is due to the low
vapor concentration in the vapor line. In contrast, permeation rates
for materials that are consistently exposed to saturated fuel vapor are
generally considered to be about the same as that for liquid fuel. The
new standards also do not apply to primer bulbs exposed to liquid fuel
only for priming, but would apply to primer bulbs that are directly in
the fuel supply line. This standard will apply to marine filler necks
that are filled or partially filled with liquid fuel after a refueling
event where the operator fills the tank as full as possible. In the
case where the fuel system is designed to prevent liquid fuel from
standing in the fill neck, the fill neck will be considered a vapor
line and not subject to the new fuel line permeation standard.
A special note applies to fuel systems for auxiliary marine
engines. These engines must meet exhaust emission standards that apply
to land-based engines. For evaporative emissions, however, it is
important that the fuel systems for propulsion and auxiliary engines be
subject to the same standards because these engines typically draw fuel
from a common fuel tank and share other fuel-system components. We are
therefore applying the Marine SI evaporative emission standards and
certification requirements to the fuel systems for both auxiliary and
propulsion marine engines on marine vessels. We apply a similar
approach for nonroad engines installed in motor vehicles (such as
generators used to power motor homes). These engines must meet exhaust
emission standards for nonroad engines, but the evaporative
requirements apply under the motor-vehicle program.
Our evaporative emission standards for automotive applications are
based on a comprehensive measurement from the whole vehicle. However,
the evaporative standards in this final rule are generally based on
individual fuel-system components. For instance, we are promulgating
permeation standards for fuel lines and fuel tanks rather than for the
equipment as a whole.\98\ We have taken this approach for several
reasons. First, most production of Small SI equipment and Marine SI
vessels is not vertically integrated. In other words, the fuel line
manufacturer, the engine manufacturer, the fuel tank manufacturer, and
the equipment manufacturer are typically separate companies. In
addition, there are several hundred equipment manufacturers and boat
builders, many of which are small businesses. Testing the systems as a
whole will place the entire certification burden on the equipment
manufacturers and boat builders. Specifying emission standards and
testing for individual components allows for measurements that are
narrowly focused on the source of emissions and on the technology
changes for controlling emissions. This correspondingly allows for
component manufacturers to certify that their products meet applicable
standards. We believe it is most appropriate for component
manufacturers to certify their products since they are best positioned
to apply emission control technologies and demonstrate compliance.
Equipment manufacturers and boat builders will then be able to purchase
certified fuel-system components rather than doing all their own
testing on individual components or whole systems to demonstrate
compliance with every requirement. In contrast, controlling running
loss emissions cannot be done on a component basis so we are requiring
engine or equipment manufacturers to certify that they meet the running
loss standard. We will otherwise expect most equipment manufacturers to
simply identify a range of certified components and install the
components as directed by the component manufacturer to demonstrate
compliance with the final emission standards.
---------------------------------------------------------------------------
\98\ An exception to component certification is the design
standard for controlling running loss emissions.
---------------------------------------------------------------------------
Second, a great deal of diversity exists in fuel-system designs
(hose lengths, tank sizes/shapes, number of connections, etc.). In most
cases, the specific equipment types are low-volume production runs so
sales will not be large enough to cover the expense of SHED-type
testing. Third, there are similarities in fuel lines and tanks that
allow for component data to be used broadly across products in spite of
extensive variety in the geometry and design of fuel systems. Fourth,
many equipment types, primarily boats, will not fit in standard-size
SHEDs and will require the development of very large, very expensive
test facilities if the entire vessel were tested.
Finally, by adopting separate standards for fuel line permeation,
fuel tank permeation, diurnal emissions, and running loss emissions, we
are able to include simplified certification requirements without
affecting the level of the standards. Specifying a comprehensive test
with a single standard for all types of evaporative emissions will make
it difficult or impossible to rely on design-based certification.
Requiring emission tests to cover the wide range of equipment models
would greatly increase the cost of compliance with little or no
increase in the effectiveness of the certification program. We believe
the approach being adopted will allow substantial opportunities for
market forces to appropriately divide compliance responsibilities among
affected manufacturers and accordingly result in an effective
compliance program at the lowest possible cost to society.
The new emission standards generally apply to the particular
engines and their associated fuel systems. However, for ease of
reference, we may refer to evaporative standards as being related to
[[Page 59103]]
Small SI equipment or Marine SI vessels, meaning the relevant
evaporative standards for engines and fuel systems used in such
equipment or vessels.\99\ See Section VI.F for a more detailed
description of certification responsibilities for all the new
evaporative standards.
---------------------------------------------------------------------------
\99\ ``Small SI equipment'' includes all nonroad equipment
powered by Small SI engines. ``Marine SI vessels'' includes all
vessels powered by engines that run on volatile liquid fuels. In
almost all cases these engines are powered by gasoline. Note also
that volatile liquid fuels include methanol or ethanol, which could
be used in a compression-ignition engine. While we are aware of no
such equipment or vessels today, they will be covered by the final
regulations. In this preamble, we nevertheless refer to all the
vessels that fall within the scope of the final regulations as
Marine SI vessels. Throughout this section, we generally refer to
Small SI equipment and Marine SI vessels as ``equipment,''
consistent with the regulatory text.
---------------------------------------------------------------------------
C. Final Evaporative Emission Standards
We are establishing permeation standards for Small SI equipment and
Marine SI vessels, covering permeation from fuel tanks and fuel lines.
We are also adopting diurnal emission standards for Marine SI vessels.
In addition, we are promulgating a running loss standard for
nonhandheld Small SI equipment (except wintertime engines), with a
variety of specified options for manufacturers to demonstrate
compliance.
All the new evaporative emission standards apply to new equipment
over a useful life period in years that matches the useful life of the
corresponding engine (generally five or ten years). Manufacturers have
expressed concern that they will not have time to gain five years of
in-use experience on low-permeation fuel tanks by the effective dates
of the tank permeation standards. Unlike barrier fuel line, which is
well established technology, some fuel tanks may use barrier
technologies that have not been used extensively in other applications.
An example of this technology will be barrier surface treatments that
must be properly matched to the fuel tank material. Therefore, we are
finalizing a shorter useful life of two years for Marine SI and Small
SI fuel tanks through the 2013 model year to allow manufacturers to
gain experience in use (see Sec. Sec. 1045.145 and 1054.145).
Handheld manufacturers have also expressed concerns about the
durability of fuel lines used on cold-weather products. As noted below,
we are adopting a separate fuel line requirement for cold-weather
products. The manufacturers' concerns are similar to those noted in
Section VI.C.2 below regarding fuel cap gasket/O-ring materials and how
they may degrade in the field such that they have excessively high
permeation rates but without leaking liquid fuel. Therefore, we are
adopting a shorter useful life of two years for fuel lines used on
cold-weather products through the 2013 model year to allow
manufacturers to gain experience in use (see Sec. 1054.145).
Manufacturers have noted that they plan to gather in-use data on the
permeation levels of cold-weather equipment. While we believe
manufacturers will be able to design and produce cold-weather products
that comply with fuel line permeation requirements for five years, we
will review any industry-generated data on in-use fuel lines. Should
the data demonstrate concerns with regard to in-use durability, we
would consider options for addressing those concerns.
The new requirements for evaporative emissions are described in 40
CFR part 1060, with some category-specific provisions in 40 CFR parts
1045 and 1054, which are referred to as the exhaust standard-setting
parts for each category of engine. The regulations in 40 CFR parts 1045
and 1054 highlight the standards that apply and provide any specific
directions in applying the general provisions in part 1060. The
standards, test procedures, and certification provisions are almost
completely uniform across our programs so this combined set of
evaporative-related provisions makes it much easier for companies to
certify their products if they are not subject to the exhaust emission
standards.
The rest of this section summarizes the new standards, additional
requirements, and implementation dates. Unless otherwise stated,
implementation dates specified below refer to the model year. Section
VI.D describes how manufacturers may use emission credits to meet fuel
tank permeation standards. Section VI.E describes the test procedures
corresponding to each standard. Section VI.F describes how component
and equipment manufacturers certify their products and how their
responsibilities overlap in some cases. Section VI.F also describes the
simplified process of design-based certification for meeting many of
the new standards.
(1) Fuel Line Permeation Standards and Dates
Except as noted below, the new fuel line permeation standard is 15
g/m\2\/day at 23 [deg]C using a test fuel containing 10 percent ethanol
and applies to fuel lines intended for use in new Small SI equipment
and Marine SI vessels (see Sec. 1060.102 and Sec. 1060.515). The form
of the standard refers to grams of permeation over a 24-hour period
divided by the inside surface area of the fuel line. This is consistent
with the standard we adopted for fuel lines in recreational vehicles.
The move toward low-permeation fuel lines in recreational
vehicles--and further development work in this area since the first
proposed rule for marine evaporative emissions--demonstrates that low-
permeation fuel lines are available on the market today for Small SI
equipment and Marine SI vessels. In addition, many manufacturers are
already using low-permeation technologies in response to permeation
standards in California. We are therefore requiring that this standard
apply beginning January 1, 2009 for Marine SI vessels and for
nonhandheld Small SI equipment. Manufacturers have expressed concern
that these early dates may cause them to have to transition to using
new hose designs before they can use up their existing inventory. Under
the provisions of Sec. 1060.601(g), manufacturers would be able to use
up existing inventory under normal business practices, even beyond the
standard date. However, manufacturers would not be permitted to
circumvent the standards by stockpiling noncompliant hose prior to the
implementation of the standards.
For handheld equipment, we are promulgating a fuel line permeation
implementation date of 2012, except that small-volume emission families
as defined in Sec. 1054.801 will have until 2013. Although low-
permeation fuel line technology is available, handheld equipment is not
currently subject to fuel line permeation requirements in California
and does not typically use low-permeation fuel lines today. In
addition, much of the fuel line used on handheld equipment is not
straight-run fuel line for which low-permeation replacements are
readily available; thus, more lead time is required.
Fuel line manufacturers have the primary responsibility to certify
to the new emission standard. Equipment manufacturers may make
arrangements to take on the certification responsibility if they find
that to be to their advantage. If equipment manufacturers notify the
fuel line manufacturer in writing that they commit to certifying the
fuel line, then the fuel line manufacturer may ship uncertified and
unlabeled fuel line to the equipment manufacturer.
By specifying standards for fuel-system components rather than the
entire fuel system, we are separately addressing appropriate
requirements for fuel line fittings that are exposed to liquid fuel but
are not part of the fuel line. We are requiring that these fuel
[[Page 59104]]
line fittings meet the broad specifications described in Sec.
1060.101(f), which generally require that fittings and connections be
designed to prevent leaks. As described in Section VI.E.1, we are
allowing the fuel line assembly to be tested as a single unit. This
includes connecting pieces, primer bulbs, and other fuel line
components as a single item (see Sec. 1060.102). For example,
manufacturers may certify fuel lines for portable marine fuel tanks as
assemblies of fuel line, primer bulbs, and self-sealing end
connections. Finally, we are requiring that detachable fuel lines be
self-sealing when they are removed from the fuel tank or the engine
because this will otherwise result in high evaporative emissions (see
Sec. 1060.101). To the extent that equipment manufacturers and boat
builders certify their products, they will need to describe how they
meet the equipment-based requirements in Sec. 1060.101(f) in their
application for certification (see Sec. 1060.202). If boat builders
rely on certified components instead of certifying, they will need to
keep records describing how they meet the equipment-based requirements
contained in Sec. 1060.101(f) (see Sec. 1060.210).
Handheld equipment manufacturers have raised concerns that fuel
lines constructed of available low-permeation materials may not perform
well in some handheld applications under extreme cold weather
conditions such as below -30 [deg]C. These products often use injected
molded fuel lines with complex shapes and designs needed to address the
unique equipment packaging issues and the high vibration and random
movement of the fuel lines within the overall equipment when in use.
Industry has expressed concern and the data in Chapter 5 of the Final
RIA suggest that durability issues may occur from using certain low-
permeation materials in these applications when the weather is
extremely cold and that these could lead to unexpected fuel line leaks.
Cold-weather equipment is limited to the following types of handheld
equipment: chainsaws, cut-off saws, clearing saws, brush cutters with
engines at or above 40cc, commercial earth and wood drills, and ice
augers. This includes earth augers if they are also marketed as ice
augers.
As discussed in the Final RIA, rubbers with high acrylonitrile
(ACN) content are used in some handheld applications. These materials
have about half the permeation of lower ACN-content rubbers also used
in handheld applications. To capture the capability of these materials
to reduce permeation emissions without creating other issues for cold-
weather products, we are adopting a set of declining fuel line
permeation standards for fuel lines used in cold-weather equipment that
would phase-in from 2012 to 2016. The standard starts at 290 g/m\2\/day
in 2012 and declines to 275 g/m\2\/day in 2013, 260 g/m\2\/day in 2014,
and 245 g/m\2\/day in 2015. The standard for 2016 and later model years
is 225 g/m\2\/day. The standards would apply to all cold-weather
products, including small-volume families. Manufacturers would be
allowed to demonstrate compliance with the 2012 through 2015 standards
with a fuel line averaging program that is limited to cold-weather fuel
lines. There would not be any banking or trading of these credits.
Manufacturers comply with the averaging standard by naming a Family
Emission Limit for each family of fuel lines; this Family Emission
Limit serves as the emission standard for the family. Manufacturers may
not name a Family Emission Limit higher than 400 g/m\2\/day during this
period. Beginning in the 2016 model year, all fuel lines on cold-
weather equipment must meet the 225 g/m\2\/day standard without
averaging.
Outboard engine manufacturers have expressed concern that it will
be difficult for them to meet final 2009 date for the sections of fuel
lines that are mounted on their engines under the engine cowl. While
some sections of straight-run fuel line are used with outboard engines,
many of the smaller sections between engine mounted fuel-system
components and connectors are preformed or injection-molded parts.
Outboard engine manufacturers stated that they will need additional
time to redesign and perform testing on low-permeation under-cowl fuel
lines. To address this issue, we are finalizing a phase-in of under-
cowl fuel line permeation standards. For each engine model, we are
adopting a phase-in, by hose length, of 30 percent in 2010, 60 percent
in 2011, 90 percent in 2012-2014 and 100 percent in 2015 and later.
This will allow manufacturers to transition to the use of low-
permeation fuel lines in an orderly fashion. Manufacturers also
commented that additional lead time is necessary to develop low
permeation primer bulbs such as those in fuel line assemblies for
portable marine fuel tanks. To address this development time, we are
finalizing an implementation date of 2011 for primer bulbs.
(2) Fuel Tank Permeation Standards and Dates
Except as noted below, we are requiring a fuel tank permeation
standard of 1.5 g/m\2\/day for tanks intended for use in new Small SI
equipment and Marine SI vessels based on the permeation rate of
gasoline containing 10 percent ethanol at a test temperature of 28
[deg]C (see Sec. 1060.103 and Sec. 1060.520). The emission standard
is based on the inside surface area of the fuel tank and is consistent
with that adopted for fuel tanks in recreational vehicles.
Many Small SI equipment manufacturers are currently using low-
permeation fuel tanks for products certified in California. The
California tank permeation test procedures use a nominal test
temperature of 40 [deg]C with California certification gasoline while
we are requiring testing at 28 [deg]C with gasoline containing 10
percent ethanol. We are allowing manufacturers the alternative of
testing their fuel tanks at 40 [deg]C with the EPA test fuel. Because
permeation increases as a function of temperature, we are establishing
an alternative standard of 2.5 g/m\2\/day for fuel tanks tested at 40
[deg]C.
We consider three distinct classes of marine fuel tanks: (1)
Portable marine fuel tanks (generally used with small outboard
engines); (2) personal watercraft (PWC) fuel tanks; and (3) other
installed marine fuel tanks (generally used with SD/I engines and
larger outboard engines). The fuel tank permeation standards start in
2011 for all Small SI equipment using Class II engines and for personal
watercraft and portable marine fuel tanks. For Small SI equipment using
Class I engines and for other installed marine fuel tanks (including
engine-mounted tanks), we are applying the same standard starting in
2012. Most of the marine fuel tanks with the later standards are
produced in low volumes using rotation-molded cross-link polyethylene
or fiberglass construction, both of which generally present a greater
design challenge. We believe the additional lead time is necessary for
these fuel tanks to allow for a smooth transition to low-permeation
designs. For Small SI equipment, these dates also align with the
schedule for introducing the Phase 3 exhaust emission standards.
For handheld equipment, we are adopting a phased-in implementation
of the fuel tank permeation standards. Manufacturers will be required
to meet the new fuel tank permeation standards in 2009 for products
that they already certify in California (see Sec. 90.129). The
remaining equipment, except for structurally integrated nylon fuel
tanks and small-volume families, will be subject to the new tank
permeation standards in 2010 (see Sec. 1054.110). Structurally
integrated nylon fuel tanks will be subject to the new standards in
[[Page 59105]]
2011 and small-volume families will have to meet the new tank
permeation standards beginning in 2013. Manufacturers will need to
start using EPA-specified procedures starting in 2010, except that
equipment certified using carryover data will be allowed to use data
collected using procedures specified for compliance in California for
model years 2010 and 2011 (see Sec. 1054.145).
Fuel tank manufacturers have the primary responsibility to certify
to the new emission standard. Equipment manufacturers may make
arrangements to take on the certification responsibility if they find
that to be to their advantage. If equipment manufacturers notify the
fuel tank manufacturer in writing that they commit to certifying the
fuel tank, then the fuel tank manufacturer may ship uncertified and
unlabeled fuel tanks to the equipment manufacturer. Equipment
manufacturers must certify that their fuel tanks meet the new emission
standards if they comply using emission credits (whether the fuel tank
manufacturer certifies or not), as described in Section VI.F. We are
requiring that manufacturers of portable marine fuel tanks certify that
their products meet the new permeation standard. This is necessary
because portable fuel tanks are not sold to boat builders for
installation in a vessel. Therefore, there is no other manufacturer who
could be treated as the manufacturer responsible for meeting emission
standards that apply to portable marine fuel tanks.
For the purpose of the new fuel tank permeation standards, a fuel
cap directly mounted on the fuel tank is considered to be part of the
fuel tank. The fuel cap would then be included in the tank permeation
standard and test. The cap may optionally be tested separately from the
tank and the results combined to determine the total tank permeation
rate (see Sec. 1060.521). Cap manufacturers could also test their caps
and certify them separately to the 1.5 g/m\2\/day permeation standard.
Alternatively, manufacturers may use a default cap permeation rate as
described in Section IV.F.8.
As discussed above, manufacturers have expressed concerns with the
long-term durability of known low-permeation elastomers in cold-weather
applications. At the same time, manufacturers have commented that
existing fuel cap gasket/O-ring materials may degrade in the field
within a one-year period (depending on the weather and the fuel
characteristics) such that they have excessively high permeation rates,
but without leaking liquid fuel. To address this issue, we are allowing
manufacturers to treat fuel cap seals on cold-weather equipment as an
annual maintenance item. In the case of an in-use evaluation with cold-
weather equipment where the manufacturer specified this scheduled
maintenance at certification, any elastomeric fuel cap seal more than
one year old would be replaced prior to preconditioning the tank for
permeation testing. At the same time, it is not certain that low-
permeation materials will deteriorate when used for fuel cap seals in
cold-weather equipment. We intend to perform testing on fuel cap seals
to determine the appropriateness of allowing manufacturers to specify
scheduled maintenance to address these concerns. In the event that
durable materials are identified, we may remove the provision allowing
for this scheduled maintenance for purposes of compliance with fuel
tank permeation standards.
(3) Diurnal Emission Standards and Dates
We are promulgating diurnal emission standards for gasoline fuel
tanks intended for use in new Marine SI vessels (see Sec. 1045.107).
We consider three distinct classes of marine fuel tanks: (1) Portable
marine fuel tanks (used with small outboards); (2) personal watercraft
(PWC) fuel tanks; and (3) other installed fuel tanks (including engine-
mounted fuel tanks). We believe the new requirements will achieve at
least a 50 percent reduction in diurnal emissions from PWC and other
installed marine fuel tanks and nearly a 100 percent reduction from
portable marine fuel tanks.
For portable fuel tanks, we are adopting a design requirement that
the tank remain sealed up to a pressure of 5.0 psi, starting on January
1, 2010 (see Sec. 1060.105). We are also requiring that portable fuel
tanks continue to be self-sealing when disconnected from an engine. We
are requiring manufacturers of portable marine fuel tanks to certify
that they meet the new diurnal emission standards. As described above
for permeation standards, this certification responsibility may not be
delegated to boat builders.
For installed fuel tanks, we are adopting a general diurnal
emission standard of 0.40 g/gal/day based on a 25.6-32.2 [deg]C
temperature profile. The applicable test procedures are described in
Section VI.E.3. Manufacturers have expressed concerns that some very
large boats stay in the water throughout the boating season and
therefore will see a much smaller daily swing in fuel temperatures,
which corresponds with a smaller degree of diurnal emissions. We are
addressing this concern with an alternative standard and test procedure
that will apply only for nontrailerable boats. Using available
measurements related to fuel temperatures and emission models to relate
temperatures to projected diurnal emission levels, we are adopting an
alternative standard of 0.16 g/gal/day based on a 27.6-30.2 [deg]C
temperature profile for fuel tanks installed in nontrailerable boats.
For the purposes of this rule, we are defining a nontrailerable boat as
one that is 26.0 feet or more in length, or more than 8.5 feet in
width. The length specification is consistent with the U.S. Fish and
Wildlife Service definition for ``nontrailerable recreational vessels''
in 50 CFR 86.12. The width specification is consistent with the width
limitation specified in 49 CFR 658.15 by the Federal Motor Carrier
Safety Administration for vehicles operating on the National Network.
Manufacturers will likely control diurnal emissions from installed
marine fuel tanks either by sealing the fuel system up to 1.0 psi or by
using a carbon canister in the vent line. As discussed below, we
believe PWC manufacturers will likely seal the fuel tank with a
pressure-relief valve while manufacturers of other boats with installed
fuel tanks are more likely to use carbon canisters. However, either
technology will be acceptable for either kind of installed marine fuel
tank as long as every system meets the numerical standard applicable to
the specific tank.
Personal watercraft currently use sealed fuel systems for
preventing fuel from exiting, or water from entering, the fuel tank
during typical operation. These vessels use pressure-relief valves for
preventing excessive positive pressure in the fuel system; the pressure
to trigger the valve may range from 0.5 to 4.0 psi. Such fuel systems
also use a low-pressure vacuum-relief valve to allow the engine to draw
fuel from the tank during operation without creating negative pressures
in the tank. For personal watercraft, we are implementing the diurnal
emission standards beginning with the 2010 model year.
Other vessels with installed fuel tanks typically are designed with
open vent systems. In their comments, boat builders expressed general
support of the feasibility of using carbon canisters on boats. In
addition, the marine industry has expressed an interest in developing
consensus standards for the installation of carbon canisters in boats.
However, they commented that the development of these installation
standards will take time and that a
[[Page 59106]]
phase-in would be needed for an orderly transition to installing
diurnal emission controls in their boat models. Therefore, we are
giving additional lead time beyond what we specified in the proposal.
For fuel tanks installed on a marine engine (such as under-cowl fuel
tanks on outboard engines), the diurnal emission standard will apply
beginning on July 31, 2011. For other installed fuel tanks we are
adopting a phase-in that begins July 31, 2011. In the period from July
31, 2011 through July 31, 2012, 50 percent of the boats produced by
each company must meet the diurnal standard described above. Beginning
August 1, 2012, all marine fuel tanks and boats must meet the diurnal
emission standard.\100\
---------------------------------------------------------------------------
\100\ In this context, the date of production means the date on
which the fuel tank is installed in the vessel. In the case of boats
using outboard engines, it is the date that the fuel tank is
installed on the vessel.
---------------------------------------------------------------------------
In addition, the industry expressed concern that there are many
small boat builders that may need additional time to become familiar
with installation of carbon canisters in their boats. To address this,
we will allow small boat builders to make a limited number of boats
without diurnal emission controls from July 31, 2011 until July 31,
2013. These allowances would be an alternative to the 50 percent phase-
in concept described above. See Section VI.G.2.f for further
information about the allowances for small boat builders.
If a manufacturer uses a canister-based system to comply with the
standard, we are also requiring that manufacturers design their systems
not to allow liquid gasoline to reach the canister during refueling or
from fuel sloshing or volume expansion (see Sec. 1060.105). Exposing
carbon to liquid gasoline will significantly degrade its ability to
capture and release hydrocarbon vapors. Currently, industry consensus
standards in ABYC H-24 to some extent address spillage during refueling
and due to fuel expansion.\101\ However, under these guidelines, the
refueling ``blow back'' test is only for a partial fill and does not
necessarily prevent fuel from spilling out the vent line (where a
canister would likely be installed) during refueling. In addition,
although ABYC recommends that a fuel system be designed to contain 5
percent fuel expansion, the actual requirement can be met by the
manufacturer by simply lowering the fuel tank capacity rating without
designing the fuel system to prevent overfilling. A system that meets
the current ABYC requirements in this manner would not adequately
demonstrate that liquid fuel will not reach the carbon canister.
However, ABYC commented that it intends to revisit its standards to
include proper canister installation instructions and an improved fuel
spillage performance test. One example of an approach to protect the
canister from exposure to liquid gasoline is a design in which the
canister is mounted higher than the fuel level and a small orifice or a
float valve is installed in the vent line to stop the flow of liquid
gasoline to the canister.
---------------------------------------------------------------------------
\101\ American Boat and Yacht Council, ``Standards and Technical
Information Reports for Small Craft; H-24 Gasoline Fuel Systems,''
July, 2007.
---------------------------------------------------------------------------
Fuel tank manufacturers have the primary responsibility to certify
to the new diurnal emission standard. Equipment manufacturers, canister
manufacturers, or system integrators may alternatively make
arrangements to take on the certification responsibility. If another
party notifies the fuel tank manufacturer in writing that it commits to
certifying the product, then the fuel tank manufacturer may ship
uncertified and unlabeled fuel tanks. We are requiring that
manufacturers of portable marine fuel tanks certify that their products
meet the new permeation standard. This is necessary because portable
fuel tanks are not sold to boat builders for installation in a vessel.
Therefore, there is no other manufacturer who could be treated as the
manufacturer responsible for meeting emission standards that apply to
portable marine fuel tanks.
We are requiring that manufacturers meet certain specifications
with their fuel tank caps, including requirements to tether the cap to
the equipment and to design the cap to provide visual, audible, or
other physical feedback when the vapor seal is established.
Any increase in fuel temperature resulting from engine operation
will cause a potential for fuel tank vapor emissions that are generated
in a manner similar to fuel tank diurnal emissions. We are therefore
not allowing manufacturers to disable their approaches for controlling
diurnal emissions during engine operation (see Sec. 1060.105). This
will ensure that any running loss emissions that would otherwise occur
will be controlled to a comparable degree as diurnal emissions.
Although we are not finalizing diurnal emission standards for Small
SI equipment, we are allowing manufacturers the option of using the
SHED-based procedures and standards adopted by California ARB for
nonhandheld Small SI equipment. We proposed to adopt this provision
only on an interim basis to allow for a transition to EPA's standards;
however, as recommended by commenters, we are adopting this as a
permanent provision. Under this approach, the evaporative emission test
would be for the whole equipment rather than the individual components.
The SHED-based approach might allow manufacturers to use fuel tanks or
fuel lines with emission levels above the component standards, but we
believe the overall emission control (including control of diurnal
emissions) from SHED-certified systems will be at least as great as we
would achieve from requiring manufacturers to comply with the separate
permeation standards. We are therefore incorporating the California ARB
SHED procedure by reference and allow for certification using those
procedures.
(4) Diffusion Standards and Dates
Diffusion emissions occur when vapor escapes the fuel tank through
an opening as a result of random molecular motion, independent of
changing temperature. Diffusion emissions can be easily controlled by
venting fuel tanks in a way that forces fuel vapors to go through a
long, narrow path to escape.
We did not propose diffusion standards for handheld equipment or
for marine vessels. Handheld equipment use fuel caps that are either
sealed or have tortuous venting pathways to prevent fuel from spilling
during operation. We believe these fuel cap designs limit diffusion
emissions sufficiently so that we do not need to establish a separate
diffusion standard. For marine vessels, we believe the diurnal emission
standard will lead manufacturers to adopt technologies that
automatically limit diffusion losses, so they will also control
diffusion emissions without a separate standard.
We are not finalizing the proposed diffusion standards for
nonhandheld Small SI equipment. As described below, one of the design
options specified in the proposal for controlling running loss
emissions was an open vent system with limits on fuel temperature
increases during operation. That approach would be effective for
limiting running losses, but diffusion emissions could occur through
the open vent. However, we believe all the remaining design options for
controlling running loss emissions will effectively control diffusion
emissions because there will be no direct path for vapor to escape
through diffusion. A separate diffusion standard would therefore be
redundant.
(5) Running Loss Emission Standards and Dates
We are establishing standards to control running loss emissions
from nonhandheld Small SI equipment beginning in the same year as the
Phase
[[Page 59107]]
3 exhaust emission standards--2012 for Class I engines and 2011 for
Class II engines (see Sec. 1060.104). Equipment manufacturers will
need to certify that their equipment models meet the new running loss
requirements since component certification is not practical.
We have measured fuel temperatures and found that some types of
equipment experience significant fuel heating during engine operation.
This was especially true for fuel tanks mounted on or near the engine.
This occurs in many types of Small SI equipment.
It is very difficult to define a measurement procedure to
consistently and accurately quantify running losses. Also, a
performance standard with such a procedure introduces a challenging
testing requirement for hundreds of small-volume equipment
manufacturers. Moreover, we believe there are several different design
approaches that will reliably and effectively control running losses.
We are therefore not controlling running losses using the conventional
approach of establishing a procedure to measure running losses and
adopting a corresponding emission standard. Manufacturers can choose
from one of the following approaches to demonstrate control of running
loss emissions:
Vent running loss fuel vapors from the fuel tank to the
engine's intake manifold in a way that burns the fuel vapors in the
engine instead of venting them to the atmosphere. The use of an
actively purged carbon canister would qualify under this approach.
Use a sealed fuel tank. A fuel bladder could be used to
minimize fuel vapor volume in a sealed fuel tank without increasing
tank pressure.
Use a system with an approved executive order from the
California Air Resources Board. This might involve a design in which a
fuel cap is fitted with a small carbon canister and mounted on a tank
that is not exposed to excessive engine heat.
In the NPRM, we proposed another running loss design option whereby
manufacturers could demonstrate, through testing, that the fuel
temperature in the tank does not increase by more than 8 [deg]C during
normal operation. Manufacturers commented that the temperature testing
associated with this design option was too complex, the temperature
limit was too low, and the associated diffusion requirements were
infeasible. In later conversations, industry stated that these
objections were significant enough that they were confident they would
never use the temperature design option; we are therefore removing this
approach from the final rule.
We believe any of the above approaches will ensure that
manufacturers will be substantially controlling running losses, either
by preventing the vapors from escaping the fuel tank or by directing
the flow of running loss vapors to prevent them from escaping to the
atmosphere. While none of these approaches are expected to require
extensive design changes or lead time, any manufacturer choosing the
option to vent running loss fuel vapors into the engine's intake
manifold will need to make this change in coordination with the overall
engine design. As a result, we believe it is appropriate to align the
timing of the running loss standards with the introduction of the Phase
3 standards.
We are not applying the running loss requirements to handheld Small
SI engines. We believe running loss emission standards should not apply
to handheld engines at this time because the likely approach for
controlling running losses could affect the manufacturers' ability to
meet the current exhaust emission standards. As described above, we are
not changing the exhaust emission standards for handheld engines in
this rulemaking. In addition, there are some technical challenges that
will require further investigation. For example, the compact nature of
the equipment makes it harder to isolate the fuel tank from the engine
and the multi-positional nature of the operation may prevent a reliable
means of venting fuel vapors into the intake manifold while the engine
is running.
We are also not applying the running loss requirements to Marine SI
engines. Installed marine fuel tanks are generally not mounted near the
engine or other heat sources so running losses should be very low. A
possible exception to this is for personal watercraft or other small
boats where the fuel tank may be closer to the engine. However, under
the new standard for controlling diurnal emissions, we expect that PWC
manufacturers will design their fuel tanks to stay pressurized up to 1
psi. This will also help to control running loss emissions. For other
applications, the use of a carbon canister for controlling diurnal
emissions will also limit the potential for running loss vapors to
escape to the atmosphere.
(6) Requirements Related to Refueling
Refueling spitback and spillage emissions represent a substantial
additional amount of fuel evaporation that contributes to overall
emissions from equipment with gasoline-fueled engines. We are not
adopting measurement procedures with corresponding emission standards
to address these emission sources. However, we believe equipment
manufacturers can take significant steps to address these refueling
issues by designing their equipment based on sound practices. For
example, designing a marine filler neck with a horizontal segment near
the fuel inlet will almost inevitably lead to high levels of spillage
since fuel flow will often reach the nozzle, leading to substantial
fuel flow out of the fuel system. Maintaining a vertically angled
orientation of the filler neck will allow the fuel to flow back into
the filler neck and into the tank after the nozzle shuts off. Designing
fuel systems for automatic shutoff would also prevent this.
For Small SI equipment, designing fuel inlets that are readily
accessible and large enough to see the rising fuel level (either
through the tank wall or the fuel inlet) will substantially reduce
accidental spillage during refueling. We are therefore requiring that
equipment manufacturers design and build their equipment such that
operators could reasonably be expected to fill the fuel tank without
spitback or spillage during the refueling event (see Sec. 1060.101).
This new requirement mirrors the following requirement recently adopted
with respect to portable fuel containers (72 FR 8428, February 26,
2007):
You are required to design your portable fuel containers to
minimize spillage during refueling to the extent practical. This
requires that you use good engineering judgment to avoid designs
that will make it difficult to refuel typical vehicle and equipment
designs without spillage. (40 CFR 59.611(c)(3))
While the final requirement is not as objective and quantifiable as
the other standards and requirements we are adopting, we believe this
is important, both to set a requirement for manufacturers in designing
their products and to give EPA the ability to require manufacturers to
select designs that are consistent with good engineering practice
regarding effective refueling strategies. To the extent that equipment
manufacturers and boat builders certify their products to emission
standards, they will need to describe how they meet this refueling-
related requirement in their application for certification (see Sec.
1060.202). If boat builders rely on certified components instead of
applying for certification, they will need to keep records describing
how they meet this refueling-related requirement (see Sec. 1060.210);
Section VI.F describes how such companies can meet certification
requirements without applying for a certificate.
Spitback and spillage are a particular concern for gasoline-fueled
boats.
[[Page 59108]]
Marine operators have reported that relatively large quantities of
gasoline are released into the marina environment during refueling
events. The American Boat and Yacht Council (ABYC) has a procedure in
place to define a standard practice to address refueling. However, this
procedure calls for testing by refueling up to a 75 percent fill level
at a nominal flow rate of 5 gallons per minute. This procedure is not
consistent with prevailing practices and is clearly not effective in
preventing spills. We believe the most effective means of addressing
this problem is for ABYC to revise their test procedure to reflect
current practices and adopt a standard that would establish appropriate
designs for preventing refueling emissions. ABYC and several boat
builders announced after the proposal that they have initiated a
process to work toward this outcome. The estimated time frame is to
have the information and product testing in place to be able to
implement these industry standards by 2012.
A variety of technological solutions are available to address
spitback and spillage from marine vessels. The simplest will be a
system similar to that used on cars. A small-diameter tube could run
along the filler neck from the top of the tank to a point near the top
of the filler neck. Once liquid fuel reaches the opening of the filler
neck and the extra tube, the fuel goes faster up the small-diameter
tube and triggers automatic shutoff before the fuel climbs up the
filler neck. This design depends on operators using the equipment
properly and may not be fully effective, for example, with long filler
necks and low refueling rates. An alternative design involves a snug
fit between the nozzle's spout and the filler neck, which allows for a
tube to run from a point inside the tank (at any predetermined level)
directly to the shutoff venturi on the spout. The pressure change from
the liquid fuel in the tank reaching the tube's opening triggers
automatic shutoff of the nozzle. This system prevents overflowing fuel
without depending on the user. These are two of several possible
configurations to address fuel spillage from marine vessels.
It is very likely that any effective design for preventing
refueling losses would depend on a standardized nozzle geometry for
interfacing with the filler neck. Although they have indicated that
they are working to address refueling spillage, ABYC does not have the
capability to regulate nozzle geometries. Therefore, as described in
the proposal, we will require marina operators to transition to
standardized nozzles. We are specifying that marine nozzles must have
(1) a nominal spout diameter of 0.824 inches, (2) nominal placement of
an aspirator hole 0.67 inches from the terminal end of the spout, (3) a
straight segment for at least 2.5 inches at the end of the spout, and
(4) a spring (if used) that terminates at least 3.0 inches from the end
of the spout. These specifications are consistent with the products
currently used for refueling motor vehicles. We therefore expect no
incompatibilities for vessels that may get fuel at a marina or at a
roadside refueling station. These nozzles will also cost no more than
other nozzles that would have been available without this regulation.
Rather than specifying a date certain by which marinas would need to
convert their nozzles, we believe it is appropriate simply to specify
that marinas start using compliant nozzles for any new construction or
new replacement nozzles. We expect this to result in widespread use of
standardized nozzles by 2012, when ABYC expects to have their refueling
procedures and specifications in place. To the extent that boat
builders start implementing refueling controls, we would expect market
forces to accelerate the turnover to standardized nozzles. Depending on
the designs selected for preventing refueling losses from vessels, we
may need to also consider a maximum flow rate for marine refueling
events. We understand that such a limit would need to be higher than 10
gallons per minute (the current requirement for motor vehicles), but a
higher limit may be necessary to ensure that refueling controls work
properly. We will continue to work with manufacturers to be aware of
the need for any further standardization in fuel supply to enable their
designs for controlling emissions.
(7) Summary Table of Final Evaporative Emission Standards
Table VI-1 summarizes the new standards and implementation dates
discussed above for evaporative emissions from Small SI equipment and
Marine SI vessels. Where a standard does not apply to a given class of
equipment, ``NA'' is used in the table to indicate ``not applicable.''
Table VI-1--Final Evaporative Emission Standards and Implementation Dates
----------------------------------------------------------------------------------------------------------------
Fuel line
Standard/category permeation Tank permeation Diurnal Running loss
----------------------------------------------------------------------------------------------------------------
Standard level.................. 15 g/m\2\/day..... 1.5 g/m\2\/day.... 0.40 g/gal/day.... Design standard.
Handheld........................ Model year 2012 a Model year 2009- NA................ NA.
b. 2013 c.
Class I......................... January 1, 2009... Model year 2012... NA................ Model year 2012.
Class II........................ January 1, 2009... Model year 2011... NA................ Model year 2011.
Portable tanks.................. January 1, 2009 d. January 1, 2011... January 1, 2010 e. NA.
Personal watercraft............. January 1, 2009... Model year 2011... Model year 2010... NA.
Other vessels with installed January 1, 2009 d. Model year 2012... July 31, 2011 f g. NA.
tanks.
----------------------------------------------------------------------------------------------------------------
a 2013 for small-volume families not used in cold-weather equipment.
b A separate set of declining fuel line permeation standards applies for cold-weather equipment from 2012
through 2016.
c 2009 for families certified in California, 2013 for small-volume families, 2011 for structurally integrated
nylon fuel tanks, and 2010 for remaining families.
d January 1, 2011 for primer bulbs. Phase-in for under-cowl fuel lines on outboard engines, by length: 30% in
2010, 60% in 2011, 90% in 2012-2014, 100% in 2015.
e Design standard.
f Fuel tanks installed in nontrailerable boats ([gteqt] 26 ft. in length or > 8.5 ft. in width) may meet a
standard of 0.16 g/gal/day over an alternative test cycle.
g See Sec. 1045.625 for allowances to delay implementation of the diurnal standard for a limited number of
vessels over the first two years.
D. Emission Credit Programs
A common feature of emission control programs for motor vehicles
and nonroad engines and equipment is an emission credit program that
allows manufacturers to generate emission credits based on certified
emission levels for engine families that are more stringent than the
standard. See Section VII.C.5 of the preamble to the proposed rule for
background information and
[[Page 59109]]
general provisions related to emission credit programs.
We believe it is appropriate to consider compliance based on
emission credits relative to fuel tank permeation standards. As
described above, the emission standards apply to the fuel tanks
directly, such that we generally expect component manufacturers to
certify their products. However, we believe it is best to avoid placing
the responsibility for demonstrating a proper emission credit balance
on component manufacturers for three main reasons. First, it is in many
cases not clear whether these components will be produced for one type
of application or another. Component manufacturers might therefore be
selling similar products into different applications that are subject
to different standards--or no standards at all. Component manufacturers
may or may not know in which application their products will be used.
Second, there will be situations in which equipment manufacturers and
boat builders take on the responsibility for certifying components.
This may be the result of an arrangement with the component
manufacturer, or equipment manufacturers and boat builders might build
their own fuel tanks. We believe it will be much more difficult to
manage an emission credit program in which manufacturers at different
places in the manufacturing chain will be keeping credit balances.
There will also be a significant risk of double-counting of emission
credits. Third, most component manufacturers will be in a position to
use credits or generate credits, but not both. Equipment manufacturers
and boat builders are more likely to be in a position where they can
keep an internal balance of generating and using credits to meet
applicable requirements. Our experience with other programs leads us to
believe that an emission credit program that depends on trading is not
likely to be successful.
We are therefore promulgating emission credit provisions in which
equipment manufacturers and boat builders keep a balance of credits for
their product line. Equipment manufacturers and boat builders choosing
to comply based on emission credits will need to certify all their
products that either generate or use emission credits. Fuel tank
manufacturers will be able to produce their fuel tanks with emission
levels above or below applicable emission standards but will not be
able to generate emission credits and will not need to maintain an
accounting to demonstrate a balance of emission credits. Small SI
engine manufacturers that provide a complete fuel system may also
participate in the fuel tank credit program.
(1) Averaging, Banking, and Trading for Small SI Equipment and Marine
SI Vessels
We are establishing averaging, banking, and trading (ABT)
provisions for fuel tank permeation from Small SI equipment and Marine
SI vessels (see subpart H in parts 1045 and 1054).
We are aware of certain control technologies that will allow
manufacturers to produce fuel tanks that reduce emissions more
effectively than we are requiring. These technologies may not be
feasible or practical in all applications, but we are allowing
equipment manufacturers using such low-emission technologies to
generate emission credits. In other cases, an equipment manufacturer
may want, or need, to use emission credits that will allow for fuel
tanks with permeation rates above the applicable standards. Equipment
manufacturers can quantify positive or negative emission credits by
using the Family Emission Limit (FEL) to define the applicable emission
level, then factoring in internal surface area, sales volumes, and
useful life to calculate a credit total. This FEL would be established
by the tank certifier (generally the fuel tank manufacturer) and would
be based on permeation testing done either by the component
manufacturer or the equipment or vessel manufacturer. Through
averaging, these emission credits could be used by the same equipment
or vessel manufacturer to offset other fuel tanks in the same model
year that do not have control technologies that control emissions to
the level of the standard. Through banking, such an equipment
manufacturer could use the emission credits in later model years to
offset high-emitting fuel tanks. The emission credits could also be
traded to another equipment manufacturer to offset that company's high-
emitting fuel tanks.
We believe an ABT program is potentially very advantageous for fuel
tanks because of the wide variety of tank designs. The geometry,
materials, production volumes, and market dynamics for some fuel tanks
are well suited to applying emission controls, but other fuel tanks
pose a bigger challenge. The new emission credit program allows us to
set a single standard that applies broadly without dictating that all
fuel tanks be converted to low-permeation technology at the same time.
Emission credits earned under the evaporative emission ABT program
will have an indefinite credit life with no discounting. We consider
these emission credits to be part of the overall program for complying
with the new standards. Given that we may consider further reductions
beyond these standards in the future, we believe it will be important
to assess the evaporative ABT credit situation that exists at the time
any further standards are considered. We will set such future emission
standards based on the statutory direction that emission standards must
represent the greatest degree of emission reduction achievable,
considering cost, safety, lead time, and other factors. Emission credit
balances will be part of the analysis for determining the appropriate
level and timing of new standards. If we were to allow the use of
credits generated under the standards adopted in this rule for
complying with more stringent future standards, we may need to adopt
emission standards at more stringent levels or with an earlier start
date than we would absent the continued use of existing emission
credits, depending on the level of emission credit banks.
Alternatively, we could adopt future standards without allowing the use
of existing emission credits, or we could place limits on the amount of
credits a manufacturer could use.
We are not allowing manufacturers to generate emission credits by
using metal fuel tanks. These tanks will have permeation rates well
below the standard, but there is extensive use of metal tanks today, so
it would be difficult to allow these emission credits without
undercutting the stringency of the standard and the expected emission
reductions from the standard.
Within an ABT program, manufacturers are allowed to use credits
only within a defined averaging set. For the evaporative emission ABT
program, we are not allowing the exchange of emission credits between
Small SI equipment and Marine SI vessels. The new standards are
intended to be technology-forcing for each of these equipment
categories. We are concerned that cross-trading may allow marginal
credits in one area to hamper technological advances in another area.
For Small SI equipment, we will not allow credit exchanges between
handheld and nonhandheld equipment. For handheld equipment, we will
allow credit exchanges between Class III, Class IV and Class V
equipment. For nonhandheld equipment, we will allow credit exchanges
between Class I and Class II equipment. For Marine SI vessels, we will
allow credit exchanges between all types of vessels, except those using
portable marine fuel tanks
[[Page 59110]]
which, as noted below, are not included in the ABT program.
We are requiring portable marine fuel tanks to meet emission
standards without an emission credit program. Emission control
technologies and marketing related to portable marine fuel tanks are
quite different than for installed tanks. Most, if not all, portable
fuel tanks are made using high-density polyethylene in a blow-molding
process. The control technologies for these tanks are relatively
straightforward and readily available so we do not anticipate that
these companies will need emission credits to meet the new standards.
In addition, because these fuel tanks are not installed in vessels that
are subject to emission standards, the fuel tank manufacturer will need
to take on the responsibility for certification. As a result, we will
treat these portable fuel tank manufacturers as both the component
manufacturer and the equipment manufacturer with respect to their
portable fuel tanks.
In the early years of the ABT program we are not establishing an
FEL cap. This will give manufacturers additional time to use
uncontrolled fuel tanks, primarily in small-volume applications, until
they can convert their full product lines to having fuel tanks with
permeation control. We are setting an FEL cap of 5.0 g/m\2\/day (8.3 g/
m\2\/day if tested at 40 [deg]C) starting a few years after
implementing the tank permeation standards. For Class II equipment and
personal watercraft, the FEL cap will begin in 2014. For Class I
equipment and other installed marine fuel tanks, the FEL cap will begin
in 2015. For handheld equipment, the FEL cap will begin in 2015. (See
Sec. 1045.107 and Sec. 1054.110.) For Small SI equipment qualifying
as small-volume emission families, we are setting an FEL cap of 8.0 g/
m\2\/day (13.3 g/m\2\/day if tested at 40 [deg]C.) This is generally
limited to equipment models where the manufacturer produces no more
than 5,000 units with a given fuel tank design. The purpose of the FEL
cap will be to prevent the long-term production of fuel tanks with no
permeation control while still providing the regulatory flexibility
associated with emission credit programs.
Evaporative emission credits under the tank permeation standards
will be calculated using the following equation: credits [grams] =
(Standard- FEL) x useful life [years] x 365 days/year x inside surface
area [m\2\]. Both the standard and the FEL are in units of g/m\2\/day
based on testing at 28[deg]C.
As discussed earlier, we are establishing an alternative standard
for tank permeation testing performed at 40[deg]C of 2.5 g/m\2\/day.
Because permeation is higher at this temperature than the primary test
temperature, emissions credits and debits calculated at this test
temperature will be expected to be higher as well. When determining
credits for a tank certified to the alternative standard, manufacturers
will use the alternative standard in the credit equation. Plus, we are
requiring that credits and debits that are calculated be adjusted using
a multiplicative factor of 0.60 to account for the effect of
temperature.
We are also allowing handheld equipment manufacturers to earn
credits for equipment using fuel tanks certified earlier than required.
As noted in Section VI.D.3 below, manufacturers of nonhandheld
equipment and Marine SI vessels can also be rewarded for introducing
products that comply with evaporative standards earlier than required.
(2) Other Evaporative Sources
We are not promulgating an emission credit program for other
evaporative sources. We believe technologies are readily available to
meet the applicable standards for fuel line permeation and diurnal
emissions (see Section VI.H.). The exception to this is for fuel lines
on cold-weather equipment and under-cowl fuel lines on outboard
engines, as discussed above in Section VI.C.1, where we are adopting
temporary averaging provisions (see Sec. 1045.112 and Sec. 1054.145).
In addition, the diurnal emission standards for portable marine fuel
tanks and PWC fuel tanks are largely based on existing technology so
any meaningful emission credit program with the new standards would
result in windfall credits. The running loss standard is not based on
emission measurements, and refueling-related requirements are based on
design specifications only, so it is not appropriate or even possible
to calculate emission credits.
(3) Early-Allowance Programs
In some cases manufacturers may be able to meet the new emission
standards earlier than we are requiring. We are adopting provisions for
equipment manufacturers using low-emission evaporative systems early to
generate allowances before the standards apply. These early allowances
could be used for a limited time after the implementation date of the
standards to sell equipment or fuel tanks that have emissions above the
standards. We are establishing two types of allowances. The first is
for Small SI nonhandheld equipment as a whole where for every year a
piece of equipment is certified early, another piece of equipment could
delay complying with the new standards by an equal time period beyond
the implementation date. The second is similar but is just for the fuel
tank rather than the whole equipment (nonhandheld Small SI or Marine
SI). Equipment or fuel tanks certified for purposes of generating early
allowances would need to be certified with EPA and will be subject to
all applicable requirements. Manufacturers will be required to report
to EPA the number of early allowances generated under these programs
and how the allowances are used. These allowances are similar to the
emission credit program elements described above but they are based on
counting compliant products rather than calculating emission credits.
Establishing appropriate credit calculations would be difficult because
the early compliance is in some cases based on products meeting
different standards using different procedures.
(a) Nonhandheld Small SI Equipment
Many Small SI equipment manufacturers are currently certifying
products to evaporative emission standards in California. The purpose
of the early-allowance program is to provide an incentive for
manufacturers to begin selling low-emission products nationwide. We are
providing allowances to manufacturers for equipment meeting the
California evaporative emission standards that are sold in the United
States outside of California and are therefore not subject to
California's emission standards. Manufacturers will need to have
California certificates for these equipment types. (See Sec.
1054.145.)
Allowances could be earned in any year before 2012 for Class I
equipment and before 2011 for Class II equipment. The allowances may be
used through the 2014 model year for Class I equipment and through the
2013 model year for Class II equipment. Allowances cannot be traded
between Class I and Class II equipment. To keep this program simple, we
are not adjusting the allowances based on the anticipated emission
rates from the equipment. Therefore, we believe it is necessary to at
least distinguish between Class I and Class II equipment.
(b) Fuel Tanks
We are also providing an early-allowance program for nonhandheld
Small SI equipment for fuel tanks (see Sec. 1054.145). This program is
similar to the program described above for equipment allowances, except
that it will be for fuel tanks only. We will
[[Page 59111]]
accept California-certified configurations. Allowances could be earned
prior to 2011 for Class II equipment and prior to 2012 for Class I
equipment; allowances could be used through 2013 for Class II equipment
and through 2014 for Class I equipment. Allowances will not be
exchangeable between Class I and Class II equipment.
The early-allowance program for marine fuel tanks is similar except
that there are no California standards for these tanks (see Sec.
1045.145). Manufacturers certifying early to the new fuel tank
permeation standards will be able to earn allowances that they could
use to offset high-emitting fuel tanks after the new standards go into
place. The early-allowance program would apply to all marine fuel
tanks, including portable fuel tanks, personal watercraft, and other
installed fuel tanks. For portable fuel tanks, the tank manufacturer
would earn the allowances, whereas the vessel manufacturer would earn
the allowances for personal watercraft and other installed fuel tanks.
We are not allowing the cross-trading of allowances between portable
fuel tanks, personal watercraft, and other installed fuel tanks. Each
of these categories includes significantly different tank sizes and
installed tanks have different implementation dates and are expected to
use different permeation control technology. For portable fuel tanks
and personal watercraft, allowances could be earned prior to 2011 and
may be used through the 2013 model year. For other installed tanks,
allowances could be earned prior to 2012 and used through the 2014
model year.
E. Testing Requirements
Compliance with the evaporative emission standards is determined by
following specific testing procedures. This section describes the new
test procedures for measuring fuel line permeation, fuel tank
permeation, and diurnal emissions. As discussed in Section VI.F.8, we
are adopting design-based certification as an alternative to testing
for certain standards.
(1) Fuel Line Permeation Testing Procedures
We are requiring that fuel line permeation be measured at a
temperature of 23 2 [deg]C using a weight-loss method
similar to that specified in SAE J30 and J1527 recommended practices
(see Sec. 1060.515).102 103 We are making two modifications
to the SAE recommended practice. The first modification is for the test
fuel to contain ethanol; the second modification is to require
preconditioning of the fuel line through a fuel soak. These
modifications are described below and are consistent with our current
requirements for recreational vehicles.
---------------------------------------------------------------------------
\102\ Society of Automotive Engineers Surface Vehicle Standard,
``Fuel and Oil Hoses,'' SAE J30, June 1998 (Docket EPA-HQ-OAR-2004-
0008-0176).
\103\ SAE Recommended Practice J1527, ``Marine Fuel Hoses,''
1993, (Docket EPA-HQ-OAR-2004-0008-0195-0177).
---------------------------------------------------------------------------
(a) Test Fuel
The recommended practice in SAE J30 and J1527 is to use ASTM Fuel C
(defined in ASTM D471-98) as a test fuel. We are requiring the use of a
test fuel containing 10 percent ethanol. We believe the test fuel must
contain ethanol because it is commonly blended into in-use gasoline and
because ethanol substantially increases permeation rates for many
materials.
Specifically, we are requiring the use of a test fuel consisting of
an ASTM Fuel C blended with ethanol such that the blended fuel contains
10 percent ethanol by volume (CE10).\104\ Manufacturers have expressed
support for this test fuel because it is more consistent than testing
with gasoline and because it is widely used today by industry for
permeation testing. In addition, most of the data used to develop the
new fuel line permeation standards were collected on this test fuel.
This fuel is allowed today as one of two test fuels for measuring
permeation from fuel lines under the recreational vehicle standards.
California ARB also specifies Fuel CE10 as the test for fuel line
permeation measurements with small offroad engines.
---------------------------------------------------------------------------
\104\ ASTM Fuel C is a mix of equal parts toluene and isooctane.
We refer to gasoline blended with ethanol as E10.
---------------------------------------------------------------------------
One exception is for fuel lines on cold-weather handheld products.
In this case, the standard is based on a test fuel of IE10, which is
EPA certification gasoline blended with 10 percent ethanol by volume.
We are finalizing specifications for fuel ethanol blended into test
gasoline based on standard industry practice. Specifically, we are
incorporating by reference ASTM D4806-07, which specifies, among other
things, acceptable denaturants and maximum water content.\105\
---------------------------------------------------------------------------
\105\ ASTM International, ``Standard Specification for Denatured
Fuel Ethanol for Blending with Gasoline for Use as Automotive Spark-
Ignition Engine Fuel,'' ASTM D4806-07, 2007.
---------------------------------------------------------------------------
(b) Preconditioning Soak
The second difference from weight-loss procedures in SAE practices
is in fuel line preconditioning. We believe the fuel line should be
preconditioned with an initial fuel fill followed by a long enough soak
to ensure that the permeation rate has stabilized. Manufacturers may
choose one of two alternative specifications for the soak period--
either four weeks at 43 5 [deg]C or eight weeks at 23
5 [deg]C. Either of these approaches should adequately
stabilize permeation rates for most materials. However, manufacturers
may need a longer soak period to stabilize the permeation rate for
certain fuel line designs, consistent with good engineering judgment.
For instance, a thick-walled fuel line may take longer to reach a
stable permeation rate than a thinner-walled fuel line. After this fuel
soak, the fuel reservoir and fuel line must be drained and immediately
refilled with fresh test fuel prior to the weight-loss test.
(c) Alternative Approaches
California's regulations, in CCR 2754(a)(1)(C), reference SAE J1737
as the method for measuring permeation from fuel lines. These
recommended procedures use a recirculation technique whereby nitrogen
flows over the test sample to carry the permeating vapors to adsorption
canisters. Permeation is determined based on the weight change of the
canisters. This method was intended to provide a greater level of
sensitivity than the weight loss method specified in SAE J30 and J1527
so that lower rates of permeation could be measured. As an alternative,
we will accept permeation data collected using the methodology in SAE
J1737 under Sec. 1060.505(c).\106\ If this alternative is used, the
same test fuel, test temperature, and preconditioning period must be
used as for the primary (weight-loss) test method.
---------------------------------------------------------------------------
\106\ SAE Recommended Practice J1737, ``Test Procedure to
Determine the Hydrocarbon Losses from Fuel Tubes, Hoses, Fittings,
and Fuel Line Assemblies by Recirculation,'' 1997, (Docket EPA-HQ-
OAR-2004-0008-0178).
---------------------------------------------------------------------------
We are allowing permeation measurements using alternative equipment
and procedures that provide equivalent results (see Sec. 1060.505). To
use these alternative methods, manufacturers will first need to get our
approval. An example of an alternative approach would be enclosure-type
testing such as in 40 CFR part 86. In the case of enclosure-type
testing, the manufacturer would need to demonstrate that it is
correctly accounting for the ethanol content in
[[Page 59112]]
the fuel. Note that the test fuel, test temperatures, and
preconditioning soak described above will still apply. Because
permeation increases with temperature we will accept data collected at
higher temperatures (greater than 23 [deg]C) for a demonstration of
compliance.
For portable marine fuel tanks, the fuel line assembly from the
engine to the fuel tank typically includes two sections of fuel line
with a primer bulb in between and quick-connect assemblies on either
end. We are adopting a provision to allow manufacturers to test a full
assembly as a single fuel line to simplify testing for these fuel line
assemblies (see Sec. 1060.102). This gives manufacturers the
flexibility to use a variety of materials as needed for performance
reasons while meeting the fuel line permeation standard for the fully
assembled product. Measured values will be based on the total measured
permeation divided by the total internal surface area of the fuel line
assembly. However, where it is impractical to calculate the internal
surface area of individual parts of the assembly, such as a primer
bulb, we will allow a simplified calculation that treats the full
assembly as a straight fuel line. This small inaccuracy will cause
reported emission levels (in g/m2/day) to be slightly higher
so it will not jeopardize a manufacturer's effort to demonstrate
compliance with the applicable standard.
(2) Fuel Tank Permeation Testing Procedures
The new test procedure for fuel tank permeation includes
preconditioning, durability simulation, and a weight-loss permeation
test (see Sec. 1060.520). The preconditioning and the durability
testing may be conducted simultaneously; manufacturers must put the
tank through durability testing while the tank is undergoing its
preconditioning fuel soak to reach a stabilized permeation level.
(a) Test Fuel
Similar to the new fuel line testing procedures, we are requiring
the use of a test fuel containing 10 percent ethanol to help ensure in-
use emission reductions with the full range of in-use fuels.
Specifically, we are requiring the use of IE10 as the test fuel which
is made up of 90 percent certification gasoline and 10 percent ethanol
by volume. This is the same test fuel specified for testing fuel tanks
for recreational vehicles. In addition, IE10 is representative of in-
use test fuels. We are allowing Fuel CE10 as an alternative test fuel.
Data in Chapter 5 of the Final RIA suggest that fuel tank permeation
tends to be somewhat higher on CE10 than IE10, so testing on CE10
should be an acceptable demonstration of compliance.
We are finalizing specifications for fuel ethanol blended into test
gasoline based on standard industry practice. Specifically, we are
incorporating by reference ASTM D4806-07 which specifies, among other
things, acceptable denaturants and maximum water content.
(b) Preconditioning Fuel Soak
Before permeation testing, the fuel tank must be preconditioned by
allowing it to sit with fuel inside until the hydrocarbon permeation
rate has stabilized. Under this step, we are requiring that the fuel
tank be filled with test fuel and soaked--either for 20 weeks at 28
5 [deg]C or for 10 weeks at 43 5 [deg]C.
Either of these approaches should adequately stabilize permeation rates
for most materials. However, manufacturers may need a longer soak
period to stabilize the permeation rate for certain fuel tank designs,
consistent with good engineering judgment.
The tank will have to be sealed during this fuel soak and any
components that are directly mounted to the fuel tank, such as a fuel
cap, must be attached. Other openings, such as fittings for fuel lines,
openings for grommets, or petcocks, will be sealed with impermeable
plugs (or left unmachined so there is no hole in the tested
configuration). In addition, if there is a vent path through the fuel
cap, that vent path may be sealed. Alternatively, the opening could be
sealed for testing and the fuel cap tested separately for permeation
(discussed below). If the fuel cap is not directly mounted on the fuel
tank (i.e., the fuel tank is designed to have a separate fill neck
between the fuel cap and the tank), the tank may be sealed with
something other than a production fuel cap.
If the test fuel is dispensed at a temperature below the soak
temperature, it would be possible for the fuel tank to pressurize if
the tank were sealed prior to the fuel temperature reaching the soak
temperature. In this case, it would be acceptable to allow reasonable
time for the test fuel to approach the soak temperature, prior to
sealing, to prevent over-pressurization of the fuel tank. To prevent
gross evaporation of fuel vapors during this period, the venting of the
tank should be no greater than needed to prevent over-pressurization of
the fuel tank. The regulation specifies that the fuel tank must be
sealed within a maximum of eight hours after refueling. Manufacturers
should also take steps to minimize vapor losses during the time that
the fuel is warming, such as leaving the fuel cap loosely in place or
routing vapors through a vent line.
Manufacturers may do the durability testing described below during
the time period specified for preconditioning. The time spent in
durability testing may count as preconditioning time as long as ambient
temperatures are within the specified limits and the fuel tank has fuel
inside the entire time. During the slosh testing, a fuel fill level of
40 percent will be considered acceptable for the fuel soak. Otherwise,
we are requiring that the fuel tank be filled to nominal capacity
during the fuel soak.
(c) Durability Tests
We are adopting three tests for the evaluation of the durability of
fuel tank permeation controls: (1) Fuel sloshing; (2) pressure-vacuum
cycling; and (3) ultraviolet exposure. The purpose of these
deterioration tests is to help ensure that the technology is durable
under the wide range of in-use operating conditions. For sloshing, the
fuel tank must be filled to 40-50 percent capacity with the specified
test fuel and rocked for one million cycles. Pressure-vacuum testing
must consist of 10,000 cycles between -0.5 and 2.0 psi with a cycle
time of 60 seconds. These two new durability tests are based on draft
recommended SAE practice.\107\ The third durability test is intended to
assess potential impacts of ultraviolet sunlight on the durability of
surface treatment. In this test, the tank will be exposed to
ultraviolet light wavelength ranging from 300 to 400 nanometers with an
intensity of at least 0.40 W-hr/m2/min on the tank surface
for 450 hours. Alternatively, the tank could be exposed to direct
natural sunlight for an equivalent period of time.
---------------------------------------------------------------------------
\107\ Draft SAE Information Report J1769, ``Test Protocol for
Evaluation of Long Term Permeation Barrier Durability on Non-
Metallic Fuel Tanks,'' (Docket EPA-HQ-OAR-2004-0008-0195).
---------------------------------------------------------------------------
We do not believe the durability testing requirements are necessary
for all fuel tank designs. Therefore, we are excluding metal tanks and
other tanks using direct material solutions in the molding process from
the durability test procedures. However, these durability procedures
will apply to fuel tanks using surface treatments or post-processing
barrier coatings as a permeation barrier. We are concerned that
improperly applied treatments or coatings may deteriorate. The
specified durability demonstrations are necessary to ensure that fuel
tanks properly
[[Page 59113]]
control emissions throughout the useful life.
(d) Weight-loss Test
Following the fuel soak, the fuel tank must be drained and refilled
with fresh fuel as described above. The permeation rate from the fuel
tanks are determined by comparing mass measurements of the fuel tank
over the test period while ambient temperatures are held at 28 2 [deg]C. Testing may alternatively be performed at 40 2 [deg]C, in which case a higher numerical standard applies.
We received several comments that the test procedure should require
daily mass measurements similar to the procedures required by CARB in
TP-901. We agree with commenters that making daily recordings of the
fuel tank weight is consistent with good engineering practices. These
daily mass measurements can be used to determine the stability of the
permeation rate of the fuel tank and can help identify if anything
unusual is occurring during the test such as a lost seal during
testing. The test procedures in TP-901 require that the weight loss
test continue until the coefficient of determination (r\2\), from a
plot of the cumulative daily weight loss versus time for 10 consecutive
24-hour cycles, is 95 percent or greater. (California ARB mistakenly
refers to the r\2\ value as the correlation coefficient.) We believe
this approach gives testing facilities flexibility for basing the
length of the test on good engineering judgment rather than a fixed
time period. We are therefore adopting this general method of using
daily measurements to determine the length of the test, with one
modification. The CARB method would require test facilities to make
measurements over at least one weekend. We believe weight loss
measurements can be suspended for short periods of time without a
negative impact on the test. We therefore do not require that the 11
weight loss measurements (including the 0-hour measurement) be on
consecutive days, provided that measurements are made on at least five
different days of any given seven-day period of the test. Measurements
must be made at roughly the same time on each test day.
A change in atmospheric pressure over the weeks of testing can
affect the accuracy of measured weights for testing due to the buoyancy
of the fuel tank. The buoyancy effect on emission measurements is
proportional to the volume of the fuel tank, so this procedure is
appropriate even for testing very small fuel tanks. To address this we
are adopting a procedure in which a reference fuel tank is filled with
an amount of glass bead or some other inert material such that the
weight of the reference tank is approximately the same as the total
weight of the test tank. The reference tank is used to zero the scale
before measuring the weight of the test tank. This will result in
measured and reported values representing the change in mass from
permeation losses rather than a comparison of absolute masses. This is
similar to an approach in which weighing will determine absolute masses
with a mathematical correction to account for the effects of buoyancy.
We believe the specified approach is better because it minimizes the
possibility of introducing or propagating error.
We are allowing permeation measurements for certification using
alternative equipment and procedures that provide equivalent results.
To use these alternative methods, manufacturers would first need to get
our approval. An example of an alternative weight-loss measurement
procedure would be to test the fuel tank in a SHED and determine the
permeation by measuring the concentration of hydrocarbons in the
enclosure. In the case of SHED testing, the manufacturer would need to
demonstrate that it is correctly accounting for the ethanol content in
the fuel.
(e) Fuel Cap Permeation Testing
As discussed above, manufacturers have the option to test the fuel
cap separately from the tank and combine the results to determine the
total tank permeation rate. In this case, the permeation test must be
performed as described above except that the fuel cap will be mounted
on an impermeable reservoir such as a metal or glass tank. The volume
of the test reservoir must be at least one liter to ensure sufficient
fuel vapor exposure. We are requiring that the ``tank'' surface area
for calculating the results will be the smallest inside the cross
sectional area of the opening on which the cap is mounted. The fuel cap
will need to be tested in conjunction with a representative gasket. In
the case where the vent path is through grooves in the gasket, another
gasket of the same material and dimensions, without the vent grooves,
may be used. In the case where the vent is through the cap, that vent
must be sealed for testing. Alternatively, manufacturers may use the
default cap permeation rate described in Section IV.F.8.
Handheld equipment manufacturers commented that fuel caps should be
subject to durability testing and recommended that the cap should be
subjected to 300 on-off cycles as a durability test.\108\ For handheld
products, data in the Final RIA suggests that rubber fuel cap seals may
contribute a significant portion of the permeation measured in the fuel
tank permeation test. We are concerned that a coating used on the
gaskets to reduce the measured permeation during the test may wear off
during in-use operation. We are therefore adopting this additional
durability testing for fuel caps on handheld tanks.
---------------------------------------------------------------------------
\108\ ``OPEI HHPC Comments on EPA Proposed Phase 3 Rule for HH
Fuel Tank Permeation,'' Outdoor Power Equipment Institute, February
5, 2008.
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Handheld equipment manufacturers also commented that cold-weather
products cannot use existing low permeation rubbers for their seals due
to potential dynamic cracking issues at very low temperatures. In
addition, materials used today degrade after a year of exposure to fuel
containing ethanol. While this does not appear to lead to fuel leakage,
data in the Final RIA suggest that this degradation may have a large
effect on tank permeation. To address this issue, EPA intends to
conduct a technical study of cold-weather fuel cap seals. For this
final rule we are adopting an allowance for manufacturers to specify
rubber fuel cap seals on cold-weather equipment as maintenance items.
These seals could therefore be replaced prior to the fuel
preconditioning soak when permeation testing is performed on in-use
fuel tanks if the seals are more than one year old. If the technical
study or other information reveals that a fuel resistant material or
other solution can safely be used in cold-weather applications, we will
consider removing the provision allowing manufacturers to identify
gasket replacement as a scheduled maintenance item in the application
for certification.
(3) Diurnal Emission Testing Procedures
The new test procedure for diurnal emissions from installed marine
fuel tanks involves placing the fuel tank in a SHED, varying the fuel
temperature over a prescribed profile, and measuring the hydrocarbons
escaping from the fuel tank (see Sec. 1060.525). The final results are
reported in grams per gallon where the grams are the mass of
hydrocarbons escaping from the fuel tank over 24 hours and the gallons
are the nominal fuel tank capacity. The new test procedure is derived
from the automotive evaporative emission test
[[Page 59114]]
with modifications specific to marine applications.\109\
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\109\ See 40 CFR part 86, subpart B, for the automotive
evaporative emission test procedures.
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(a) Temperature Profile
We believe it is appropriate to base diurnal measurements on a
summer day with ambient temperatures ranging from 72 to 96 [deg]F (22.2
to 35.6 [deg]C). This temperature profile, which is also used for
automotive testing, represents a hot summer day when ground-level ozone
formation is most prominent. Due to the thermal mass of the fuel and,
in some cases, the inherent insulation provided by the boat hull, the
fuel temperatures would cover a narrower range. Data presented in
Chapter 5 of the Final RIA suggest that the fuel temperature in an
installed marine fuel tank will see a total change of about half the
ambient temperature swing. We are therefore adopting a test temperature
range of 78 to 90 [deg]F (25.6 to 32.2 [deg]C) for installed marine
fuel tanks. This testing is based on fuel temperature instead of
ambient temperature.
We are adopting an alternative, narrower temperature range for fuel
tanks installed in nontrailerable boats ([gteqt] 26 ft. in length or >
8.5 ft. in width). Data presented in Chapter 5 of the Final RIA suggest
that the fuel temperature swing for a boat stored in the water is about
20 percent of the ambient temperature swing. Based on this
relationship, we are adopting an alternative temperature cycle for
tanks installed in nontrailerable boats of 81.6 to 86.4 [deg]F (27.6 to
30.2 [deg]C). This alternative temperature cycle is associated with an
alternative standard as described in Section VI.C.3.
Diurnal emission measurements for cars include a three-day
temperature cycle to ensure that the carbon canister can hold at least
three days of diurnal emissions without substantial escape of
hydrocarbon vapors to the atmosphere. For marine vessels using carbon
canisters as a strategy for controlling evaporative emissions, we are
also requiring a three-day cycle in this final rule. In the automotive
test, the canister is loaded and then purged by the engine during a
warm-up drive before the first day of testing. We are adopting a
different approach for marine vessels because we anticipate that
canisters on marine applications will be passively purged. Before the
first day of testing, the canister would be loaded to its working
capacity and then run over the diurnal test temperature cycle, starting
and ending at the lowest temperature, to allow one day of passive
purging. The test result would then be based on the highest recorded
value during the following three days.
For fuel systems using a sealed system, we believe a three-day test
will not be necessary. In this case, the fuel tank would be sealed once
the fuel reaches equilibrium at the starting temperature for testing.
The SHED would then be purged and the test would consist of a single
run through the diurnal temperature cycle. We are establishing this
one-day test for the following technologies: sealed systems, sealed
systems with a pressure-relief valve, limiting flow orifices, bladder
fuel tanks, and sealed fuel tanks with a volume-compensating air bag.
(b) Test Fuel
Consistent with the automotive test procedures, we are specifying a
gasoline test fuel with a nominal volatility of 9 psi.\110\ We are not
requiring that the fuel used in diurnal emission testing include
ethanol for two reasons. First, we do not believe that ethanol affects
the diurnal emissions or control effectiveness other than the effect
that ethanol in the fuel may have on fuel volatility. Second, in many
areas of the country, in-use fuels containing ethanol are blended in
such a way as to control for ethanol effects in order to meet fuel
volatility requirements.
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\110\ Volatility is specified based on a procedure known as Reid
Vapor Pressure (see ASTM D 323-99a).
---------------------------------------------------------------------------
Diurnal emissions from vented systems are a function not only of
temperature and fuel volatility, but also of the size of the vapor
space in the fuel tank. Consistent with the automotive procedures, we
are requiring that the fuel tank be filled at the start of the test to
40 percent of its nominal capacity. Nominal capacity is defined as the
fuel tank's volume as specified by the fuel tank manufacturer, using at
least two significant figures, based on the maximum volume of fuel the
tank can hold with standard refueling techniques. The ``permanent''
vapor space above a fuel tank that has been filled to capacity should
not be considered as part of the fuel tank's nominal capacity.
(c) Fuel Tank Configuration
The majority of marine fuel tanks are made of plastic. Plastic fuel
tanks designed to meet our new standards will still be expected to have
some amount of permeation. However, the effect of permeation on the
test results should be very small if the test tank was a new model that
had not been previously exposed to fuel. For fuel tanks that have
reached a stabilized permeation rate (such as testing on in-use tanks),
we believe it is appropriate to correct for permeation. The regulation
specifies that manufacturers may measure the permeation rate and
subtract it from the final diurnal test result. The fuel tank
permeation rate would be measured with the established procedure for
measuring permeation emissions, except that the fuel for testing
(including preconditioning) would be the same as that used for diurnal
emission testing and the permeation testing must occur at a nominal
ambient temperature of 28[deg]C. This test measurement would have to be
made just before the diurnal emission test to ensure that the
permeation rate does not change significantly over the course of the
diurnal emission measurement. In no case will we allow a permeation
correction higher than that corresponding to the applicable permeation
standard for a tank with a given inside surface area. Because not
correcting for permeation represents the worst-case test result, we
will accept data from manufacturers in which no permeation correction
is applied.
As with the permeation test procedures, a manufacturer may request
EPA approval of an alternative method provided that this method
provides measurements that are equivalent to the primary method.
F. Certification and Compliance Provisions
Sections VII and VIII of the preamble to the proposed rule describe
several general provisions for certifying emission families and meeting
other regulatory requirements. This section notes several particulars
for applying these general provisions to evaporative emissions.
Marine vessels do not always include installed fuel systems.
Manufacturers of vessels without installed fuel systems do not have the
ability to control engine or fuel system design parameters. We are
therefore excluding vessels that do not have installed fuel systems
from the new standards (see Sec. 1045.5). As a result, it is necessary
for us to treat manufacturers of uninstalled fuel-system components as
the equipment manufacturer with respect to evaporative emission
standards. This includes manufacturers of outboard engines (including
any fuel lines or fuel tanks produced with the engine), portable fuel
tanks, and the fuel line assembly (including fuel line, primer bulb,
and connectors).
For ease of reference, Small SI equipment manufacturers, Marine SI
boat builders, and manufacturers of portable marine fuel tanks (and
[[Page 59115]]
associated fuel-system components) are all referred to as equipment
manufacturers in this section.
(1) Liability for Certification and Compliance
The new standards for fuel lines and fuel tanks apply to any such
components that are used with or intended to be used with Small SI
engines or Marine SI engines (see Sec. 1060.1 and Sec. 1060.601).
Section VI.C describes for each standard which manufacturer is expected
to certify.
In most cases, nonroad standards apply to the manufacturer of the
engine or the manufacturer of the nonroad equipment. Here, the products
subject to the standards (fuel lines and fuel tanks) are typically
manufactured by a different manufacturer. In most cases the engine
manufacturers do not produce complete fuel systems and therefore are
not in a position to do all the testing and certification work
necessary to cover the whole range of products that will be used. We
are therefore providing an arrangement in which manufacturers of fuel-
system components are in most cases subject to the standards and are
subject to certification and other compliance requirements associated
with the applicable standards. We are prohibiting the introduction into
commerce of noncompliant fuel-system components that are intended for
installation in Small SI equipment or Marine SI vessels unless the
component manufacturer either certifies the component or has a
contractual arrangement with each equipment manufacturer using its
products that the equipment manufacturer will certify those components.
As a matter of good practice, any components not intended for
installation in Small SI equipment or Marine SI vessels should be
labeled accordingly to prevent the possibility of improper
installation.
As described in Section VI.D, component manufacturers generally
certify their products using measured emission levels showing that the
components meet the applicable emission standard. In the case of
permeation standards for fuel tanks, component manufacturers may
alternatively certify to an FEL above or below the standard. If any
fuel tank manufacturer certifies using an FEL, the FEL becomes the
emission standard for that emission family for all practical purposes.
The fuel tank manufacturer will have the option to certify to an FEL
above or below the standard, but will not be required to meet any
overall average or maintain a positive balance of credits for their
products. This is to facilitate the use of ABT by equipment
manufacturers, which must balance their positive and negative credits,
as discussed below.
Equipment manufacturers are subject to all the new evaporative
emission standards. This applies for the general standards described
above with respect to fuel caps, miscellaneous fuel-system components,
and refueling (see Sec. 1060.101(f)). These standards generally depend
on design specifications rather than emission measurements, so we
believe it is appropriate to simply deem these products to be certified
if they are designed and produced to meet the standards we specify. The
equipment manufacturer will also need to keep records of the components
used (see Sec. 1060.210). This will allow us, by operation of the
regulation, to have certified products without requiring the paperwork
burden associated with demonstrating compliance with these relatively
straightforward specifications. Manufacturers could optionally apply
for and receive a certificate of conformity with respect to these
general standards, but this is not necessary and we will expect this to
be a rare occurrence.
Equipment manufacturers will also be subject to all the new
permeation, diurnal, and running loss standards that apply. Equipment
manufacturers may comply with requirements related to evaporative
emission standards in three different situations. First, equipment
manufacturers might install only components certified by the component
manufacturer, without using emission credits. In this case all the
components must meet the emission standard or have an FEL below the
standard. Manufacturers of Marine SI vessels will be subject to the
fuel line and fuel tank standards (including diurnal standards), but
will be able to satisfy their requirements by using certified
components. Such a vessel manufacturer will generally need to use
certified components, add an emission label, and follow any applicable
emission-related installation instructions to ensure that certified
components are properly installed. This is similar to an equipment
manufacturer that is required to properly install certified engines in
its equipment, except that the equipment manufacturer must meet general
design standards and shares the liability for meeting emission
standards. We are requiring manufacturers of Small SI equipment to
certify with respect to evaporative emission standards even if they use
certified components, largely because they are still responsible for
running loss requirements.
Second, equipment manufacturers may be required to certify certain
components based on contractual arrangements with the manufacturer of
those components. In this case, the equipment manufacturer's
certification causes the component manufacturer to no longer be subject
to the standard. This approach might involve the equipment manufacturer
relying on test data from the component manufacturer. The equipment
manufacturer might also be producing its own fuel tanks for
installation in its equipment, in which case it will be subject to the
standards and all requirements related to certification and compliance.
In either case, the equipment manufacturer will take on all the
responsibilities associated with certification and compliance with
respect to those components.
Third, equipment manufacturers may comply with evaporative emission
requirements by using certified components, some of which are certified
to an FEL above the standard. The equipment manufacturer would then
comply based on emission credits. In this case, the equipment
manufacturer takes on all the certification and compliance
responsibilities with respect to any fuel tanks that are part of the
equipment manufacturer's emission credit calculations. Equipment
manufacturers will generally use only certified components for meeting
evaporative emission requirements, but they might also hold the
certificate for such components. For purposes of certification,
equipment manufacturers will not need to submit new test data if they
use certified components. Equipment manufacturers must make an annual
accounting to demonstrate a net balance of credits for the model year.
Under this approach, the fuel tank manufacturer will continue to be
subject to the standards for its products and be required to meet the
certification and compliance responsibilities related to the standard.
However, as in the first option, the fuel tank manufacturer will not be
required to meet any averaging requirements or be required to use
emissions credits. Where equipment manufacturers use ABT with fuel
tanks that have already been certified by the component manufacturer,
there would be overlapping certifications between the two parties. We
address this by specifying that all parties are responsible for meeting
applicable requirements associated with the standards to which they
have certified, but if any specific requirement is met by one company,
we will consider the
[[Page 59116]]
requirement to be met for all companies (see Sec. 1060.5). For
example, either the component manufacturer or the equipment
manufacturer could honor warranty claims, but we may hold both
companies responsible for the violation if there is a failure to meet
warranty obligations.
Similarly, if we find that new equipment is sold without a valid
certificate of conformity for the fuel lines or fuel tanks, then the
equipment manufacturer and all the affected fuel-system manufacturers
subject to the standards will be liable for the noncompliance (see
Sec. 1060.601).
Liability for recall of noncompliant products will similarly fall
to any manufacturer whose product is subject to the standard, as
described above. If more than one manufacturer is subject to the
standards for a noncompliant product, we will have the discretion to
assign recall liability to any one of those manufacturers. In assigning
this liability, we will generally consider factors such as which
manufacturer has substantial manufacturing responsibility and which
manufacturer holds the certificate (see Sec. 1060.5). However, we may
hold equipment manufacturers liable for recall even if they do not
manufacture or certify the defective product. This will generally be
limited to cases where the component manufacturer is unavailable to
execute any remedial action. For example, if a foreign component
manufacturer discontinues their participation in the U.S. market or a
component manufacturer goes out of business, we will turn to the
equipment manufacturer.
(2) Regulatory Requirements Related to Certification
The established provisions for implementing exhaust emission
standards apply similarly for evaporative emission standards; however,
because the control technologies are very different, these requirements
require further clarification. For example, scheduled maintenance is an
important part of certifying engines to exhaust emission standards.
However, there is little or no maintenance involved for the expected
technologies for controlling evaporative emissions. The regulations
still require manufacturers to identify specified maintenance
procedures, if there are any, but there are no specific limitations on
the maintenance intervals and there is no distinction for emission-
related maintenance. Manufacturers may not do any maintenance during
testing for certification. (See Sec. 1060.125 and Sec. 1060.235.) We
also do not expect that emission-related warranty claims will be
common, but we are requiring a two-year period for emission-related
warranties with respect to evaporative emission controls.
Similarly, we do not expect manufacturers to use evaporative
emission control technologies that involve adjustable parameters or
auxiliary emission control devices. Technologies that control
evaporative emissions are generally passive designs that prevent vapors
from escaping, in contrast to the active systems engines used to
control exhaust emissions. The regulations state the basic expectation
that systems must comply with standards throughout any adjustable range
without auxiliary emission control devices, but it is clear that these
provisions will not apply to most evaporative systems. We also do not
allow emission control strategies that cause or contribute to an
unreasonable risk to public health or welfare or that involve defeat
devices. While these are additional statutory provisions that are
meaningful primarily in the context of controlling exhaust emissions,
we are including them for evaporative emissions for completeness (see
Sec. 1060.101). This also addresses the possibility that future
technologies may be different in a way that makes these provisions more
meaningful.
The testing specified for certifying fuel systems to the
evaporative emission standards includes measurements for evaluating the
durability of emission control technologies where appropriate. While we
adopted evaporative requirements for recreational vehicles relying on a
testing approach that used deterioration factors, we believe it is more
appropriate to incorporate the durability testing for each family
directly. Therefore, no requirement (or opportunity) exists for
generating deterioration factors for any evaporative emission standard.
We are requiring that component manufacturers label the fuel lines,
fuel tanks, and other fuel-system components that they certify (see
Sec. 1060.137). These labels generally identify the manufacturer, the
applicable emission standard (or Family Emission Limit), and family
identification. We are including a provision to allow manufacturers to
use an abbreviated code that would allow for referring to the
information filed for certification under the engine family name.
Manufacturers may also design their fuel lines to include a continuous
stripe or other pattern to help identify the particular type or grade
of fuel line. This would be in addition to the other labeling
requirements.
Engine or equipment manufacturers must also add an emission control
information label to identify the evaporative emission controls (see
Sec. 1060.135). If engine, equipment, or vessel manufacturers also
certify fuel-system components separately, they may include that
additional information in a combined label. If the equipment is
produced by the same company that certifies the engine for exhaust
standards, the emission control information label for the engine may
include all the appropriate information related to evaporative
emissions.
While we are not adopting specific requirements for manufacturers
to evaluate production-line or in-use products, we require that
manufacturers set up their own quality plan for evaluating their
products to ensure compliance. Also, we may pursue testing of certified
products to evaluate compliance with evaporative emission standards
(see Sec. 1060.301).
(3) Emission Families
To certify equipment or components, manufacturers will first define
their emission families. This is generally based on selecting groups of
products that have similar emission characteristics throughout the
useful life (see Sec. 1060.230). For example, fuel tanks could be
grouped together if they were made of the same material (including
consideration of additives such as pigments, plasticizers, and UV
inhibitors that are expected to affect emissions) and the same control
technology. For running loss control for nonhandheld Small SI engines
and equipment, emission families are based on the selected compliance
demonstration. For example, certifying manufacturers may have one
emission family for all their products that vent fuel vapors to the
engine's air intake system.
The manufacturer selects a single product from the emission family
for certification testing. This product will be the one that is most
likely to exceed the applicable emission standard. For instance, the
``worst-case'' fuel tank in a family of monolayer tanks will likely be
the tank with the thinnest average wall thickness. For fuel lines or
co-extruded fuel tanks with a permeation barrier layer, the worst-case
configuration may be the one with the thinnest barrier.
Testing with those products, as specified above, will need to meet
applicable emission standards. The manufacturer then sends us an
application for certification. After reviewing the information in the
application to verify that the
[[Page 59117]]
manufacturer demonstrates compliance with all applicable requirements,
we will issue a certificate of conformity allowing equipment
manufacturers to introduce into commerce certified components or
equipment.
(4) Compliance Provisions From 40 CFR Part 1068
We are applying the provisions of 40 CFR part 1068 to Small SI and
Marine SI engines, equipment, and vessels. This section describes how
some of the provisions of part 1068 apply specifically with respect to
evaporative emissions.
The provisions of Sec. 1068.101 prohibit introducing into commerce
new nonroad engines and equipment unless they are covered by a
certificate of conformity and labeled appropriately. Section VI.F.1
describes the responsibilities for engine manufacturers, equipment
manufacturers, and manufacturers of fuel-system components with respect
to the prohibition against introducing uncertified products into
commerce. In the case of portable marine fuel tanks and outboard
engines, there is no equipment manufacturer so we are treating
manufacturers of these items as equipment manufacturers relative to
this prohibition.
While engine rebuilding or extensive engine maintenance is
commonplace in the context of exhaust emission controls, there is very
little analogous servicing related to evaporative emission controls.
Nevertheless, it can be expected that individual fuel lines, fuel
tanks, or other fuel-system components may be replaced periodically.
While the detailed rebuilding provisions of Sec. 1068.120 have no
meaning for evaporative emission controls, the underlying requirement
applies generally. Specifically, if someone is servicing a certified
system, there must be a reasonable basis to believe that the modified
emission control system will perform at least as well as the original
system. We are not imposing any recordkeeping requirements related to
maintenance of evaporative emission control systems.
There are many instances where we specify in 40 CFR part 1068,
subparts C and D, that engines (and the associated equipment) are
exempt from emission standards under certain circumstances, such as for
testing, national security, or export. Our principle objective in
applying these provisions to evaporative emission standards is to avoid
confusion. We are therefore adding a provision that any exemption from
exhaust emission standards automatically triggers a corresponding
exemption from evaporative emission standards for the same products. We
believe it is unlikely that an equipment manufacturer will need a
separate exemption from evaporative emission standards, but the
exemptions related to national security, testing, and economic hardship
will apply if such a situation were to occur. We believe the other
exemptions available for engines would not be necessary for equipment
manufacturers with respect to evaporative emissions.
Given the extended times required to precondition fuel-system
components, we have no plans to initiate selective enforcement audits
to test for compliance with products coming off the assembly line. On
the other hand, we may require certifying manufacturers to supply us
with production equipment or components as needed for our own testing
or we may find our own source of products for testing.
The defect-reporting requirements of Sec. 1068.501 apply to
certified evaporative systems. This requires the certifying
manufacturer to maintain information, such as warranty claims, that may
indicate an emission-related defect. The regulations describe when
manufacturers must pursue an investigation of apparent defects and when
to report defects to EPA. These provisions apply to every certifying
manufacturer and their certified products, including component
manufacturers.
(5) Interim Standards and Provisions for Small SI Equipment
Most Small SI equipment manufacturers are currently certifying
products to evaporative emission requirements in California. However,
these standards and their associated test procedures differ somewhat
from those contained in this final rule. Although the standards are
different, we believe evaporative emission control technologies are
available to meet the California ARB's standards and our new emission
standards. To help manufacturers transition to selling low-emission
equipment nationwide, we are accepting California ARB certification of
equipment and components in the early years of the new federal program.
As discussed above, we are accepting California ARB certification
for nonhandheld equipment and fuel tanks for the purposes of the early-
allowance program (see Sec. Sec. 1045.145 and 1054.145). We are also
accepting California ARB certification of handheld fuel tanks through
the 2011 model year (see Sec. 90.129).
We are accepting California ARB certification or certain SAE
specifications through the 2010 model year for Class II engines and
through the 2010 model year for Class I engines (see Sec. 90.127).
These SAE specifications include SAE J30 R11A, SAE J30 R12, and SAE
J2260 Category 1.
(6) Replacement Parts
We are applying the tampering prohibition in Sec. 1068.101(b)(1)
for evaporative systems. This means that it will be a violation to
replace compliant fuel tanks or fuel lines with noncompliant products
that effectively disable the applicable emission controls. Low-cost
replacement products would be easy to make available and it would be
difficult to prevent or control their use. We are therefore adopting
several provisions to address this concern. In Sec. 1060.610 we
clarify the meaning of tampering for evaporative systems and finalize
specific labeling requirements. First, for the period from January 1,
2012 to December 31, 2019, we require that manufacturers, distributors,
retailers, and importers of replacement parts clearly label their
products with respect to the applicable requirements. For example, a
package might be labeled as compliant with the requirements in 40 CFR
part 1060 or it might be labeled as noncompliant and appropriately used
only for applications not covered by EPA standards. Unless the
packaging clearly states otherwise, the product is presumed to be
intended for applications that are subject to EPA standards. Second,
starting in 2020 we are establishing a provision stating that it is
presumed that all replacement parts that could be used in applications
covered by EPA standards will in fact be installed in such equipment.
This presumption significantly enhances our ability to enforce the
tampering prohibition because the replacement part is then noncompliant
before it is installed in a vessel or a piece of equipment. We believe
shifting to a blanket presumption in 2020 is appropriate since in-use
vessels and equipment will be almost universally meeting EPA's
evaporative emission standards by that time.
The obligation for owners who replace certified fuel tanks or fuel
lines with new components is to use components that have been certified
under the applicable regulations. We have made a change from the
proposal to remove the requirement for owners to use certified tanks
that meet or exceed the FEL from the component being replaced, if
applicable. Commenters emphasized that the proposed approach would be
unworkable. We agree that the best approach for ensuring that we
[[Page 59118]]
preserve emission controls without adopting unreasonable requirements
is to specify simply that new replacement components need to be
certified.
(7) Certification Fees
Under our current certification program, manufacturers pay a fee to
cover the costs associated with various certification and other
compliance activities associated with an EPA issued certificate of
conformity. These fees are based on the projected costs to EPA per
emission family. For the fees rule published May 2004, we conducted a
cost study to assess EPA's costs associated with conducting programs
for the industries that we certify (69 FR 26222, May 11, 2004).\111\ We
are establishing a new fees category for certification related to the
new evaporative emission standards. The costs for this category will be
determined using the same method used in conducting the previous cost
study.
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\111\ A copy of the cost worksheets that were used to assess the
fees per category may be found on EPA's fees Web site at http://www.epa.gov/otaq/proprule.htm.
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As under the current program, this depends on an assessment of the
anticipated number of emission families and the corresponding EPA
staffing necessary to perform this work. At this time, EPA plans to
perform a basic level of certification review of information and data
submitted to issue certificates of conformity for the evaporative
emission standards, as well as conducting some testing to measure
evaporative emissions. This is especially the case for equipment
manufacturers that use only certified components for meeting applicable
emission standards. We are establishing a fee of $241 based on Agency
costs for half of a federal employee's time and three employees hired
through the National Senior Citizens Education and Research Center
dedicated to the administration of the evaporative certification
program, including the administrative, testing, and overhead costs
associated with these people. The total cost to administer the program
is estimated to be $362,225. We divided this cost by the estimated
number of certificates, 1,503, to calculate the fee.
The fee of $241 per certificate applies through the 2014 model
year. Starting in 2015, we will update the fees related to evaporative
emission certificates each year when we update the fees for all
categories. The fees update will be based upon EPA's costs of
implementing the evaporative category multiplied by the consumer price
index (CPI), then divided by the average of the number of certificates
received in the two years prior to the update. The CPI will be applied
to all of EPA's costs except overhead. This is a departure from EPA's
current fees program wherein the CPI is applied only to EPA's labor
costs. In the most recent fees rulemaking, commenters objected to
applying the CPI to EPA's fixed costs. In the new fee program for the
evaporative category, however, there are no fixed costs. EPA expects
all its costs to increase with inflation and we therefore think it is
appropriate to apply the inflation adjustment to all the program costs.
Where a manufacturer holds the certificates for compliance with
exhaust emission standards and includes certification for evaporative
emissions for the same engine/equipment model, we will assess an
additional charge related to compliance with evaporative emission
standards to that for the exhaust emission certification.
EPA believes it appropriate to charge less for a certificate
related to evaporative emissions relative to the existing charge for
certificates of conformity for exhaust emissions from the engines in
these same vessels and equipment. The amount of time and level of
effort associated with reviewing the latter certificates is higher than
that projected for the certificates for evaporative emissions.
(8) Design-Based Certification
Certification of equipment or components that are subject to
performance-based emission standards depends on test data showing that
products meet the applicable standards. We are adopting a variety of
approaches that reduce the level of testing needed to show compliance.
As described above, we allow manufacturers to group their products into
emission families so that a test on a single worst-case configuration
can be used to show that all products in the emission family are
compliant. Also, test data from a given year could be ``carried over''
for later years for a given emission control design (see Sec.
1060.235). These steps help reduce the overall cost of testing.
Design-based certification is another method that may be available
for reducing testing requirements (see Sec. 1060.240). To certify
their products using design-based certification, manufacturers will
describe, from an engineering perspective, how their fuel systems meet
the applicable design specifications. We believe there are several
designs that use established technologies that are well understood to
have certain emission characteristics that ensure compliance with
applicable emission standards. At the same time, while design-based
certification is a useful tool for reducing the test burden associated
with certification, this does not remove a manufacturer's liability for
meeting all applicable requirements throughout the useful life of the
engine, equipment, vessel, or component.
The following sections describe how we propose to implement design-
based certification for each of the different performance standards. We
are adopting design-based certification provisions for fuel tank
permeation and diurnal emissions. The emission data we used to develop
these new design-based certification options are presented in Chapter 5
of the Final RIA.
We are not adopting design-based certification provisions for fuel
lines. This contrasts with the approach we adopted for recreational
vehicles, where we specified that fuel lines meeting certain SAE
specifications could be certified by design. That decision was
appropriate for recreational vehicles, because we did not include
provisions for component certification. Fuel line manufacturers will
need to conduct testing anyway to qualify their fuel lines as meeting
the various industry ratings for Small SI and marine applications so
any testing burden to demonstrate compliance with EPA standards should
be minimal. We will allow test data used to meet industry standards to
be used to certify to the new standards provided that the data were
collected in a manner consistent with this final rule and that the data
are available to EPA upon request.
(a) Fuel Tank Permeation
A metal fuel tank automatically meets the design criteria for a
design-based certification as a low-permeation fuel tank, subject to
the restrictions on fuel caps and seals described below.\112\ There is
also a body of existing test data showing that co-extruded fuel tanks
from automotive applications have permeation rates that are well below
the new standard. We are allowing design-based certification for co-
extruded high-density polyethylene fuel tanks with a continuous
ethylene vinyl alcohol (EVOH) barrier layer. The EVOH barrier layer is
required to be at least 2 percent of the wall thickness of the fuel
tank. In addition, the ethylene content of the
[[Page 59119]]
EVOH can be no higher than 40 mole percent.
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\112\ Manufacturers may also consider metal fuel tanks meeting
the gasket- and cap-related specifications to be ``deemed
certified,'' in which case no application for certification is
necessary. Such a fuel tank is considered compliant independent of
any test results from emission measurements. While this would be the
most straightforward path, many prefer instead to go through the
certification process for their tanks.
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To address the permeability of the gaskets and seals used on metal
and co-extruded tanks, the design criteria include a specification that
seals (such as gaskets and O-rings) not made of low-permeability
materials must have a total exposed surface area less than 0.25 percent
of the total inside surface area of the fuel tank. For example,
consider a four-gallon fuel tank with an inside surface area of 0.40
square meters. The total exposed surface area of seals on this fuel
tank must be smaller than 1000 mm\2\ (= 0.25%/100 x 0.40m\2\ x
1,000,000 mm\2\/m\2\). This is consistent with the proposed rule and
the current requirements for recreational vehicles, but allows for
larger seals for larger tanks. In addition, if a non-metal fuel cap not
made of low-permeability material is directly mounted to the fuel tank,
the surface area of the fuel cap (determined by the cross-sectional
area of the fill opening) may not exceed 3.0 percent of the total
inside surface area of the fuel tank.
A metal or co-extruded fuel tank with a fuel cap and seals that
meet these design criteria would be expected to reliably pass the
standard. However, we believe it is not appropriate to assign an
emission level to fuel tanks using design-based certification such that
they can generate emission credits. Given the uncertainty of emission
rates from the seals and gaskets, we will not consider these tanks to
be any more effective than other fuel tanks meeting emission standards
for purposes of emission credits.
In the case where the fuel cap is directly mounted on the fuel
tank, we consider the cap and associated seals to be part of the fuel
tank. As discussed above, we allow fuel caps to be tested either
mounted on the fuel tank, or individually. As an alternative to testing
the fuel cap, the manufacturer may opt to use a default permeation rate
of 30 g/m\2\/day (or 50 g/m\2\/day for testing at 40 [deg]C). To be
eligible for this default rate, the seal on the fuel cap must be made
of a low-permeability material, such as a fluoroelastomer. The surface
area associated with this default value is the smallest inside cross-
sectional area of the opening on which the cap is mounted. If
manufacturers use this default value, they would seal the fuel fill
area with a non-permeable plug during the tank permeation test and the
default permeation rate would be factored into the final result.
(b) Diurnal Emissions
For portable marine fuel tanks, we are establishing a design
standard based on automatically sealing the tank to prevent fuel
venting while fuel temperatures are rising. The options described below
for design-based certification therefore deal only with installed
marine fuel tanks (including personal watercraft).
A fuel system sealed to 1.0 psi will meet the criteria for design-
based certification relative to the new diurnal emission standards.
Such sealed systems reliably ensure that total diurnal emissions over
the specified test procedure will be below the new standard. This type
of system will allow venting of fuel vapors only when pressures exceed
1.0 psi or when the fuel cap is removed for refueling. Note that
systems with anti-siphon valves will have to be designed to prevent
fuel releases when the system is under pressure to meet U.S. Coast
Guard requirements.
Bladder fuel tanks and tanks with a volume-compensating air bag are
specialized versions of tanks that may meet the specifications for
systems that remain sealed up to positive pressures of 1.0 psi. In each
of these designs, volume changes within a sealed system prevent
pressure buildup.
Fuel tanks equipped with a passively purged carbon canister may be
certified by design, subject to several technical specifications. To
ensure that there is enough carbon to collect a sufficient mass of
hydrocarbon vapors, we specify a minimum butane working capacity of 9.0
g/dL based on the test procedures specified in ASTM D5228. The carbon
canister will need a minimum carbon volume of 0.040 liters per gallon
of nominal fuel tank capacity. For fuel tanks certified to the optional
standards for tanks in nontrailerable boats (>=26 ft. in length or >8.5
ft. in width), we are requiring a minimum carbon volume of 0.016 liters
per gallon of nominal fuel tank capacity.
We are adopting three additional specifications for the quality of
the carbon. We believe these specifications are necessary to ensure
that the canister continues to function effectively over the full
useful life. First, the carbon must meet a moisture adsorption capacity
maximum of 0.5 grams of water per gram of carbon at 90 percent relative
humidity and a temperature of 255 [deg]C. Second, the
carbon must pass a dust attrition test similar to that in ASTM D3802.
Third, the carbon granules must have a minimum mean diameter of 3.1 mm
based on the procedures in ASTM D2862. These procedures are described
in more detail in Chapter 5 of the Final RIA.
We are also requiring that the carbon canister must be properly
designed to ensure proper in-use diurnal emission control. The
canisters will need to be designed using good engineering judgment to
ensure structural integrity. They must include a volume compensator or
other device to hold the carbon pellets in place under vibration and
changing temperatures and the vapor flow will need to be directed so
that it reaches the whole carbon bed rather than just passing through
part of the carbon. We are also requiring that the geometry of the
carbon canister must have a length-to-diameter ratio of at least 3.5.
(c) Additional Designs
We may establish additional design-based certification options
where we find that new test data demonstrate that the use of other
technologies will ensure compliance with applicable emission standards.
These designs will need to produce emission levels comfortably below
the emission standards after considering variability in emission
control performance. In addition, all aspects of these designs would
need to be publicly available and quantifiable. For instance, we would
not create a design-based certification for a material or process
without full public disclosure of all the characteristics of that
material or process relevant to its emission control characteristics.
We would also not include products whose emission control performance
is highly variable due to tolerances in materials or manufacturing
processes. For instance, barrier treatments and post-processing
coatings would generally not be eligible for design-based
certification.
Manufacturers wanting to use designs other than those discussed
here will have to perform the applicable testing for certification.
However, once an additional technology is proven to be inherently low-
emitting such that it will without question meet emission standards, we
may consider approving its use under the regulations for design-based
certification. For example, if several manufacturers were to pool
resources to test a diurnal emission control strategy and submit the
data to us, we could consider this particular technology, with any
appropriate design specifications, as one that qualifies to be
considered compliant under design-based certification. We intend to
revise the regulations to include any additional technologies we decide
are suitable for design-based certification, but we may also approve
the use of additional design-based certification with these
technologies before changing the regulations.
[[Page 59120]]
(9) Coordination With Coast Guard
As part of its compliance assurance program for safety standards,
the U.S. Coast Guard regularly visits boat builders to perform
inspections on the production of new boats. The frequency of these
inspections is such that each boat builder is visited approximately
once every two years. The U.S. Coast Guard has indicated a willingness
to consider environmental compliance assurance as part of these
inspections. For example, the inspections could include checking for
certification labels and proper installation of emission control
components. We will continue to work with the U.S. Coast Guard to
coordinate these efforts.
G. Small-Business Provisions
(1) Small Business Advocacy Review Panel
On May 3, 2001, we convened a Small Business Advocacy Review Panel
under section 609(b) of the Regulatory Flexibility Act (RFA) as amended
by the Small Business Regulatory Enforcement Fairness Act of 1996. The
purpose of the Panel was to collect the advice and recommendations of
representatives of small entities that could be affected by the
proposal and to report on those comments and the Panel's findings and
recommendations as to issues related to the key elements of the Initial
Regulatory Flexibility Analysis under section 603 of the Regulatory
Flexibility Act. We re-convened the Panel on August 17, 2006 to update
our findings for this final rule. The Panel report has been placed in
the rulemaking record for this final rule. Section 609(b) of the
Regulatory Flexibility Act directs the Panel to report on the comments
of small entity representatives and make findings as to issues related
to certain elements of an initial regulatory flexibility analysis
(IRFA) under RFA section 603. Those elements of an IRFA are:
A description of, and where feasible, an estimate of the
number of small entities to which the rule will apply;
A description of projected reporting, recordkeeping, and
other compliance requirements of the rule, including an estimate of the
classes of small entities that will be subject to the requirements and
the type of professional skills necessary for preparation of the report
or record;
An identification, to the extent practicable, of all
relevant Federal rules that may duplicate, overlap, or conflict with
the rule; and
A description of any significant alternative to the rule
that accomplishes the stated objectives of applicable statutes and that
minimizes any significant economic impact of the rule on small
entities.
In addition to the EPA's Small Business Advocacy Chairperson, the
Panel consisted of the Director of the Assessment and Standards
Division of the Office of Transportation and Air Quality, the
Administrator of the Office of Information and Regulatory Affairs
within the Office of Management and Budget, and the Chief Counsel for
Advocacy of the Small Business Administration.
EPA used the size standards provided by the Small Business
Administration (SBA) at 13 CFR part 121 to identify small entities for
the purposes of its regulatory flexibility analysis. Companies that
manufacture internal-combustion engines and that employ fewer than
1,000 people are considered small businesses for the purpose of the RFA
analysis for this rule. Equipment manufacturers, boat builders, and
fuel-system component manufacturers that employ fewer than 500 people
are considered small businesses for the purpose of the RFA analysis for
this rule. Based on this information, we asked 25 companies that met
the SBA small business thresholds to serve as small entity
representatives for the duration of the Panel process. These companies
represented a cross-section of engine manufacturers, equipment
manufacturers, and fuel-system component manufacturers.
With input from small-entity representatives, the Panel drafted a
report which provides findings and recommendations to us on how to
reduce potential burdens on small businesses that may occur as a result
of this final rule. The Panel Report is included in the rulemaking
record for this final rule. We are adopting all the recommendations as
presented in the Panel Report. The flexibility options recommended to
us by the Panel, and any updated assessments, are described below.
(2) Burden Reduction Approaches for Small Businesses Subject to the
Final Evaporative Emission Standards
The SBAR Panel Report includes six general recommendations for
regulatory flexibility for small businesses affected by the new
evaporative emission standards. This section discusses the provisions
being established based on each of these recommendations plus one
additional provision for small-volume boat builders. In these industry
sectors, we believe the burden reduction approaches presented in the
Panel Report should be applied to all businesses with the exception of
the general economic hardship provision and the marine diurnal
allowances, both of which are described below and are designed
specifically for small businesses. The majority of fuel tanks produced
for the Small SI equipment and Marine SI vessel market are made by
small businesses or by companies producing small volumes of these
products. The purpose of these options is to reduce the potential
burden on companies for which fixed costs cannot be distributed over a
large product line. For this reason, we often also consider production
volumes when making decisions regarding provisions to reduce compliance
burden.
(a) Consideration of Appropriate Lead Time
Small businesses commented that they would need to make significant
changes to their plastic fuel tank designs and molding practices to
meet the new fuel tank permeation standards. For blow-molded tank
designs with a molded-in permeation barrier, new blow-molding machines
would be needed that could produce multi-layer fuel tanks. One small
business commented that, due to the lead time needed to install a new
machine and to perform quality checks on the tanks, they would not be
ready to sell multi-layer blow-molded fuel tanks until 2011 for the
Small SI and Marine SI markets.
Small businesses that make rotation-molded fuel tanks were divided
in their opinion of when they would be ready to produce low-permeation
fuel tanks. One manufacturer stated that it is already producing fuel
tanks with a low-permeation inner layer that are used in Small SI
applications. This company also sells marine fuel tanks, but not with
low-permeation technology. However, they have successfully performed
Coast Guard durability testing on a prototype 40-gallon marine tank
using their low-permeation technology. Two other small businesses that
make rotation-molded fuel tanks stated that they have not been able to
identify and demonstrate a low-permeation technology that would meet
their cost and performance needs. They commented that developing and
demonstrating low-permeation technology is especially an issue for the
marine industry because of the many different tank designs and Coast
Guard durability requirements.
Consistent with the Panel recommendations and in response to the
above comments, we are adopting an implementation schedule that we
believe provides sufficient lead time for blow-molded and marine
rotation-molded fuel tanks. We are establishing
[[Page 59121]]
tank permeation implementation dates of 2011 for Class II equipment and
2012 for Class I equipment. We are implementing the permeation
standards in 2011 for portable marine fuel tanks and for personal
watercraft and in 2012 for other installed fuel tanks, which are
typically rotation-molded (see Sec. 1060.1).
There was no disagreement on the technological feasibility of the
Marine SI diurnal emission standard EPA is considering. The marine
industry has expressed a commitment to developing consensus standards
for the installation of carbon canisters in boats. However, they have
noted that the development of these consensus standards will take time
and that time would be needed for an orderly transition to installing
the diurnal emission controls to their boat models. Therefore, as noted
earlier, we are giving an additional 18 months of lead time, compared
to the proposal, which means that the diurnal standard will apply
starting on July 31, 2011. In addition, in response to concerns that
there are many small boat builders that may need additional time to
become familiar with carbon canister technology and learn how to
install canisters in their boats, we are adopting interim allowances
that will give additional time for a limited number of new boats. Small
boat builders could choose between a percentage-based phase-in for one
year or an allowance to produce up to 1,200 vessels without diurnal
systems over the first two years. The options available to boat
builders are described in more detail in Section VI.C.3 and Section
VI.G.2.f.
In developing the proposal, the majority of large nonhandheld
equipment manufacturers indicated that they would be using low-
permeation fuel lines in the near term as part of their current product
plans. In addition, the Panel expressed concern that small equipment
manufacturers who do not sell products in California may not
necessarily be planning on using low-permeation fuel lines in 2008.
Therefore, we proposed that the fuel line permeation standards would
take effect in 2008 for most nonhandheld equipment manufacturers and in
2009 for small-volume equipment manufacturers. Given that we are not
adopting the final rule until mid-2008, we have delayed the
implementation of the low-permeation fuel line requirement until
January 1, 2009 for nonhandheld equipment. We are keeping the 2009
implementation date for low-permeation fuel line for small businesses
producing Small SI nonhandheld equipment. We believe the 2009 date is
feasible for all equipment manufacturers, given that fuel line meeting
the low permeation standards is already widely available and
manufacturers selling most types of nonhandheld equipment in California
were required to use such fuel lines starting in 2007 or 2008.
(b) Fuel Tank ABT and Early-Incentive Program
The Panel recommended that we propose ABT and early-allowance
programs for fuel tank permeation. We are adopting these programs in
this final rule. The provisions of the ABT and early-allowance programs
are described above in Section VI.D.
(c) Broad Definition of Emission Family
The Panel recommended that we propose broad emission families for
fuel tank emission families similar to the existing provisions for
recreational vehicles. As described earlier in Section VI.F.3, we are
adopting provisions that allow fuel tank emission families to be based
on type of material (including additives such as pigments,
plasticizers, and UV inhibitors that are expected to affect control of
emissions), emission control strategy, and production methods. This
would allow fuel tanks of different sizes, shapes, and wall thicknesses
to be grouped into the same emission family (see Sec. 1060.230). In
addition, Small SI and Marine SI fuel tanks could be allowed in the
same emission family if the tanks meet these criteria. Manufacturers
therefore will be able to broadly group similar fuel tanks into the
same emission family and then test only the configuration most likely
to exceed the emission standard.
(d) Compliance Progress Review for Marine Fuel Tanks
During the development of the proposed rule, we worked closely with
the recreational marine fuel tank industry to understand their
products, business practices, and production processes. Information
gathered from these interactions was used to craft the proposed
regulatory provisions related to controlling gasoline fuel tank
permeation emissions. During these discussions, important issues were
identified with respect to concerns regarding the technical feasibility
of controlling permeation emissions from rotation-molded tanks made
from cross-link polyethylene (XLPE).
Manufacturers asserted that the availability of rotation-molded
fuel tanks is critical to the marine industry. This type of fuel tank
is installed in many recreational marine vessels powered by SD/I and
outboard engines. The rotation-molding process, which has low capital
costs relative to injection molding, facilitates the economical
production of fuel tanks in the low production volumes required by boat
builders. Furthermore, plastic fuel tanks offer advantages over metal
fuel tanks, both in terms of cost and corrosion resistance. The
advantages of XLPE over other plastics used in fuel tanks today, such
as HDPE, are its compatibility with the rotation-molding process and
the ability of XLPE fuel tanks to meet the U.S. Coast Guard safety
tests, especially the flame-resistance test. Nearly all manufacturers
of rotation-molded marine fuel tanks qualify as small businesses under
this rule.
We have concluded that the 2012 fuel permeation standards are
technologically feasible for rotation-molded marine fuel tanks. This
conclusion is supported by data presented in the Final RIA. As can be
seen from the comments on the proposed rule and related information in
the public docket, several rotation-molded tank manufacturers support
EPA's proposed standards and implementation dates and have provided
information to support their positions. We originally proposed tank
permeation standards for these fuel tanks in 2002. Since that time,
several manufacturers have shown progress in the development of low-
permeation, rotation-molded tanks. In addition, this rule provides
about 36 months of lead time for these manufacturers to address
remaining technology issues, certify their products, and prepare for
production of certified fuel tanks.
However, several other rotation-molded tank manufacturers are not
as far along in their technological progress toward meeting the
standards and are not certain about their ability to meet EPA
requirements in 2012. To address this situation, these manufacturers
have requested that EPA perform a technical review in 2010 to determine
whether the compliance dates should be adjusted. However, for the
reasons discussed above, we believe that the tank permeation standards
have been demonstrated to be technologically feasible in the 2012 time
frame and do not look favorably upon the request for a technology
review of the permeation standard.
Nevertheless, we are concerned about the potential long-term
impacts on the small businesses that have not yet developed
technologies that meet the new emission standards. Although marine fuel
tanks must comply with Coast Guard safety regulations, marine fuel tank
manufacturers have never been required to certify to permeation
standards. The rotation-molded tank
[[Page 59122]]
manufacturers are generally small businesses with limited engineering
staffs and are dependent on materials suppliers for their raw
materials.
During the next few years, EPA intends to hold periodic progress
reviews with small businesses that make rotation-molded fuel tanks. The
purpose of these progress reviews will be to monitor the progress of
individual companies towards compliance with the tank permeation
standards and to provide feedback as needed. Rather than conducting a
broad program with the entire industry, we plan to conduct separate,
voluntary reviews with each interested company. These sessions will be
instrumental to EPA in following the progress for these companies and
assessing their efforts and potential problems.
To help address small business concerns, we are relying on the
small-volume manufacturer hardship relief provisions in 40 CFR
1068.250. These provisions are described below. In the event that a
small business is unsuccessful in the 2012 model year and seeks
hardship relief, the progress reviews described above would provide an
important foundation in determining whether a manufacturer has taken
all possible steps to comply with the permeation standards in a timely
manner.
(e) Design-Based Certification
For recreational vehicles, manufacturers using metal fuel tanks may
certify by design to the tank permeation standards. Tanks using design-
based certification provisions are not included in the ABT program
because they are assigned a certification emission level equal to the
standard. The Panel recommended that we propose to allow design-based
certification for metal tanks and plastic fuel tanks with a continuous
EVOH barrier. The Panel also recommended that we propose design-based
certification for carbon canisters. A detailed description of the new
design-based certification options we are adopting is presented earlier
in Section VI.F.8 of this document.
The National Marine Manufacturers Association (NMMA), the American
Boat and Yacht Council (ABYC), and the Society of Automotive Engineers
(SAE) have industry-recommended practices for boat designs that must be
met as a condition of NMMA membership. NMMA stated that they are
working to update these recommended practices to include installation
instructions for carbon canisters and design specifications for low-
permeation fuel lines. The Panel recommended that EPA accept data used
for meeting the voluntary requirements as part of the EPA
certification. We will allow this data to be used as part of EPA
certification as long as it is collected consistent with the test
procedures and other requirements described in this final rule.
(f) Marine Diurnal Allowances
As described above, manufacturers expressed concern that many
small-volume boat builders may need additional time to develop
installation procedures and install carbon canisters in their boats. To
address this, we are establishing an interim allowance program that
will give additional time for these manufacturers for a certain number
of boats. Under this program, each small-volume boat builder will be
allowed to sell these boats without the diurnal emission controls that
would otherwise be required. These allowances are intended to help
small boat builders engage in an orderly transition to the new
standards and will only be available for boats produced in the first
two years of the program. This allowance program applies only to boats
with installed fuel tanks that are expected to use carbon canisters to
meet the diurnal emission standards. Therefore, it does not apply to
portable fuel tanks, personal watercraft, or outboard engines with
under-cowl fuel tanks. If a small-volume boat builder chooses to use
this allowance provision, then the 50 percent phase-in for the first
year, as described in Section VI.C.3, would not apply.
Specifically, each small-volume boat builder will have a total of
1,200 allowances that may be used, at the manufacturer's discretion,
for boats produced from July 31, 2011 through July 31, 2013.\113\ For
instance, a small boat builder could produce 800 boats in the first
year and 400 in the second year without diurnal emission controls. For
most small boat builders, we expect that this allowance program will
result in an additional year, or even two years, of lead time for them
to address potential installation issues related to carbon canisters.
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\113\ In this context, the date of production means the date on
which the engine is installed in the vessel. In the case of boats
using outboard engines, it is the date on which the fuel tank is
installed.
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Under this diurnal allowance approach for small-volume boat
builders, such boat builders will only need to place a label on the
vessel with a statement acknowledging that an allowance is being used.
In addition, the small-volume boat builder must notify EPA of its
intent to use the allowances prior to producing any exempted vessels.
The small-volume boat builder must also maintain records of the number
of allowances used and submit a report to EPA showing the number of
allowances used in each year. Note that boats exempted from diurnal
requirements must still use fuel lines and fuel tanks that meet
permeation standards.
(g) Hardship Provisions
We are adopting two types of hardship provisions consistent with
the Panel recommendations. EPA used the SBA size standards for purposes
of defining ``small businesses'' for its regulatory flexibility
analysis. The eligibility criteria for the hardship provisions
described below reflect EPA's consideration of the Panel's
recommendations and a reasonable application of existing hardship
provisions. As has been our experience with similar provisions already
adopted, we anticipate that hardship mechanisms will be used sparingly.
First, under the unusual circumstances hardship provision, any
manufacturer subject to the new standards may apply for hardship relief
if circumstances outside its control cause the failure to comply and if
failure to sell the subject engines or equipment or fuel system
component would have a major impact on the company's solvency (see
Sec. 1068.245). An example of an unusual circumstance outside a
manufacturer's control may be an ``Act of God,'' a fire at the
manufacturing plant, or the unforeseen shutdown of a supplier with no
alternative available. The terms and time frame of the relief will
depend on the specific circumstances of the company and the situation
involved. As part of its application for hardship, a company will be
required to provide a compliance plan detailing when and how it will
achieve compliance with the standards. This hardship provision will be
available to all manufacturers of engines, equipment, boats, and fuel
system components subject to the new standards, regardless of business
size.
Second, an economic hardship provision allows small businesses
subject to the new standards to petition EPA for limited additional
lead time to comply with the standards (see Sec. 1068.250). A small
business must make the case that it has taken all possible business,
technical, and economic steps to comply, but the burden of compliance
costs would have a significant impact on the company's solvency.
Hardship relief could include requirements for interim emission
reductions and/or the purchase and use of emission credits. The length
of the
[[Page 59123]]
hardship relief decided during review of the hardship application will
be up to one year, with the potential to extend the relief as needed.
We anticipate that one to two years will normally be sufficient. As
part of its application for hardship, a company will be required to
provide a compliance plan detailing when and how it will achieve
compliance with the standards.
The criteria for determining which manufacturers are eligible for
the economic hardship (as well as other small-volume manufacturer
flexibilities described in this section) are presented in Sections
III.F.2 and IV.G for Marine SI engine manufacturers; in Section V.F.2
for nonhandheld engine manufacturers; and in Section V.F.3 for
nonhandheld equipment manufacturers. For handheld equipment
manufacturers, EPA is using the existing small-volume manufacturer
criterion, which relies on a production cut-off of 25,000 pieces of
handheld equipment per year. For boat builders and fuel-system
component manufacturers, EPA is basing the determination of whether a
company is a small business eligible for the hardship provision on the
SBA size standards at 13 CFR 121. Under SBA size standards, a boat
builder or fuel-system component manufacturer is a small business if it
has 500 or fewer employees.
The criteria for determining which manufacturers are eligible for
the economic hardship (as well as other small-volume manufacturer
flexibilities described in this section) are presented in Sections
III.F.2 and IV.G for Marine SI engine manufacturers; in Section V.F.2
for nonhandheld engine manufacturers; and in Section V.F.3 for
nonhandheld equipment manufacturers. For handheld equipment
manufacturers, EPA is using the existing small-volume manufacturer
criterion, which relies on a production cut-off of 25,000 pieces of
handheld equipment per year. For boat builders and fuel-system
component manufacturers, EPA is basing the determination of whether a
company is a small business on the SBA definition. Under SBA
regulations, a boat builder or fuel-system component manufacturer is a
small business if it has 500 or fewer employees.
Because many boat builders, nonhandheld equipment manufacturers,
and handheld equipment manufacturers will depend on fuel tank
manufacturers and fuel line manufacturers to supply certified products
in time to produce complying vessels and equipment, we are also
establishing a hardship provision for all Marine SI vessel
manufacturers and Small SI equipment manufacturers, regardless of size.
The hardship provision allows the boat builder or equipment
manufacturer to request more time if they are unable to obtain a
certified fuel-system component and they are not at fault and would
otherwise face serious economic hardship (see Sec. 1068.255).
H. Technological Feasibility
We believe there are several strategies that manufacturers can use
to meet the new evaporative emission standards. We have collected and
will continue to collect emission test data on a wide range of
technologies for controlling evaporative emissions. The design-based
certification levels discussed above rely on this test data and we may
amend the list of approved designs and emission levels as more data
become available.
In the following sections we briefly describe how we selected
specific emission standards and implementation dates, followed by a
more extensive discussion of the expected emission control
technologies. A more detailed discussion of the feasibility of the new
evaporative requirements, including all the underlying test data, is
included in Chapter 5 of the Final RIA. See Table VI-1 for a summary of
the new evaporative emission standards.
(1) Level of Standards
The fuel line and fuel tank permeation standards for Small SI
equipment and Marine SI vessels are based on the standards already
adopted for recreational vehicles. These applications use similar
technology in their fuel systems. In cases where the fuel systems
differ we have identified technological approaches that could be used
to meet these same emission levels. The control strategies are
discussed below. For fuel lines used with cold-weather equipment, we
are adopting a relaxed set of standards based on available permeation
data. In addition, we have new higher numerical standards for fuel tank
permeation for tests performed at higher temperature (40 [deg]C vs. 28
[deg]C). These higher numerical standards are based on data described
in Chapter 5 of the Final RIA.
For fuel tanks installed in personal watercraft and for portable
marine fuel tanks, we are adopting diurnal emission standards based on
the current capabilities of these systems. We are basing the new
standard for other installed marine fuel tanks on the capabilities of
passive systems that store emitted vapors in a carbon canister. The
Final RIA describes the test results on passively purged canisters and
other technologies that led us to the level of the diurnal emission
standard.
We measured running loss emissions and found that some Small SI
products have very high emission levels. The large variety of
manufacturers and equipment types makes it impractical to design a
measurement procedure, which means that we are unable to specify a
performance standard. We are instead adopting a design standard for
running losses from nonhandheld Small SI equipment by specifying that
manufacturers may use any of a variety of specified design solutions,
as described in Section VI.C.5. Several of these design options are
already in common use today.
We are requiring that equipment and vessel manufacturers use good
engineering practices in their designs to minimize refueling spitback
and spillage. In general, the regulation simply requires manufacturers
to use system designs that are commonly used today. Several refueling
spitback and spillage control strategies are discussed in Chapter 5 of
the Final RIA.
(2) Implementation Dates
Low-permeation fuel line is widely available today. Many Small SI
equipment manufacturers certifying to permeation standards in
California are selling products with low-permeation fuel line
nationwide. In addition, many boat builders have begun using low-
permeation marine fuel lines to feed fuel from the fuel tank to the
engine. For this reason, we are implementing the fuel line permeation
standards in 2009 for nonhandheld Small SI equipment and for Marine SI
vessels. The dates provide more than two years additional lead time
beyond the California requirements for Small SI equipment. For handheld
equipment, there are no fuel line permeation requirements in
California. In addition, injection molded fuel lines are common in many
applications rather than straight-run extruded fuel line. For this
reason we are delaying implementation of fuel line permeation standards
for handheld equipment until 2012 (or 2013 for small volume emission
families). Primer bulbs and many of the fuel line segments used under
the cowl of outboard marine engines are also injection molded. In
addition, these fuel lines are not subject to standards in California.
We are providing additional lead time for manufacturers to address
emissions from these fuel lines as well. The permeation standard begins
in 2011 for primer bulbs used with marine fuel lines; permeation
standards for under-cowl fuel lines phase in between 2010 and 2015.
Similar to fuel line technology, low-permeation fuel tank
constructions are
[[Page 59124]]
used today in automotive and portable fuel tank applications. This
technology has been developed for use in recreational vehicles and for
Small SI equipment sold in California. The available technology options
include surface treatment and multi-layer constructions, though
rotation-molding presents some unique design challenges. Based on
discussions with fuel tank manufacturers, and our own assessment of the
lead time necessary to change current industry practices, we believe
low-permeation fuel tank technology can be applied in the 2011-2012
model years for Small SI and Marine SI fuel tanks. We are implementing
the fuel tank permeation standards in 2011 for Class II equipment,
portable marine fuel tanks and personal watercraft. For Class I
equipment and other installed marine fuel tanks, the implementation
date is 2012. We are phasing in the handheld fuel tank standards on the
following schedule: 2009 for equipment models certifying in California,
2011 for structurally integrated nylon tanks, 2013 for small-volume
families, and 2010 for the remaining fuel tanks used with handheld
equipment. We believe this will facilitate an orderly transition from
current fuel tank designs to low-permeation fuel tanks.
We are allowing until 2012 for large marine fuel tanks to meet
permeation standards largely due to concerns raised over the
application of low-permeation rotation-molded fuel tank technology in
marine applications. The majority of these fuel tanks are typically
rotation-molded by small businesses. Although low-permeation technology
has emerged for these applications, we believe the allotted lead time
will be necessary for all manufacturers to be ready to implement this
technology. This will give these manufacturers time to make changes to
their production processes to comply with the standards and to make any
tooling changes that may be necessary. We are similarly implementing
the fuel tank permeation standards for Class I fuel tanks installed in
Small SI equipment in 2012, mostly to align with the implementation
date for the Phase 3 exhaust emission standards. This is especially
important for Class I engines where most of the engine manufacturers
will also be responsible for meeting evaporative emission standards.
We are implementing the running loss standards for nonhandheld
Small SI equipment in the same year as the exhaust emission standards.
We believe this is appropriate because the running loss vapor will in
some cases be routed to the intake manifold for combustion in the
engine. Manufacturers will need to account for the effect of the
additional running loss vapor in their engine calibrations.
We are implementing the new diurnal standards for portable marine
fuel tanks on January 1, 2010 and for personal watercraft beginning
with the 2010 model year. We believe these requirements will not result
in a significant change from current practice so the dates will provide
sufficient lead time for manufacturers to comply with standards. For
other installed fuel tanks, however, we are adopting a later
implementation date beginning in mid-2011. The development of canisters
as an approach to control diurnal emissions without pressurizing the
tanks has substantially reduced the expected level of effort to
redesign and retool for making fuel tanks. However, canister technology
has not yet been applied commercially to marine applications and the
final rule includes added lead time for manufacturers to work out
various technical parameters associated with the large variety of boat
models and tanks.
(3) Technological Approaches
We believe several emission control technologies can be used to
reduce evaporative emissions from Small SI equipment and Marine SI
vessels. These emission control strategies are discussed below. Chapter
5 of the Final RIA presents more detail on these technologies and
Chapter 6 provides information on the estimated costs.
(a) Fuel Line Permeation
Fuel lines produced for use in Small SI equipment and Marine SI
applications are generally extruded nitrile rubber with a cover for
abrasion resistance. Fuel lines used in Small SI applications often
meet SAE J30 R7 specifications, including a permeation limit of 550 g/
m2/day at 23 [deg]C on ASTM Fuel C. Fuel lines for personal
watercraft are typically designed to meet SAE J2046, which includes a
permeation limit of 300 g/m2/day at 23 [deg]C on ASTM Fuel
C.\114\ Marine fuel lines subject to Coast Guard requirements under 33
CFR part 183 are designated as either Type A or Type B and either Class
1 or Class 2. SAE J1527 provides detail on these fuel line designs.
Type A fuel lines pass the U.S. Coast Guard fire test while Type B
designates fuel lines that have not passed this test. Class 1 fuel
lines are intended for fuel-feed lines where the fuel line is normally
in contact with liquid fuel and has a permeation limit of 100 g/
m2/day at 23 [deg]C. Class 2 fuel lines are intended for
vent lines and fuel fill necks where liquid fuel is not continuously in
contact with the fuel line; it has a permeation limit of 300 g/
m2/day at 23 [deg]C. Recently, SAE J1527 has been modified
to include a ``-15'' designation for fuel lines meeting a permeation
limit of 15 g/m2/day at 23 [deg]C on fuel CE10. In general
practice, most boat builders use Class 1 fuel lines for both vent lines
and fuel-feed lines to avoid carrying two types of fuel lines. Most
fuel fill necks, which have a much larger diameter and are constructed
differently, use materials meeting specifications for Class 2 fuel
lines.
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\114\ Society of Automotive Engineers Surface Vehicle Standard,
``Personal Watercraft Fuel Systems,'' SAE J2046, Issues 1993-01-19
(Docket EPA-HQ-OAR-2004-0008-0179).
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Low-permeability fuel lines are in production today. One fuel line
design, already used in some marine applications, uses a thermoplastic
layer between two rubber layers to control permeation. This
thermoplastic barrier may be either nylon or ethyl vinyl acetate.
Barrier approaches in automotive applications include fuel lines with
fluoroelastomers such as FKM and fluoroplastics such as Teflon and THV.
In addition to presenting data on low-permeation fuel lines, Chapter 5
of the Final RIA lists several fuel-system materials and their
permeation rates. Molded rubber fuel line components, such as
conventional primer bulbs and some handheld fuel lines, could meet the
standard by using a fluoroelastomer such as FKM. The Final RIA also
discusses low-permeation materials that retain their flexibility at low
temperatures.
Automotive fuel lines made of low-permeation plastic tubing are
generally made from fluoroplastics. An added benefit of these low-
permeability fuel lines is that some fluoropolymers can be made to
conduct electricity and therefore prevent the buildup of static
charges. This type of fuel line can reduce permeation by more than an
order of magnitude below the level associated with barrier-type fuel
lines, but it is relatively inflexible and will need to be molded in
specific shapes for each equipment or vessel design. Manufacturers have
commented that they need flexible fuel lines to fit their many designs,
resist vibration, prevent kinking, and simplify connections and
fittings. An alternative to custom molding is to manufacture fuel lines
with a corrugated profile (like a vacuum hose). Producing flexible
fluoropolymer fuel lines is somewhat more expensive but the result is a
product that meets emission standards without compromising in-use
performance or ease of installation.
[[Page 59125]]
(b) Fuel Tank Permeation
Blow-molding is widely used for the manufacture of Small SI,
portable marine, and PWC fuel tanks. Typically, blow-molding is
performed by creating a hollow tube, known as a parison, by pushing
high-density polyethylene (HDPE) through an extruder with a screw. The
parison is then pinched in a mold and inflated with an inert gas. In
highway applications, low-permeation plastic fuel tanks are produced by
blow molding a layer of ethylene vinyl alcohol (EVOH) or nylon between
two layers of polyethylene. This process is called coextrusion and
requires at least five layers: The barrier layer, adhesive layers on
either side of the barrier layer, and two outside layers of HDPE that
make up most of the thickness of the fuel tank walls. However, multi-
layer construction requires additional extruder screws, which
significantly increases the cost of the blow-molding process. One
manufacturer has developed a two-layer barrier approach using a
polyarylamide inner liner. This technology is not in production yet but
appears to be capable of permeation levels similar to the traditional
EVOH barrier designs. This approach will enable blow-molding of low-
permeation fuel tanks with only one additional extruder screw.
Multi-layer fuel tanks can also be formed using injection molding.
In this method a low-viscosity polymer is forced into a thin mold to
create the two sides of the fuel tank (e.g., top and bottom), which are
then fused together. To add a barrier layer, a thin sheet of the
barrier material is placed inside the mold before injecting the
poleythylene. The polyethylene, which generally has a much lower
melting point than the barrier material, bonds with the barrier
material to create a shell with an inner liner.
A less expensive alternative to coextrusion is to blend a low-
permeation resin with the HDPE and extrude it with a single screw to
create barrier platelets. The trade name typically used for this
permeation control strategy is Selar. The low-permeability resin,
typically EVOH or nylon, creates noncontinuous platelets in the HDPE
fuel tank to reduce permeation by creating long, tortuous pathways that
the hydrocarbon molecules must navigate to escape through the fuel tank
walls. Although the barrier is not continuous, this strategy can still
achieve greater than a 90 percent reduction in permeation of gasoline.
EVOH has much higher permeation resistance to alcohol than nylon so it
will likely be the preferred material for meeting the new standard
based on testing with a 10 percent ethanol fuel.
Many fuel tanks for Small SI equipment are injection-molded out of
either HDPE or nylon. Injection-molding can be used with lower
production volumes than blow-molding due to lower tooling costs. In
this method, a low-viscosity polymer is forced into a thin mold to
create the two sides of the fuel tank; these are then fused together
using vibration, hot plate or sonic welding. A strategy such as Selar
has not been demonstrated to work with injection-molding due to high
shear forces.
An alternative to injection-molding is thermoforming, which is also
cost-effective for lower production volumes. In this process, sheet
material is heated and then drawn into two vacuum dies. The two halves
are then fused while the plastic is still molten to form the fuel tank.
Low-permeation fuel tanks can be constructed using this process by
using multi-layer sheet material. This multi-layer sheet material can
be extruded using materials similar to those used with multi-layer
blow-molded fuel tank designs. A typical barrier construction includes
a thin EVOH barrier, adhesion layers on both sides, a layer of HDPE
regrind, and outside layers of pure virgin HDPE.
Regardless of the molding process, another type of low-permeation
technology for HDPE fuel tanks will be to treat the surfaces with a
barrier layer. Two ways of achieving this are known as fluorination and
sulfonation. The fluorination process causes a chemical reaction where
exposed hydrogen atoms are replaced by larger fluorine atoms, which
creates a barrier on the surface of the fuel tank. In this process,
batches of fuel tanks are generally processed post-production by
stacking them in a steel container. The container is then voided of air
and flooded with fluorine gas. By pulling a vacuum in the container,
the fluorine gas is forced into every crevice in the fuel tanks.
Fluorinating with this process treats both the inside and outside
surfaces of the fuel tank, thereby improving the reliability and
durability of the permeation-resistance. As an alternative, blow-molded
fuel tanks can be fluorinated during production by exposing the inside
surface of the fuel tank to fluorine during the molding process.
However, this method may not prove as effective as post-production
fluorination.
Sulfonation is another surface treatment technology where sulfur
trioxide is used to create the barrier by reacting with the exposed
polyethylene to form sulfonic acid groups on the surface. Current
practices for sulfonation are to place fuel tanks on a small assembly
line and expose the inner surfaces to sulfur trioxide, then rinse with
a neutralizing agent. However, sulfonation can also be performed using
a batch method. Either of these sulfonation processes can be used to
reduce gasoline permeation by more than 95 percent.
A fourth method for molding plastic fuel tanks is called rotation-
molding. Rotation-molding is a lower-cost alternative for smaller
production volumes. In this method, a mold is filled with a powder form
of polyethylene with a catalyst material. While the mold is rotated in
an oven, the heat melts the plastic. When cross-link polyethylene
(XLPE) is used, this heat activates a catalyst in the plastic, which
causes a strong cross-link material structure to form. This method is
often used for relatively large fuel tanks in Small SI equipment and
for installed marine fuel tanks. The advantages of this method are low
tooling costs, which allows for smaller production volumes, and
increased strength and flame resistance. Flame resistance is especially
important for installed marine fuel tanks subject to 33 CFR part 183.
At this time, the barrier treatment approaches discussed above for HDPE
have not been demonstrated to be effective for XLPE.
We have evaluated two permeation control approaches for rotation-
molded fuel tanks. The first is to form an inner layer during the
molding process. Historically, the primary approach for this is to use
a drop box that opens after the XLPE tank begins to form. However,
processes have been developed that eliminate the need for a drop box.
With this construction a low-permeation inner liner can be molded into
the fuel tank. Manufacturers are currently developing acetyl copolymer,
nylon, and polybutylene terephthalate inner liners for this
application. In fact, one fuel tank manufacturer is already selling
tanks with a nylon inner liner into Class II Small SI equipment
applications. Initial testing suggests that these barrier layers could
be used to achieve the new standards.
The second approach to creating a barrier layer on XLPE rotation-
molded fuel tanks is to use an epoxy barrier coating. One manufacturer
has demonstrated that a low-permeation barrier coating can adhere to an
XLPE fuel tank resulting in a permeation rate below the new standard.
In this case, the manufacturer used a low level of fluorination to
increase the surface energy of the XLPE so the epoxy will adhere
properly.
[[Page 59126]]
Marine fuel tanks are sometimes also fabricated out of either metal
or fiberglass. Metal does not permeate so tanks that are constructed
and installed properly to prevent corrosion should meet the new
standards throughout their full service life. For fiberglass fuel
tanks, one manufacturer has developed a composite that has been
demonstrated to meet the new fuel tank permeation standard. Permeation
control is achieved by incorporating fillers into a resin system and
coating the assembled tank interior and exterior. This filler is made
up of nanocomposites (very small particles of treated volcanic ash)
which are dispersed into a carrier matrix. These particles act like the
barrier platelets discussed above by creating a tortuous pathway for
hydrocarbon migration through the walls of the fuel tank.
(c) Diurnal
Portable marine fuel tanks are currently equipped with a valve that
can be closed by the user when the tank is stored to contain vapor
within the fuel tank. These fuel tanks are designed to hold the
pressure that builds up when a sealed fuel tank undergoes normal daily
warming. This valve must be opened when the engine is operating to
prevent a vacuum from forming in the fuel tank as the fuel level in the
tank decreases. A vacuum in the fuel tank could prevent fuel from being
drawn into the engine. Because the valve is user-controlled, any
emission control is dependent on user behavior. This can be corrected
by replacing the user-controlled valve with a simple one-way valve in
the fuel cap. For instance, a diaphragm valve that is common in many
automotive applications seals when under positive pressure but opens at
low-vacuum conditions.
Personal watercraft currently use sealed systems with pressure-
relief valves that start venting vapors when pressures reach a
threshold that ranges from 0.5 to 4.0 psi. We believe the new standard
can be met through the use of a sealed fuel system with a 1.0 psi
pressure-relief valve. Personal watercraft should therefore be able to
meet the new standard with little or no change to current designs.
For other vessels with installed fuel tanks, manufacturers have
commented that even 1.0 psi of pressure would be too high for their
applications.\115\ They expressed concern that their fuel tanks had
large, flat surfaces that would deform or leak at pressures of 0.5 psi
or higher. This concern led us to consider several technologies for
controlling diurnal emissions without pressurizing the tank, including
carbon canisters, volume-compensating air bags, and bladder fuel tanks.
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\115\ U.S. Coast Guard regulations in 33 CFR 183.586 require
that marine fuel tanks must be designed to withstand 25,000 pressure
cycles from 0-3 psi. Even though marine fuel tanks typically can
withstand this pressure cycling without damage to the tank, the
tanks tend to deform significantly when under pressure.
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The primary evaporative emission control device used in automotive
applications is a carbon canister. With this technology, vapor
generated in the tank is vented to a canister containing activated
carbon. The fuel tank must be sealed such that the only venting that
occurs is through the carbon canister. This prevents more than a
minimal amount of positive or negative pressure in the tank. The
activated carbon collects and stores the hydrocarbons. The activated
carbon bed in automotive canisters is refreshed by drawing air over the
carbon to purge the hydrocarbon vapors and route them to the engine's
air intake where they are eventually burned as fuel for the engine.
In a marine application, routing purged vapors to the engine's
intake is not practical because of the potential complications with the
engine and tank created by the variety of manufacturers and engine/tank
configurations in the fleet each year. Therefore, canisters were not
originally considered to be a practical technology for controlling
diurnal vapor from boats. Since that time, however, we have collected
information showing that the canister is purged sufficiently during
cooling periods to substantially reduce diurnal emissions. When the
fuel in the tank cools, fresh air is drawn back through the canister
into the fuel tank. This fresh air partially purges the canister and
returns hydrocarbons to the fuel tank. This creates open sites in the
carbon so the canister can again collect vapor during the next heating
event. Test data presented in Chapter 5 of the Final RIA show that a
canister starting from empty is more than 90 percent effective until it
reaches the point of saturation. Once it reaches saturation, a canister
is still capable of reducing diurnal emissions by more than 60 percent
due to the normal airflow across the canister bed during cooling
periods. Adding active purging to route vapors to the engine's air
intake during engine operation would improve the level of control
somewhat, depending on how often the engine is operated.
Manufacturers have raised the concern that it is common for fuel to
pass out the vent line during refueling. If there were a canister in
the vent line it would become saturated with fuel. While this would not
likely cause permanent damage to the canister, we believe marine fuel
systems should prevent liquid fuel from exiting the vent line for both
environmental and safety reasons. A float valve or small orifice in the
entrance to the vent line from the fuel tank would prevent liquid fuel
from reaching the canister or escaping from the tank. Any pressure
build-up from such a valve would cause fuel to back up the fill neck
and shut off the fuel dispensing nozzle as it now does in automotive
applications. In addition, a vapor space should be included to account
for fuel expansion. Manufacturers have also expressed concerns for
canister durability in marine applications due to vibration, shock, and
humidity. However, there are now marine grades of activated carbon that
are harder and more moisture-resistant than typical automotive carbon.
Manufacturers installed canisters equipped with the marine grade carbon
on 14 boats in a pilot program and encountered no problems. This is
discussed in more detail in Chapter 5 of the Final RIA.
Another concept for minimizing pressure in a sealed fuel tank is
through the use of a volume-compensating air bag. The purpose of the
bag is to fill up the vapor space above the liquid fuel. By minimizing
the vapor space, the equilibrium concentration of fuel vapors occupies
a smaller volume, resulting in a smaller mass of vapors. As the
equilibrium vapor concentration increases with increasing temperature,
the vapor space expands, which forces air out of the bag through the
vent to atmosphere. Because the bag volume decreases to compensate for
the expanding vapor space, total pressure inside the fuel tank stays
very close to atmospheric pressure. Once the fuel tank cools in
response to cooling ambient temperatures the resulting vacuum in the
fuel tank would make the bag expand again by drawing air from the
surrounding environment. Our test results show that pressure could be
kept below 0.8 psi using a bag with a capacity equal to 25 percent of
the fuel tank capacity. The use of a volume-compensating air bag, in
conjunction with a pressure-relief valve, would be very effective in
controlling diurnal emissions.
Probably the most effective technology for reducing diurnal
emissions from marine fuel tanks is through the use of a collapsible
fuel bladder. In this concept, a low-permeation bladder is installed in
the fuel tank to hold the fuel. As fuel is drawn from the bladder the
vacuum created collapses the bladder. There is, therefore, no vapor
space and no
[[Page 59127]]
pressure build-up from fuel heating. No vapors would be vented to the
atmosphere since the bladder is sealed. This option could also
eliminate running loss emissions and significantly reduce emissions
during refueling that would normally result from dispensed fuel
displacing vapor in the fuel tank. We have received comments that this
would be cost-prohibitive because it could increase costs from 30 to
100 percent, depending on tank size. However, bladder fuel tanks have
safety advantages and they are already sold by at least one
manufacturer to meet market demand in niche applications.
(d) Running Loss
Running loss emissions can be controlled by sealing the fuel cap
and routing vapors from the fuel tank to the engine intake. In doing
so, vapors generated by heat from the engine will be burned in the
engine's combustion chamber. It may be necessary to use a valve or
limited-flow orifice in the purge line to prevent too much fuel vapor
from reaching the engine and to prevent liquid fuel from entering the
line if the equipment turns over. Depending on the configuration of the
fuel system and purge line, a one-way valve in the fuel cap may be
desired to prevent a vacuum in the fuel tank during engine operation.
We anticipate that a system like this will eliminate running loss
emissions. However, higher temperatures during operation and the
additional length of vapor line will slightly increase permeation.
Considering these effects, we still believe that the system described
here will reduce running losses from Small SI equipment by more than 90
percent.
We are not adopting requirements to control running loss emissions
from marine vessels. For portable marine fuel tanks and fuel tanks
installed in vessels other than personal watercraft we expect the
significant distance from the engine and the cooling effect of
operating the vessel in water to prevent significant heating of the
fuel tanks during engine operation. For personal watercraft, fuel tanks
have a sealed system with pressure relief that should help contain
running loss emissions. For other installed fuel tanks, we expect the
system for controlling diurnal emissions will capture about half of any
running losses that would occur.
(e) Diffusion
A secondary benefit of the running loss control described above for
Small SI equipment relates to diffusion emissions. In a system that
vents running loss vapors to the engine, venting vapors will be routed
through the vapor line to the engine intake, rather than through open
vents in the fuel cap. This approach should therefore eliminate
diffusion emissions.
In the case of marine vessels, diffusion emissions are generally
minimal due to long vent lines on the fuel tanks or the use of sealed
fuel tanks. Further, the addition of diurnal emission controls will
effectively control diffusion emissions.
(4) Regulatory Alternatives
We considered both less and more stringent evaporative emission
control alternatives for fuel systems used in Small SI equipment and
Marine SI vessels. Chapter 11 of the Final RIA presents details on this
analysis of regulatory alternatives. The results of this analysis are
summarized below. We believe the new permeation standards are
reflective of available technology and represent a step change in
emission performance. Therefore, we consider the same permeation
control scenario in the less stringent and more stringent regulatory
alternatives.
For Small SI equipment, we considered a less stringent alternative
without running loss emission standards for Small SI engines. However,
we believe controlling running loss emissions from nonhandheld
equipment is feasible at a relatively low cost. Running loss emissions
can be controlled by sealing the fuel cap and routing vapors from the
fuel tank to the engine intake. Not requiring these controls is
inconsistent with section 213 of the Clean Air Act. For a more
stringent alternative, we considered applying a diurnal emission
standard for all Small SI equipment. We believe passively purging
carbon canisters could reduce diurnal emissions by 50 to 60 percent
from Small SI equipment. However, we believe there would be significant
costs to add carbon canisters to all Small SI equipment nationwide,
especially when taking packaging and vibration into account. The cost
sensitivity is especially noteworthy given the relatively low emissions
levels (on a per-equipment basis) from such small fuel tanks.
For marine vessels, we considered a less stringent alternative,
where there would be no diurnal emission standard for vessels with
installed fuel tanks. However, installed fuel tanks on marine vessels
have much higher capacities than those used in Small SI applications.
Our analysis indicates that carbon canisters are feasible for boats at
relatively low cost. While packaging and vibration are also issues with
marine applications, we believe these issues have been addressed.
Manufacturers installed carbon canisters in fourteen boats in a pilot
program. The results demonstrated the feasibility of this technology.
The new standards are achievable through engineering design-based
certification with canisters that are much smaller than the fuel tanks.
In addition, sealed systems, with pressure-control strategies will be
accepted under the provisions for design-based certification. For a
more stringent scenario, we considered a standard that would require
boat builders to use an actively purged carbon canister. This means
that the engine would draw air through the canister during operation to
purge the canister of stored hydrocarbons. However, we rejected this
option because marine engines operate too infrequently to consistently
purge the canister to allow for increased storage of further vapor
loading from the fuel tank. The gain in overall efficiency would be
quite small relative to the complexity of integrating engine purge
strategies and hardware into a vessel-based control strategy. The
additional benefit of an actively purged diurnal control system is
small in comparison to its cost and complexity.
(5) Our Conclusions
We believe the new evaporative emission standards reflect what
manufacturers can achieve through the application of available
technology. We believe the lead time is necessary and adequate for fuel
tank manufacturers, fuel line manufacturers, engine manufacturers,
equipment manufacturers, and boat builders to select, design, and
produce evaporative emission control strategies that will work best for
their product lines. We expect that meeting these requirements will
pose a challenge, but one that is feasible when taking into
consideration the availability and cost of technology, lead time,
noise, energy, and safety. The role of these factors is presented in
detail in Chapters 5 and 6 of the Final RIA. As discussed in Section
VII, we do not believe the new standards will have negative effects on
energy, noise, or safety and may lead to some positive effects.
VII. Energy, Noise, and Safety
Section 213 of the Clean Air Act directs us to consider the
potential impacts on safety, noise, and energy when establishing the
feasibility of emission standards for nonroad engines. Furthermore,
section 205 of EPA's 2006 Appropriations Act requires us to assess
potential safety issues, including the risk of fire and burn to
consumers in use, associated with the new emission
[[Page 59128]]
standards for nonroad spark-ignition engines below 50 horsepower.\116\
As detailed in the following sections, we expect that the new exhaust
and evaporative emission standards will either have no adverse affect
on safety, noise, and energy or will improve certain aspects of these
important characteristics. A more in-depth discussion of these topics
relative to the new exhaust and evaporative emission standards is
contained in Chapters 4 and 5 of the Final RIA, respectively. Also, our
conclusions relative to safety are fully documented in our
comprehensive safety study which is discussed in the next section.
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\116\ Department of the Interior, Environment, and Related
Agencies Appropriations Act, 2006, Pub. L. No. 109-54, Title II,
sec. 205, 119 Stat. 499, 532 (August 2, 2005).
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A. Safety
We conducted a comprehensive, multi-year safety study of spark-
ignition engines that focused on the four areas where we are adopting
new emission standards.\117\ These areas are:
---------------------------------------------------------------------------
\117\ ``EPA Technical Study on the Safety of Emission Controls
for Nonroad Spark-Ignition Engines < 50 Horsepower,'' Office of
Transportation and Air Quality, U.S. Environmental Protection
Agency, Washington, DC, EPA420-R-06-006, March 2006. This document
is available in Docket EPA-HQ-OAR-2004-0008. This report was also
subject to peer review, as described in a peer review report that is
also available in the docket.
---------------------------------------------------------------------------
New catalyst-based HC+NOX exhaust emission
standards for Class I and Class II nonhandheld spark-ignition engines;
New fuel evaporative emission standards for nonhandheld
and handheld equipment;
New HC+NOX exhaust emission standards for
outboard and personal watercraft engines and vessels, and a new CO
exhaust emission standard for nonhandheld engines used in marine
auxiliary applications; and
New fuel evaporative emission standards for outboard and
personal watercraft engines and vessels.
Each of these four areas is discussed in greater detail in the next
sections.
(1) Exhaust Emission Standards for Small Spark-Ignition Engines
The technology approaches that we assessed for achieving the new
Small SI engine standards included exhaust catalyst aftertreatment and
improvements to engine and fuel system designs. In addition to our own
testing and development effort, we also met with engine and equipment
manufacturers to better understand their designs and technology and to
determine the state of technological progress beyond EPA's Phase 2
emission standards.
The scope of our safety study included Class I and Class II engine
systems that are used in residential walk-behind and ride-on lawn mower
applications, respectively. Residential lawn mower equipment was chosen
for the following reasons.
Lawn mowers and the closely-related category of lawn
tractors overwhelmingly represent the largest categories of equipment
using Class I and Class II engines.
Consumer Product Safety Commission (CPSC) data indicate
that more thermal burn injuries are associated with lawn mowers than
occur with other nonhandheld equipment; lawn mowers therefore represent
the largest thermal burn risk for these classes of engines.
General findings regarding advanced emission control
technologies for residential lawn and garden equipment carry over to
commercial lawn and turf care equipment as well as to other nonhandheld
equipment using Class I and Class II engines.
We conducted the technical study of the incremental risk on several
fronts. First, working with CPSC, we evaluated their reports and
databases and other outside sources to identify those in-use situations
which create fire and burn risk for consumers. The outside sources
included meetings, workshops, and discussions with engine and equipment
manufacturers. From this information, we identified ten scenarios for
evaluation that covered a comprehensive variety of in-use conditions or
circumstances which potentially could lead to an increased risk in
burns or fires.
Second, we conducted extensive laboratory and field testing of both
current technology (Phase 2) and prototype catalyst-equipped advanced-
technology engines and equipment (Phase 3) to assess the emission
control performance and thermal characteristics of the engines and
equipment. This testing included a comparison of exhaust system,
engine, and equipment surface temperatures using still and full motion
video thermal imaging equipment.
Third, we conducted a design and process Failure Mode and Effects
Analyses (FMEA) comparing current Phase 2 and Phase 3 compliant engines
and equipment to evaluate incremental changes in risk probability as a
way of evaluating the incremental risk of upgrading Phase 2 engines to
meet Phase 3 emission standards.\118\ This is an engineering analysis
tool to help engineers and other professional staff to identify and
manage risk. In an FMEA, potential failure modes, causes of failure,
and failure effects are identified and a resulting risk probability is
calculated from these results. This risk probability is used by the
FMEA team to rank problems for potential action to reduce or eliminate
the causal factors. Identifying these causal factors is important
because they are the elements that a manufacturer can consider to
reduce the adverse effects that might result from a particular failure
mode.
---------------------------------------------------------------------------
\118\ ``EPA Technical Study on the Safety of Emission Controls
for Nonroad Spark-Ignition Engines < 50 Horsepower,'' Office of
Transportation and Air Quality, U.S. Environmental Protection
Agency, Washington, DC, EPA420-R-06-006, March 2006. This document
is available in Docket EPA-HQ-OAR-2004-0008.
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Our technical work and subsequent analysis of all the data and
information strongly indicate that effective catalyst-based standards
can be implemented without an incremental increase in the risk of fire
or burn to the consumer either during or after using the equipment.
Similarly, we did not find any increase in the risk of fire during
refueling or in storage near typical combustible materials. For
example, our testing program demonstrated that properly designed
catalyst-mufflers could, in some cases, actually result in systems that
were significantly cooler than many current original equipment
mufflers. A number of design elements appear useful to properly
managing heat loads including: (1) The use of catalyst designs that
minimize CO oxidation through careful selection of catalyst size,
washcoat composition, and precious metal loading; (2) positioning the
catalyst within the cooling air flow of the engine fan or redirecting
some cooling air over the catalyst area with a steel shroud; (3)
redirecting exhaust flow through multiple chambers or baffles within
the catalyst-muffler; and (4) larger catalyst-muffler volumes than the
original equipment muffler.
(2) Fuel Evaporative Emission Standards for Nonhandheld and Handheld
Engines and Equipment
We reviewed the fuel line and fuel tank characteristics for
nonhandheld and handheld equipment and evaluated control technology
which could be used to reduce evaporative emissions from these two
subcategories. The available technology is capable of achieving
reductions in fuel tank and fuel line permeation without an adverse
incremental impact on safety. For fuel lines and fuel tanks, the
applicable consensus safety standards, manufacturer specific test
procedures and EPA requirements are sufficient to
[[Page 59129]]
ensure that there will be no increase in the types of fuel leaks that
lead to fire and burn risk during in-use operation. Instead, these
standards will reduce vapor emissions both during operation and in
storage. That reduction, coupled with some expected equipment redesign,
is expected to lead to reductions in the risk of fire or burn without
affecting component durability.
The Failure Mode and Effects Analyses, which was described in the
previous section, also evaluated permeation and running loss controls
on nonhandheld engines. We found that these controls will not increase
the probability of fire and burn risk from those expected with current
fuel systems, but could in fact lead to directionally improved systems
from a safety perspective. Finally, the running loss control program
being promulgated for nonhandheld equipment will lead to changes that
are expected to reduce risk of fire during in-use operation. Moving
fuel tanks away from heat sources, improving cap designs to limit
leakage on tip over, and requiring a tethered cap will all help to
eliminate conditions which lead to in-use problems related to fuel
leaks and spillage. Therefore, we believe the application of emission
control technology to reduce evaporative emissions from these fuel
lines and fuel tanks will not lead to an increase in incremental risk
of fires or burns and in some cases is likely to at least directionally
reduce such risks.
(3) Exhaust Emission Standards for Outboard and Personal Watercraft
Marine Engines and Vessels and Marine Auxiliary Engines
Our analysis of exhaust emission standards for OB/PWC engines and
marine auxiliary engines found that the U.S. Coast Guard (USCG) has
comprehensive safety standards that apply to engines and fuel systems
used in these vessels. Additionally, organizations such as the Society
of Automotive Engineers, Underwriters Laboratories, and the American
Boat and Yacht Council (ABYC) also have safety standards that apply in
this area. We also found that the four-stroke and two-stroke direct
injection engine technologies which are likely to be used to meet the
exhaust emission standards contemplated for OB/PWC engines are in
widespread use in the vessel fleet today. These more sophisticated
engine technologies are replacing the traditional two-stroke carbureted
engines. The four-stroke and two-stroke direct injection engines meet
applicable USCG and ABYC safety standards and future products will do
so as well. The new emission standards must be complementary to
existing safety standards and our analysis indicates that this will be
the case. There are no known safety issues with the advanced
technologies compared with two-stroke carbureted engines. The newer-
technology engines arguably provide safety benefits due to improved
engine reliability and range in-use. Based on the applicability of USCG
and ABYC safety standards and the good in-use experience with advanced-
technology engines in the current vessel fleet, we believe new emission
standards will not create an incremental increase in the risk of fire
or burn to the consumer.
(4) Fuel Evaporative Emission Standards for Outboard and Personal
Watercraft Engines and Vessels
We reviewed the fuel line and fuel tank characteristics for marine
vessels and evaluated control technology which could be used to reduce
evaporative emissions from boats. With regard to fuel lines, fuel
tanks, and diurnal controls, there are rigorous USCG, ABYC, United
Laboratories, and Society of Automotive Engineers standards which
manufacturers will continue to meet for fuel system components. All
these standards are designed to address the in-use performance of fuel
systems, with the goal of eliminating fuel leaks. The low-permeation
fuel lines and tanks needed to meet the Phase 3 requirements will need
to pass these standards and every indication is that they will
pass.\119\
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\119\ ``EPA Technical Study on the Safety of Emission Controls
for Nonroad Spark-Ignition Engines < 50 Horsepower,'' Office of
Transportation and Air Quality, U.S. Environmental Protection
Agency, Washington, DC, EPA420-R-06-006, March 2006. This document
is available in Docket EPA-HQ-OAR-2004-0008.
---------------------------------------------------------------------------
Furthermore, the EPA permeation certification requirements related
to emissions durability will add an additional layer of assurance. Low-
permeation fuel lines are used safely today in many marine vessels.
Low-permeation fuel tanks and diurnal emission controls have been
demonstrated in various applications for many years without an increase
in safety risk. Furthermore, a properly designed fuel system with fuel
tank and fuel line permeation controls and diurnal emission controls
will reduce the fuel vapor in the boat, thereby reducing the
opportunities for fuel related fires. In addition, using improved low-
permeation materials coupled with designs meeting USCG and ABYC
requirements should reduce the risk of fuel leaks into the vessel. We
believe the application of emission control technologies on marine
engines and vessels for meeting the new fuel evaporative emission
standards will not lead to an increase in incremental risk of fires or
burns, and in many cases may incrementally decrease safety risk in
certain situations.
B. Noise
As automotive technology demonstrates, achieving low emissions from
spark-ignition engines can correspond with greatly reduced noise
levels. Direct-injection two-stroke and four-stroke OB/PWC have been
reported to be much quieter than traditional carbureted two-stroke
engines. Catalysts in the exhaust act as mufflers which can reduce
noise. Additionally, adding a properly designed catalyst to the
existing muffler found on all Small SI engines can offer the
opportunity to incrementally reduce noise.
C. Energy
(1) Exhaust Emission Standards
Adopting new technologies for controlling fuel metering and air-
fuel mixing, particularly the conversion of some carbureted engines to
advanced fuel injection technologies, will lead to improvements in fuel
consumption. This is especially true for OB/PWC engines where we expect
the new standards to result in the replacement of old technology
carbureted two-stroke engines with more fuel-efficient technologies
such as two-stroke direct injection or four-stroke engines. Carbureted
crankcase-scavenged two-stroke engines are inefficient in that 25
percent or more of the fuel entering the engine may leave the engine
unburned. EPA estimates that conversion to more fuel efficient
recreational marine engines will save 61 million gallons of gasoline
per year in 2030. The conversion of some carbureted Small SI engines to
fuel injection technologies is also expected to improve fuel economy.
We estimate approximately 18 percent of the Class II engines will be
converted to fuel injection and that this will result in a fuel savings
of about 10 percent for each converted engine. This translates to a
fuel savings of about 56 million gallons of gasoline in 2030 when all
the Class II engines used in the U.S. will comply with the Phase 3
standards. By contrast, the use of catalyst-based control systems on
Small SI engines is not expected to change their fuel consumption
characteristics.
(2) Fuel Evaporative Emission Standards
We anticipate that the new fuel evaporative emission standards will
have a positive impact on energy. By capturing or preventing the loss
of fuel
[[Page 59130]]
due to evaporation, we estimate that the lifetime average fuel savings
will be about 1.6 gallons for an average piece of Small SI equipment
and 32 gallons for an average boat. This translates to a fuel savings
of about 41 million gallons for Small SI equipment and 30 million
gallons for Marine SI vessels in 2030 when most of the affected
equipment used in the U.S. will be expected to have evaporative
emission controls.
VIII. Requirements Affecting Other Engine and Vehicle Categories
We are making several regulatory changes that will affect other
engines, equipment, vehicles, and vessels in our nonroad and highway
programs. These changes are described in the following subsections. As
noted in these subsections, those changes that were not proposed are
being made in response to the comments we received.
A. State Preemption
Section 209(e) of the Clean Air Act prohibits states and their
political subdivisions from adopting or enforcing standards and other
requirements relating to the control of emissions from nonroad engines
or vehicles. Section 209(e) authorizes EPA to waive this preemption for
California for standards and other requirements for nonroad engines and
vehicles, excluding new engines that are smaller than 175 horsepower
used in farm or construction equipment or vehicles and new locomotives
or new engines used in locomotives. States other than California may
adopt and enforce standards identical to California standards
authorized by EPA.
EPA promulgated regulations implementing section 209(e) on July 20,
1994 (59 FR 36987). EPA subsequently promulgated revised regulations
implementing section 209(e) on December 30, 1997 (62 FR 67733). See 40
CFR part 85, subpart Q. As proposed, we are creating a new part 1074
that describes the federal preemption of state and local emission
requirements. This is being done as part of EPA's ongoing effort to
write its regulations in plain language format in subchapter U of title
40 of the CFR. The final regulations are based directly on the existing
regulations in 40 CFR part 85, subpart Q. With the exception of the
specific changes described in this section, we are not changing the
meaning of these regulations.
Pursuant to section 428 of the 2004 Consolidated Appropriations
Act, we are adding regulatory language to implement the legislative
restriction on states other than California adopting, after September
1, 2003, standards or other requirements applicable to spark-ignition
engines smaller than 50 horsepower. We are also adding, pursuant to
that legislation, criteria for EPA's consideration in authorizing
California to adopt and enforce standards applicable to such
engines.\120\
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\120\ See section 428 of the Appropriations Act for 2004.
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In addition, on July 12, 2002, the American Road and Transportation
Builders Association (ARTBA) petitioned EPA to amend EPA's rules
implementing section 209(e) of the Act.\121\ In particular, ARTBA
petitioned EPA to amend its regulations and interpretive rule regarding
preemption of state and local requirements ``that impose in-use and
operational controls or fleet-wide purchase, sale or use standards on
nonroad engines.'' \122\ ARTBA believes such controls should be
preempted.
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\121\ ``Petition to Amend Rules Implementing Clean Air Act
section 209(e),'' American Road and Transportation Builders
Association (ARTBA), July 12, 2002. Also, EPA received an additional
communication from ARTBA urging EPA to grant the petition after the
decision of the U.S. Supreme Court in EMA v. SCAQMD, 541 U.S. 246
(2004). See ``ARTBA Petition,'' L. Joseph, ARTBA, to D. Dickinson &
R. Doyle, EPA, April 30, 2004. These documents are available in
Docket EPA-HQ-OAR-2004-0008.
\122\ In 1994, EPA promulgated an interpretive rule at Appendix
A to subpart A of 40 CFR part 89. This interpretive rule was amended
as part of the rule promulgated on December 30, 1997 (62 FR 67733).
The appendix provides, among other things, that state restrictions
on the use and operation of nonroad engines are not preempted under
section 209.
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As we were already planning to revise the preemption provisions to
a certain extent in this rule, we determined that it was appropriate to
respond to ARTBA's petition in the context of this rule, and noticed
our review in the proposal for this rule, giving the public the ability
to respond to provide comments regarding ARTBA's petition. After
reviewing ARTBA's petition and the comments received regarding the
petition, EPA is not adopting the changes requested by ARTBA in its
petition. While EPA is in agreement with ARTBA regarding some of the
observations it makes in the petition regarding preemption of state
standards, particularly state fleet average standards, we believe the
current regulatory language is sufficient regarding preemption of such
standards. In addition, we believe that it would be inappropriate to
grant ARTBA's request that we amend the existing regulations to find
that restrictions on the use and operation of nonroad engines are
preempted under section 209(e) of the Act. For a full discussion and
response to ARTBA's petition and the comments we received on the
petition, please review ``Response to the Petition of American Road and
Transportation Builders Association to Amend Regulations Regarding the
Preemption of State Standards Regulating Emissions from Nonroad
Engines,'' which has been placed in the docket for this rulemaking.
B. Certification Fees
Under our current certification program, manufacturers pay a fee to
cover the costs associated with various certification and other
compliance activities associated with an EPA issued certificate of
conformity. These fees are based on the actual and/or projected cost to
EPA per emission family. We are establishing a new fees category for
certification related to the new evaporative emission standards.
Sections III and VI describe how the fees apply to sterndrive/inboard
marine engines and equipment and vessels subject to evaporative
emission standards since manufacturers are not currently required to
pay certification fees for these products.
In addition, as proposed, we are creating a new part 1027 in title
40 that incorporates the new and existing fee requirements under a
single part in the regulations. This is being done as part of EPA's
ongoing effort to write its regulations in plain language format in
subchapter U of title 40 of the CFR. The final regulations are based
directly on the existing regulations in 40 CFR part 85, subpart Y.
Aside from a variety of specific changes, moving this language to part
1027 is not intended to affect the substance of the existing fee
provisions. We are making the following adjustments and clarifications
to the existing regulations:
Establishing a new fees category for new evaporative
emission standards.
Eliminating one of the paths for applying for a reduced
fee. The existing regulations specify that applications covering fewer
than six vehicles or engines, each with an estimated retail sales price
below $75,000, shall receive a certificate for five vehicles or
engines. Holders of these certificates are required to submit an annual
model year reduced fee payment report adjusting the fees paid. We are
eliminating this pathway and the associated report, as they are complex
and have been rarely used.
Clarifying the obligation to make additional payment on a
reduced fee certificate if the actual final sales price is more than
the projected retail sales price for a reduced fee vehicle or engine.
As before, the final fee payment must also reflect the actual number of
vehicles.
Applying the calculated fee changes for later years, which
are based on the
[[Page 59131]]
Consumer Price Index and the total number of certificates, only after
the change in the fee's value since the last reported change has
reached $50. The fee change for the ``Other'' category for calendar
year 2005 to 2006 changed from $826 to $839 and for non-road
compression-ignition engines from $1822 to $1831. Under the final rule,
the fee will not change until such time as the fee increase will be
$50.00 or greater. This might not occur after one year, but after two
or more years the calculated increase in a fee based on the change in
the Consumer Price Index might be more than $50.00. The same applies if
the price goes up or down. For example, if the fee published in EPA
guidance for a category of engine was $1,000 in 2011 and the calculated
fee for 2012 is $990 and in 2013 is $1040, the fee in 2013 will remain
at $1,000 since the change from the 2011 fee is only $40. This will
minimize confusion related to changing fees where the calculated fee is
very close to that already established for the previous year. It will
also lessen paperwork and administrative burdens for manufacturers and
EPA in making adjustments for small fees changes for applications that
are completed around the change in a calendar year. The number of
certificates may go up or down in any given year, while the Consumer
Price Index will generally increase annually. As a result, this change
will be revenue-neutral or will perhaps slightly decrease overall
revenues.
Clarifying that all fee-related records need to be kept,
not just those related to the ``final reduced fee calculation and
adjustment.''
Adding www.Pay.gov or other methods specified in guidance
as acceptable alternative methods for payment and filing of fee forms.
Establishing a single deadline for all types of refunds:
Total, partial for reduced fees, and partial for corrections. In all
cases, refund requests must be received within six months of the end of
the model year. A common type of request is due to an error in the fee
amount paid as a result of changed fees for a new calendar year. We
frequently apply these overpayments to other pending certification
applications. This is less burdensome than applying for a simple
refund, both for EPA and for most manufacturers. Applications to apply
such refunds to other certification applications must also be received
within six months of the end of the model year of the original engine
family or test group.
Emphasizing with additional cross references that the same
reduced fee provisions that apply to Independent Commercial Importers
also apply to modification and test vehicle certificates under 40 CFR
85.1509 and 89.609: The number of vehicles covered is listed on the
certificate, a revision of the certificate must be applied for and
additional reduced fee payments made if additional vehicles are to be
covered, and the certificate must be revised to show the new total
number of vehicles to be covered.
We are making one additional change in the regulations based on
comments regarding the limits on fees that apply for locomotive and
marine diesel remanufacturing systems or kits. We are specifying that
certified remanufacturing systems or kits under these programs are
eligible for reduced fees based on the value of the remanufacturing
system or kit rather than the value of the whole locomotive or vessel.
This is analogous to existing provisions for fuel-conversion kits in
which the regulation specifies that the basis for evaluating the one-
percent threshold is the value of the kit alone. We are therefore
modifying the regulation to allow for reduced fees where the assessed
fee is more than one percent of the value of the remanufacturing system
or kit. This applies equally to locomotives and marine diesel engines,
which are now also subject to remanufacturing certification provisions.
C. Amendments to General Compliance Provisions in 40 CFR Part 1068
We have adopted final rules to apply the provisions of part 1068
for locomotives regulated under part 1033, nonroad diesel engines
regulated under 40 CFR part 1039, marine diesel engines regulated under
40 CFR part 1042, Large SI engines regulated under 40 CFR part 1048,
and recreational vehicles regulated under 40 CFR part 1051. In this
final rule we are applying these provisions for Small SI and Marine SI
engines, equipment, and vessels. Any changes we make to part 1068 will
apply equally for these other types of engines and vehicles.
The following paragraphs describe several amendments we are making
to part 1068, including several changes and clarifications subsequent
to the proposed rule. We summarize several of the most important
changes since the proposal in Section X.
(3) Partially Complete Engines
We proposed to revise our definition of ``engine'' to be clear that
it includes those engines that are only partially complete. We received
many comments regarding the impact of this clarification. The final
approach described in this subsection includes revisions from the
proposal to address these comments.
We are aware that in some cases manufacturers produce nonroad
engines by starting with a complete or partially complete engine from
another manufacturer and modify it as needed for the particular
application. This is especially common for Marine SI and Large SI
engines and equipment, but it may also occur for other types of nonroad
engines and equipment. We are aware that an interpretation of the
prohibited acts in Sec. 1068.101 would disallow this practice because
the original engine manufacturer is arguably selling an engine that is
not covered by a certificate of conformity even though emission
standards apply. We are also concerned that some manufacturers might
choose to exploit this ambiguity by importing partially complete
engines, contending that these are not subject to standards, where the
company receiving the shipment would assemble the engines and sell them
without going through the certification process. It would be very
difficult to monitor or enforce requirements with this kind of business
activity.
We are addressing this first by defining ``engine'' for the
purposes of the regulations (see Sec. 1068.30). To do this, we
differentiate between complete engines and partially complete engines,
both of which need to be covered by a valid certificate or an
exemption. An engine block becomes an ``engine'' subject to standards
when a crankshaft is installed. This represents a substantial step in
the manufacturing process. Selecting a later point in the assembly
process would only create the potential for loopholes for companies
wanting to sell products that fall just short of what it would take to
be subject to standards.
Partially complete engines include any engine that has not been
fully assembled or is not yet in its final configuration. This might
include short blocks that are shipped to another location for final
assembly. It might also include full assembled engines that will be
installed in all-terrain vehicles (which are subject to equipment-based
standards). Even though these engines are still subject to further
assembly or modification, they are subject to standards and
certification requirements and therefore may not be introduced into
U.S. commerce without an exemption. We are adopting provisions to
accommodate various assembly paths reflecting current business
practices. For example, we are specifying that manufacturers may ship
partially
[[Page 59132]]
complete engines between two of their facilities (see Sec. 1068.260).
We would require manufacturers to notify us that this practice is
occurring and get our approval, but they would not need to take any
additional steps.
We have greater concerns about ensuring that engines always reach
their certified configuration when engines are shipped from one company
to another, or anytime a company that is not a certificate holder is
introducing partially complete engines into U.S. commerce. To address
this, we are adopting detailed provisions in Sec. 1068.262. These
provisions clarify and expand on the provisions adopted earlier in
Sec. 1068.330 for imported engines. The original engine manufacturer
needs a written request from a secondary engine manufacturer who
already holds a valid certificate of conformity for the engine based on
its final configuration and application. The request from the secondary
engine manufacturer would also identify an engine family name. This
engine family name could be any valid family name for that engine model
and would not necessarily need to be the actual family name for that
engine in its final configuration. For example, a secondary engine
manufacturer might sell a single engine model into stationary, marine,
and industrial applications, each of which might have a different
engine family name. As long as there is a valid family name, the
original engine manufacturer could be confident that the secondary
engine manufacturer will be modifying the engine to be in a certified
configuration. The original engine manufacturer would apply a removable
label identifying their corporate name and stating that the engines are
exempt under these provisions for partially complete engines. The label
or the accompanying bill of lading would also name the secondary engine
manufacturer as the certificate-holder and identify the destination for
the engines being shipped. The labels may be applied to individual
engines or they may be applied to the packaging for engines that are
shipped together.
We are accommodating the need to start assembling products while
the application for certification is pending. We would treat these
shipments the same as we would treat early production for a
manufacturer building its own engine blocks, as described in Section
VIII.C.2.
There are also situations in which a secondary manufacturer would
build engines that will continue to be exempt after the point of final
assembly. For example, some engines may be intended only for export,
for national security, or for developmental or testing purposes. In
these cases where the secondary engine manufacturer is unable to
identify a valid family name, they would simply inform the original
manufacturer of the regulatory cite that allows them to produce
exempted engines. Note that this process is generally permitted only in
the case where the original engine manufacturer and the secondary
engine manufacturer are certificate holders, which means that they have
at least one certificate of conformity with EPA (even if that is for a
different type of engine).
The regulation includes language to clarify that the original
manufacturer is liable for shipment of properly labeled engines to a
manufacturer who has applied for or received a valid certificate of
conformity or who has an exemption for the engines being shipped. The
original engine manufacturer would be in violation if (1) the engines
and their labels are separated before reaching the secondary engine
manufacturer, (2) if the engines are shipped to the wrong destination,
or (3) if the secondary engine manufacturer does not in fact have the
certification or exemption in place as prescribed. We expect original
engine manufacturers to have a clear relationship with their associated
secondary engine manufacturers so they can readily verify the status of
any particular certification or exemption; due diligence on the part of
the original engine manufacturer should allow for a high degree of
confidence that all the applicable conditions are met.
Another situation involving partially complete engines involves the
engine block as a replacement part where, for example, the original
engine had major structural damage. In this case the engine
manufacturer will typically sell an engine block with piston,
crankshaft, and other internal components to allow the user to repower
with many of the components from the original engine. Under the new
definitions, these short blocks or three-quarter blocks are considered
new engines subject to emission standards. We have addressed this
situation in the regulations with the replacement engine provisions in
Sec. 1068.240. This may involve one of two basic situations. In cases
where the short block is no different than what is being produced for
complete, certified engines in the current model year, there is no need
for demonstrations or approval for an exemption from emission
standards. We are adding clarifying language that these partially
complete engines may be sold to repower failed engines without
restriction. We do, however, require that these engines be labeled to
prevent someone from circumventing the regulations by using these short
blocks to build new noncompliant engines. These labels would serve as a
preventive measure and make it easier for EPA inspectors to detect a
violation. In cases where the short block is from a previous model year
when less stringent emission standards apply, we would want to treat
this under the same replacement-engine provisions that apply to
complete engines. Section VIII.C.5 describes these provisions related
to replacement engines in greater detail.
We are also further clarifying the requirement for engine
manufacturers to sell engines in their certified configuration (see
Sec. 1068.260). The existing provisions in part 1068 describe how
manufacturers may use delegated assembly to arrange for equipment
manufacturers to separately source aftertreatment components for
engines that depend on aftertreatment to meet emission standards. We
are including language to clarify that we will consider an engine to be
in its certified configuration in certain circumstances even if
emission-related components are not assembled to the engine. This is
intended to reflect common practice that has developed over the years.
We are also clarifying that engines may be shipped without radiators or
other components that are unrelated to emission controls, and that we
may approve requests to ship engines without emission-related
components in some circumstances. This will generally be limited to
equipment-related components such as vehicle-speed sensors. We may
specify conditions that we determine are needed to ensure that shipping
the engine without such components will not result in the engine being
operated outside of its certified configuration.
(4) Provisions Related to Model Year and Date of Manufacture
We proposed definitions of ``model year'' and ``date of
manufacture'' in conjunction with our proposed definition of
``engine''. We received a number of comments regarding these
definitions. As a result of these comments, we are finalizing the
approach described below.
Until now, the regulations have not specified the point in the
assembly or procurement process that should serve as the basis for
establishing an engine's date of manufacture for purposes of deciding
which standards apply. For the large majority of engines, this is not
an issue, since total assembly time from start to finish is measured in
hours or
[[Page 59133]]
perhaps days. As a result, it is relatively uncommon for there to be
any uncertainty regarding an engine's date of manufacture.
Nevertheless, we have learned that there are widely diverging practices
for establishing an engine's date of manufacture in several special
situations, which means there is a different effective date of new
emission standards for different manufacturers. This is especially of
interest for larger engines, which are more likely to have longer
assembly times and to be assembled in multiple stages at different
facilities. We believe it is important to establish a clear requirement
in this regard to avoid ambiguity and different interpretations. A
consistent approach preserves a level playing field and may prevent
some manufacturers from manipulating their build dates to circumvent
the regulations.
We expected that the proposed definition of ``date of
manufacture,'' based on reaching a final, running configuration, was
the most straightforward and logical interpretation. The comments
received and the ensuing discussions made clear that this
interpretation was not universally held. The diversity of views
underscores the need for the regulations to establish a clear and
uniform requirement.
We recognize the concern that manufacturers need a high degree of
certainty regarding applicable emission standards when they initiate
assembly of an engine. Any number of variables in the production
process could affect how long it takes to finish building an engine. We
therefore believe it is most appropriate to match up the definitions
for ``date of manufacture'' and ``engine'' by specifying that an
engine's date of manufacture should be based on the date that the
crankshaft is installed in the engine. This provides manufacturers with
the control they need to determine which emission standards apply when
they start to build the engine.
We are aware that secondary engine manufacturers may have inventory
and assembly procedures that are not tied to the actual date of
crankshaft installation by the original engine manufacturer. We are
therefore specifying for this situation that the date of manufacture is
generally the date the secondary engine manufacturer receives shipment
of the partially complete engine. Alternatively, where the manufacturer
knows the date the crankshaft was actually installed in the engine and
receives the engine within 30 days of that date, it may use the actual
date of crankshaft installation as the date of manufacture. This puts
the secondary engine manufacturer in a similar position relative to
companies with sole responsibility for assembling complete engines,
without placing unreasonable expectations on secondary engine
manufacturers to know how engines were assembled by their supplier.
Some manufacturers may want to name a date of manufacture that is
later than we specify in the regulation. This may be for marketing
purposes, managing inventories of engine components, or for other
recordkeeping or product-development reasons. There is no risk of
manufacturers gaining an advantage of being subject to less stringent
standards by delaying the date of manufacture for an engine, so we
would have no objection to that. However, we limit the selection of
date of manufacture to a later point in the assembly process. Selecting
a date of manufacture after the end of the assembly process for an
engine would raise concerns about the risk for manipulating emission
credits for a given model year and about ensuring that engine assembly
and dates of manufacture are always within the production period
established for a given engine family, as described in the certificate
of conformity or the manufacturer's records. We see no legitimate
reason to select a date of manufacture after completing assembly for an
engine. Note that since the entire assembly process is complete within
no more than a few days for most engines, we would expect this
allowance to rarely affect the date of manufacture significantly.
This approach to defining ``date of manufacture'' addresses
manufacturers' concerns for knowing which standards apply to an engine,
but we are also concerned that manufacturers could ramp up production
of engine blocks with installed crankshafts as a method to delay
compliance with new emission standards. EPA regulations have always
included provisions describing limits on inventory and stockpiling
practices for nonroad equipment manufacturers. The regulations until
now do not clearly address issues related to stockpiling for engine
manufacturers. We agree with the suggestion from commenters that anti-
stockpiling provisions that are specific to engine manufacturers would
be appropriate. The Clean Air Act contemplates the need for such
provisions in section 202(b)(3), where there is direction for EPA to
consider establishing a definition of model year that prevents
stockpiling. At the same time, we received other comments related to
production periods and model year, leading us to adopt a collection of
related provisions in Sec. 1068.103.
The new text in Sec. 1068.103 includes three main provisions that
are already in place for motor vehicles and heavy-duty highway engines
in Sec. Sec. 85.2304 and 85.2305. First, we are clarifying that the
scope of a certificate of conformity may be limited to established
engine models, production periods, or production facilities. Any such
limits would be included in the manufacturer's application for
certification or in the certificate of conformity. Second, we are
defining the limits on selecting production periods for purposes of
establishing the model year. Third, we are clarifying that engine
manufacturers may start producing engines after they submit an
application for certification and before the certification is approved.
This includes provisions to address the manufacturers' responsibility
to ensure (1) that engines are not introduced into U.S. commerce until
the certification is approved; (2) that all engines are assembled
consistent with the certification, including any changes that may come
from the certification review process; and (3) that manufacturers make
these early-production engines available for production-line testing or
selective enforcement audits, as appropriate.
In addition, we are adding provisions to establish limits on
stockpiling for engine manufacturers. We are doing this by stating that
manufacturers must use their normal inventory and assembly processes
for initiating assembly of their engines. We include a clarifying
expectation that we would expect normal assembly processes to involve
no more than one week to complete engine assembly once the crankshaft
is installed. We understand that assembly processes in some special
cases are more complicated, and that engine manufacturers may be unable
to complete engine assembly in some cases based on delivery of certain
components or other extenuating factors. To put some boundaries on
these exceptional situations, the regulation specifies a presumption
that the engine manufacturer has violated the stockpiling prohibition
if engine assembly is complete more than 30 days after the end of the
model. This presumption date is 60 days after the end of the model year
for engines with per-cylinder displacement above 2.5 liters. This
generally distinguishes engines that may have relatively high sales
volumes (including heavy-duty highway engines) from bigger engines that
are sold in much lower sales volumes.
Note that the potential burden and disruption related to these
provisions is limited in two important ways. First, the
[[Page 59134]]
restrictions related to date of manufacture and model year in Sec.
1068.103(f) apply only when there is a change in emission standards for
the coming model year. We would still expect manufacturers to take this
approach in years when there is no change in emission standards, but
these requirements would not strictly apply. We are also including
hardship provisions to allow manufacturers to request approval to
extend the final assembly deadline for their engines if circumstances
outside their control prevent them from completing engine assembly in
time. We would approve such a request only if the manufacturer could
not have avoided the situation and took all possible steps to minimize
the extent of the delay.
(5) Restrictions on Naming Model Years Relative to Calendar Year
We proposed restrictions to naming model years for Small SI
engines. In response to the comments we received, we are finalizing
these restrictions for all engines subject to 40 CFR part 1068.
Exhaust emission standards apply based on the date of engine
assembly. We similarly require that equipment manufacturers use engines
meeting emission standards in the same model year as equipment based on
the equipment assembly date. For example, starting January 1, 2009, an
equipment manufacturer must generally use a 2009 model year engine.
However, we allow equipment manufacturers to deplete their normal
inventories of engines from the previous model year as long as there is
no stockpiling of those earlier engines. Note that this restriction
does not apply if emission standards are unchanged for the current
model year. We have found many instances where companies will import
new engines usually installed in equipment and claim that the engine
was built before emission standards took effect, even if the start date
for emission standards was several years earlier. We believe many of
these engines were in fact built later than the named model year, but
it is difficult to prove the date of manufacture, which then makes it
difficult to properly enforce these requirements. Now that emission
standards have been in place for most engines for several years, we
believe it is appropriate to implement a provision that prevents new
engines manufactured several years previously to be imported when more
recent emission standards have been adopted. This will prevent
companies from importing noncompliant products by inappropriately
declaring a manufacture date that precedes the point at which the
current standards started to apply. This also puts a time limit on our
existing provisions that allow for normal inventory management to use
the supply of engines from previous model years when there has been a
change in standards.
We are specifying that engines and equipment will be treated as
having a model year at most one year earlier than the calendar year in
which the importation occurs when there is a change in emission
standards (see Sec. 90.615 and Sec. 1068.360). This requirement will
start January 1, 2009 for Small SI engines and it will start
immediately when the final rule becomes effective for engines/equipment
subject to part 1068. For example, for new standards starting in the
2009 or earlier model years, beginning January 1, 2010, all imported
new engines will be considered to have a model year of 2009 or later
and will need to comply with new 2009 standards, regardless of the
actual build date of the engines or equipment. (Engines or equipment
will be considered new unless the importer demonstrates that the engine
or equipment had already been placed into service, as described below.)
This will allow a minimum of twelve months for manufactured engines to
be shipped to equipment manufacturers, installed in equipment and
imported into the United States. This time interval will be
substantially longer for most engines because the engine manufacturer's
model year typically ends well before the end of the calendar year.
Also, engines produced earlier in the model year will have that much
more time to be shipped, installed, and imported.
Manufacturers have expressed concern that the one-year limitation
on imported products may be too short since there are often delays
related to shipping, inventory, and perhaps most significantly,
unpredictable fluctuations in actual sales volumes. We do not believe
it is appropriate to maintain long-term inventories of these products
outside the United States for eventual importation when it is clear
ahead of time that the new standards are scheduled to take effect.
Companies may be able to import these products shortly after
manufacturing and keep their inventories in a U.S. distribution network
to avoid the situation of being unable to sell these products in the
United States.
In years where the standards do not change, this provision will
have no practical effect because, for example, a 2004 model year engine
meets the 2006 model year standards. We will treat such an engine as
compliant based on its 2004 emission label, any emission credit
calculations for the 2004 model year, and so on. These engines can
therefore be imported anytime until the end of the calendar year in
which new standards take effect.
We do not intend for these provisions to delay the introduction of
the new emission standards by one year. It is still a violation to
produce an engine in the 2011 calendar year and call it a 2010 model
year engine to avoid being subject to 2011 standards.
Importation of equipment that is not new is handled differently.
These products will not be required to be upgraded to meet new emission
standards that started to apply after the engine and equipment were
manufactured. However, to avoid the situation where companies simply
declare that they are importing used equipment to avoid new standards,
we are requiring that they provide clear and convincing evidence that
such engines have been placed into service prior to importation. Such
evidence will generally include documentary evidence of purchase and
maintenance history and visible wear that is consistent with the
reported manufacture date. Importing products for resale or importing
more than one engine or piece of equipment at a time will generally
call for closer evaluation to determine that this degree of evidence
has been met. Note that the regulations generally treat engines
converted to a different category as new engines, even if they have
already been placed into service. For example, if a motor vehicle is
modified such that it no longer fits under the definition of motor
vehicle, its engine generally becomes a new nonroad engine and is
subject to emission standards and other requirements based on its model
year as specified in the regulation.
(6) Liability for Causing Violations
In the last few years, there has been a surge in the number of
illegal nonroad engines, vehicles and equipment, such as tractors, lawn
mowers, generators and all-terrain vehicles, imported into the United
States. A significant number of the imported nonroad engines, vehicles
and equipment fail to meet EPA requirements and standards under the
Clean Air Act. The manufacturers of these illegal goods often are out
of the effective reach of United States jurisdiction and enforcement.
In 2007, the recall of lead-contaminated toys and more than 5,300
melamine-laced pet food products resulted in heightened interest in
what the U.S. government is doing to safeguard the health of its
[[Page 59135]]
citizens with regard to imported consumer products.
In July 2007, President Bush signed Executive Order 13439
establishing an Interagency Working Group on Import Safety. This
Working Group consists of over ten government agencies including EPA
and the Departments of Health and Human Services, Homeland Security,
State, Treasury, Justice, Agriculture, and Transportation. The wide
range of agencies involved in this Working Group illustrates the
breadth of import issues.
One of the recommendations of the Interagency Working Group on
Import Safety was to consider a strategic focus or initiative, using
existing statutory and regulatory authorities, and, based upon Agency
priorities, increase enforcement actions against foreign and domestic
manufacturers, as well as importers, brokers, distributors, and
retailers who introduce illegal goods into the stream of commerce. This
rulemaking will help clarify for all regulated parties, including
retailers, that liability for the importation of nonroad vehicles,
engines and equipment in violation of the Clean Air Act and/or its
implementing regulations extends beyond the manufacturer and direct
importer of the product.
We requested comments regarding revisions to Sec. 1068.101 to
clarify the types of actions for which EPA may pursue enforcement
proceedings. In this rule we are finalizing such clarifying provisions
in Sec. 1068.101. Section 203 of the Act states that performing
certain acts, ``and the causing thereof,'' constitutes a prohibited
act. We are adding a new paragraph (c) in Sec. 1068.101 to
specifically include this prohibition on the ``causing'' of any of the
prohibited acts listed in the statute and the regulations. Adding this
clarification will help people who are subject to the regulations to
more fully understand what actions are prohibited and may potentially
subject them to enforcement proceedings under the Act. The revisions
themselves do not add new enforcement authorities beyond what is
already specified in the statute.
Since we consider it a violation to cause someone to commit a
specified prohibited act, persons causing any such prohibited act would
also be subject to the full administrative and judicial enforcement
actions allowable under the Act and the regulations. The prohibition on
``causing'' a prohibited act would apply to all persons and would not
be limited to manufacturers or importers of regulated engines or
equipment.
EPA interprets the ``causation'' aspect of section 203 broadly. In
assessing whether a person has caused a prohibited act, EPA will
evaluate the totality of the circumstances. For example, in certain
circumstances EPA believes that a retailer may be responsible for
causing the importation of engines or equipment not covered by a valid
certificate of conformity or otherwise in violation of our regulations,
such as the emission labeling requirements. In addition to the
prohibitions that apply to manufacturers and importers under section
203, EPA will also consider many factors in assessing whether a
manufacturer, importer, retailer, distributor or other person has
caused a prohibited act. For example, contractual (or otherwise
established) business relationships of those persons involved in
producing and/or selling new engines and equipment could be evidence of
the ability of the person to cause a violation. In addition, we would
consider the particular efforts or influence of the alleged violator
contributing to, leading to, or resulting in the prohibited act. On the
other hand, we would also consider a person's efforts to prevent such a
violation as evidence that they did not cause the violation.
EPA will evaluate the entire circumstances in determining whether a
person caused another person to commit a prohibited act such as
importing engines or equipment in violation of our regulations.
To assist importers, distributors, retailers, and the general
public to determine whether the products they are buying or selling
comply with EPA regulations, EPA is expanding its compliance assistance
efforts. Imports compliance assistance information is available at
http://www.epa.gov/otaq/imports/index.htm and http://www.bordercenter.org/chem/vehicles.htm. Additionally, general
certification information may also be found at http://www.epa.gov/otaq/nonroad.
(7) Engine rebuilding and replacement engines
We are finalizing the proposed changes to Sec. 1068.240. In
addition, we are also making other changes to that section to address
manufacturers' concerns for producing short blocks from previous-tier
engines as replacement components for engines needing service in the
field. (See Section VIII.C.1 for additional discussion.) The current
provisions for the replacement-engine exemption in Sec. 1068.240
require that manufacturers take possession of the old engine (or
confirm that it has been destroyed) and take steps to confirm that the
exemption is needed for each new replacement engine. We acknowledge
that these requirements could limit the manufacturers' ability in some
cases to respond quickly for operators that would depend on minimizing
their downtime.
The most significant change being made in response to the
manufacturers comments is the allowance for limited use of partially
complete engines as replacement components without the administrative
requirements and oversight provisions that currently apply under Sec.
1068.240. We have created a streamlined approach for manufacturers to
produce and sell a certain number of replacement engines, including
partially complete engines, based on production volumes from preceding
years. We are adopting a threshold of 1.0 percent of annual production
through 2013 and 0.5 percent for 2014 and later. To calculate the
number of engines under this provision, manufacturers would first
determine their U.S.-directed production volumes of certified engines
each year. This information is generally submitted as part of the
reporting for production-line testing or in separate annual reports.
The manufacturer would consider the preceding three model years to
select the highest total production volume of certified engines across
all their models in a given year. Multiplying this production volume by
0.01 (or 0.005 starting in 2014) would give the number of engines that
the manufacturer could produce without triggering the administrative
requirements currently specified in Sec. 1068.240. (We may approve the
use of calculations based on earlier model years in unusual
circumstances, such as the case where a manufacturer opts out of a
broad category of engine production but continues to supply service
parts for those models.) These threshold values should allow
manufacturers the flexibility to meet the demand for partially complete
replacement engines, but at production levels that clearly will not
undermine the expected benefits of the emission standards that
otherwise apply to new engines. For any number of noncompliant
replacement engines exceeding the specified threshold, manufacturers
would need to meet all the requirements that currently apply under
Sec. 1068.240.
The engine grouping includes fairly broad aggregation of products
to keep similar engines together. For example, all outboard engines,
all snowmobiles, and all handheld engines would be counted together as
separate groups. Diesel engines are generally sold to distributors in a
configuration that
[[Page 59136]]
could be adapted for use in nonroad applications, either land-based or
marine, or in stationary applications. Engine manufacturers should
therefore aggregate their sales of these engines without regard to
their eventual deployment in any of these applications. However, we are
aware that the very wide range in sizes and sales volumes makes it
necessary to prevent aggregating large and small engines. Without this,
the high sales volumes associated with small engines could allow for
unlimited production of high-power replacement engines. Since it is not
possible to establish a power rating for a partially complete engine,
it is necessary instead to rely on engine displacement to differentiate
these products. The selected per-cylinder cutpoints reflect existing
regulatory requirements and production and marketing characteristics
related to current engine offerings. The situation is similar for
spark-ignition engines that may be used in stationary or nonroad
applications (including marine), except that there is a much less
pronounced range in engine sizes. The engine groupings for calculating
allowable numbers of engines under this approach are shown in Table
VIII.C-1.
We are also applying the replacement-engine exemption provisions to
heavy-duty highway engines. There have been no such exemption
provisions in the past; however, we are expecting engine technologies
to change significantly in the coming years such that vehicle owners
may be unable to replace engines that fail prematurely without being
able to access replacement engines that are specifically built to match
the earlier configuration. We believe these engines can be accounted
for separately from nonroad and stationary engines with respect to
production volumes, but we are otherwise applying all the provisions of
Sec. 1068.240 equally to heavy-duty highway engines.
Table VIII.C-1--Aggregating Sets for Streamlined Replacement-Engine
Provisions
------------------------------------------------------------------------
Standard-setting Engine
Engine category part subcategories
------------------------------------------------------------------------
Highway CI...................... 40 CFR part 86.... disp. < 0.6 L/cyl
0.6 <= disp. < 1.2
L/cyl
Nonroad CI, Stationary CI, and 40 CFR part 1039 disp. >= 1.2 L/cyl
Marine CI. or 40 CFR part disp. < 0.6 L/cyl
1042. 0.6 <= disp. < 1.2
L/cyl
1.2 <= disp. < 2.5
L/cyl
2.5 <= disp. < 7.0
L/cyl
Marine SI....................... 40 CFR part 1045.. outboard personal
watercraft.
Large SI, Stationary SI, and 40 CFR part 1048 all engines
Marine SI (sterndrive/inboard or 40 CFR part
only). 1045.
Recreational vehicles........... 40 CFR part 1051.. off-highway
motorcycle, all-
terrain vehicle,
snowmobile.
Small SI and Stationary SI...... 40 CFR part 1054.. handheld, Class I,
Class II.
------------------------------------------------------------------------
There are two special situations to note. First, the replacement-
engine provisions do not apply to locomotives, which have already been
established in previous rulemakings. Second, the provisions for a
streamlined approach for replacement engines do not apply for engines
with per-cylinder displacement over 7.0 liters. These are generally
very large, custom-built engines with low production volumes, so we
believe it is not necessary or appropriate for engine manufacturers to
maintain an inventory of these engines (complete or partially complete)
on the assumption that someone wanting a replacement engine could not
install an engine certified to emission standards for the current model
year.
We are making an additional change to the replacement-engine
exemption in Sec. 1068.240 to clarify what provisions apply for short
blocks from a currently certified engine family. These are considered
engines under the new regulatory definitions, so they need to be
covered by a certificate of conformity or an exemption. We are
specifying that short blocks from an engine model certified for the
current model year are exempt under the replacement-engine exemption.
These engines do not need an exemption based on their level of emission
control since they are identical to certified engines meeting current
standards. Rather, these engines need an exemption simply because they
are shipped before they reach a certified configuration. Final assembly
would typically be performed by the owner or a local service facility
rather than an equipment manufacturer. We are therefore applying no
conditions or restrictions on the sale of these replacement engines,
other than the need for being part of a certified engine family and
being labeled appropriately. The regulation specifies how to label the
engine blocks to ensure that they can be clearly identified as
replacement components. The regulation also clarifies that anyone
completing the assembly of such an engine in violation of applicable
requirements is a manufacturer who has committed a prohibited act. For
example, installing such an engine in a new piece of equipment would
violate the conditions of the replacement engine exemption and we may
hold responsible any parties involved in assembling or installing the
engine.
Simplified labeling requirements apply to current-tier short blocks
used as replacement engines and to previous-tier short blocks falling
under the streamlined approach for replacement engines described above.
The general expectation is that the final, assembled engines continue
to have a label describing their certification status (unless they were
built before emission standards started to apply). For engines in which
the certification label is on the short block or another component that
is part of the short-block assembly, we require that the short block
includes a permanent label identifying the name of the manufacturer,
the part number of the short-block assembly, and a short statement
describing this as a replacement engine. For engines in which the
certification label is mounted on the equipment or on a part of the
engine that will likely be preserved as part of the final assembly, we
require similar labeling except that the label does not need to be
permanent.
In addition, manufacturers have expressed a concern that the engine
rebuilding provisions in Sec. 1068.120 and the replacement engine
provisions in Sec. 1068.240 do not clearly address the situation in
which rebuilt engines are used to repower equipment where the engine
being replaced meets alternate emission standards (such as those
produced under the Transition Program for Equipment Manufacturers).
These
[[Page 59137]]
engines are not certified to the emission standards that otherwise
apply for the given model year, so there may be some confusion
regarding the appropriate way of applying these regulatory
requirements. We are therefore adopting clarifying language to make
sure the required statements on engine labels and the underlying
regulatory requirements reflect this scenario.
(8) Delegated Assembly
We understand that engine manufacturers have competing interests
both to maintain the ability to arrange flexible assembly procedures
and agreements, and to ensure that their engines are introduced into
commerce only after being assembled in the certified configuration. We
share those objectives and believe the regulations related to delegated
assembly serve the purpose of creating a framework for balancing these
different concerns. These regulatory provisions will help manufacturers
by defining practices that prevent a situation where competitiveness
concerns cause them to take steps to reduce costs at the risk of
producing noncompliant products.
We proposed special delegated assembly provisions for Small SI
engines, rather than applying the delegated assembly provisions of part
1068. In this final rule, however, we are consolidating the various
approaches for different types of engines and integrating them into a
single framework that will apply generally for heavy-duty highway
engines and for nonroad engines. The main difference between these
previously existing programs is the allowance for heavy-duty highway
engines to rely either on pricing engines and aftertreatment components
together or auditing vehicle manufacturers, but not necessarily both,
to ensure that installed engines are in a certified configuration.
While we are concerned about the incentive for vehicle and equipment
manufacturers to gain a financial advantage if aftertreatment
components are not priced together with the engine, we believe
requiring engine manufacturers to perform audits of vehicle or
equipment manufacturers is generally sufficient to provide the proper
assurances that engines are being properly assembled and installed.
Conversely, we believe that pricing aftertreatment and engines together
is a strong enough assurance of proper assembly and installation
procedures that audits are generally not necessary as an additional
oversight measure. We note that these provisions spell out a minimum
level of oversight for engine manufacturers. There may be instances,
such as a new relationship with a vehicle or equipment manufacturer or
some other reason to have less confidence in proper assembly
procedures, where the engine manufacturer would want or need to take
steps beyond what the regulations require to ensure that engines are
assembled properly.
We believe there is a strong advantage in implementing requirements
uniformly across all the engine programs, both for EPA and for
manufacturers. Aside from the pricing and auditing requirements
described above, we are making the following provisions part of the
final program, which were part of one or more of the programs adopted
earlier in parts 85 and 1068, :
Auditing rates are generally set at four equipment (or
vehicle) manufacturers per year, or enough to rotate through all the
equipment manufacturers over a four-year period, whichever is less. A
reduced rate may apply after several years of successful implementation
of these requirements.
We are continuing the approach already adopted to provide
for a streamlined demonstration for integrated manufacturers where the
auditing would effectively be an internal practice.
Engine manufacturers remain responsible for the in-use
compliance of engines sold using the delegated-assembly provisions.
This means, for example, that these engines would be subject to recall
if we find that there are a substantial number of nonconforming
engines.
In addition, we are including the following provisions in the
unified approach to delegated assembly that were initiated as part of
the proposal for Small SI engines:
Distributors may participate in delegated assembly, but
only to the extent that they act as equipment manufacturers, adding
aftertreatment devices before shipping the engines to vehicle or
equipment manufacturers. Allowing distributors to further delegate
engine assembly to another set of companies raises fundamental
questions about the ability of engine manufacturers to adequately
ensure proper final assembly of their engines. We are making a
temporary allowance for this for Small SI engines to accommodate the
transitional provisions allowing equipment manufacturers to gradually
work toward making Phase 3 products. Starting in 2015, Small SI
manufacturers may rely on distributors to act as their agents only with
our approval. Note that this restriction on distributors does not apply
in cases where the distributor has a financial or administrative role
in facilitating a transaction between engine and equipment
manufacturers where the engine and equipment manufacturers meet all the
requirements that apply under Sec. 1068.261(d).
If engine manufacturers design their air-intake systems
such that they depend on specific parts (identifiable by part number)
to achieve proper air flow through the engine, that raises concerns
that are similar to aftertreatment devices. In fact, we are currently
pursuing an enforcement case where an equipment manufacturer did not
follow the engine manufacturer's directions to use a specific air
filter. We are specifying that air filters identified by part number
must be included in delegated assembly, though we require audits
related to air filters only if audits are already occurring for exhaust
systems. If manufacturers specify intake air systems by performance
parameters such as maximum pressure drop across the air filter, the
delegated-assembly provisions do not apply. This is similar to the way
we have treated exhaust components for systems not requiring exhaust
aftertreatment. See Sec. 1068.260(a).
Vehicle or equipment manufacturers submitting annual
affidavits must include a count of aftertreatment devices received to
verify that there were enough of the right models of aftertreatment
devices for the number of engines involved.
Engines need to be labeled to identify their status as
delegated-assembly engines, either with a removable label or with
``Delegated Assembly'' noted on the engine's permanent label. This
ensures that engines will not be introduced into commerce without an
indication of their status relative to the certified configuration.
Engine manufacturers must confirm that vehicle or
equipment manufacturers have ordered aftertreatment devices
corresponding to an engine order, but this confirmation is limited to
the initial shipment of engines for a new certification and may occur
up to 30 days after the engines have been ordered.
For engines subject to requirements for production-line
testing or selective enforcement audits, we specify that aftertreatment
components must be randomly procured. We agree with the suggestion in
the comments to broaden the allowance for randomly procuring
components. As long as manufacturers use a method to randomly select
components that are appropriate for the particular engine
configuration, these
[[Page 59138]]
components may come from any point in the normal distribution chain.
Manufacturers raised a concern regarding the possibility that they
may inappropriately be paying Customs duties based on the value of
aftertreatment devices that were priced with the engine even though
they would be shipped separately. We have confirmed with the U.S.
Customs and Border Protection that such an inappropriate payment of
import duties can be avoided with documentation showing that the price
of the engine includes a charge for components that are not included in
that particular shipment. This also applies for importing
aftertreatment devices alone where the import duty should not apply
based on the value of the engine and aftertreatment together. This
could most easily be accomplished by itemizing the invoice to identify
the value of the missing components relative to the value of the rest
of the engine. The regulations now include these specific instructions
regarding invoicing with respect to import duties.
We understand that there may be companies complying with the
delegated assembly provisions in Sec. 85.1713 or Sec. 1068.260 today.
The changes included in this final rule generally expand the
flexibility of complying with regulatory requirements. These regulatory
changes generally apply immediately with the effective date of the
final rule. However, there may be some need to modify current practices
to conform to the revised regulation. If a manufacturer needs
additional time to comply, we would expect to use the provisions of
Sec. 1068.40 to work out an arrangement under which the manufacturer
would be able to make an orderly transition toward complying with the
new requirements.
(9) Miscellaneous Changes
The most noticeable change we are making to part 1068 is the
proposed clarification to the language throughout to make necessary
distinctions between engines, equipment, and fuel-system components--
and particularly between equipment using certified engines and
equipment that has been certified to meet equipment-based standards.
This becomes necessary because the evaporative emission standards apply
in some cases to equipment manufacturers and boat builders, while the
exhaust emission standards apply only to engine manufacturers. Some
provisions in part 1068 apply to equipment manufacturers differently if
they hold a certificate of conformity rather than merely installing
certified engines (or certified fuel-system components). The changes in
regulatory language are intended to help make those distinctions. See
Sec. 1068.2 for a description of the new terminology that we intend to
use throughout part 1068.
We previously adopted a definition of ``nonroad engine'' that
continues to apply today (see Sec. 1068.30). This definition
distinguishes between portable or transportable engines that may be
considered either nonroad or stationary, depending on the way they will
be used. The distinction between nonroad and stationary engines is most
often relevant for new engines in determining which emission standards
apply. However, we have received numerous questions related to
equipment whose usage has changed so that the original designation no
longer applies. The text of that original definition did not clearly
address these situations. We are therefore adopting the proposed
provisions that apply when an engine previously used in a nonroad
application is subsequently used in an application other than a nonroad
application, or when an engine previously used in a stationary
application is moved (see Sec. 1068.31). In response to comments, we
are also including language in the final rule to clarify that switching
between nonroad and stationary does not change the engine's model year
for purposes of establishing applicable standards. The engine would
need to meet applicable requirements for its new application (or
status), but this would not involve certifying the engine as new for
the current model year. Note that the purpose of these changes to
regulatory language is to clarify existing provisions rather than
change which requirements apply for specific situations.
We are adopting the proposed changes to the thresholds for
determining whether to investigate or report emission-related defects.
These changes are intended to more carefully reflect the level of
investigation and reporting that should apply for very high-volume
engine families. In particular, we specify that manufacturers should
investigate defects if potential (unscreened) emission-related defects
exceed 4 percent for sales volumes between 50,000 and 550,000, with a
threshold of 25,000 for all families with sales volumes above 550,000.
Similarly, we specify that manufacturers should send a report if
confirmed emission-related defects exceed 1 percent for sales volumes
between 50,000 and 550,000, with a threshold of 6,000 for all families
with sales volumes above 550,000.
Several of the new provisions in part 1068 address fundamental
issues for complying with emission standards. Defining ``engine'' and
``date of manufacture,'' clarifying the timing of the transition to new
model years, adding requirements for shipping partially complete
engines to secondary engine manufacturers, and creating a new path for
exempting replacement engines could lead manufacturers to make
significant changes in the way they comply with the regulations.
However, in many cases we would expect the new regulations to generally
reflect current business practices. We are therefore amending the
regulatory requirements to part 1068 without identifying a certain lead
time before the requirements apply. Instead, to address those
situations where manufacturers need time to make a transition toward
complying with new requirements, we are adding a general provision
allowing us to approve a manufacturer's request to delay implementation
of the new requirements in part 1068 for up to 12 months from the
effective date of the final rule (see Sec. 1068.40). The changes to
part 1068 have a legal effective date of December 8, 2008. We will
generally approve these requests if manufacturers can demonstrate that
it would be impractical to comply with the new requirements in the
given time frame. We may consider the potential for adverse
environmental impacts in our decision.
In addition, we proposed several amendments to part 1068 to clarify
various items. These are being finalized, including:
Sec. 1068.101(a)(1): Revising the prohibited act to
specify that engines must be ``covered by'' a certificate rather than
``having'' a certificate. The revised language is more descriptive and
consistent with the Clean Air Act.
Sec. 1068.101(a)(1)(i): Clarifying that engines or
equipment are considered to be uncertified if they are not in a
configuration that is included in the applicable certificate of
conformity. This applies even if the product had an emission label
stating that it complies with emission standards.
Sec. 1068.101(a)(2): Clarifying the prohibition on
recordkeeping to apply also to submission of records to the Agency.
Sec. 1068.101(b)(1): Clarifying the prohibition against
using engines in a way that renders emission controls inoperative to
emphasize that it includes misfueling or failing to use additives that
the manufacturer specifies as part of the engine's certified
configuration. This is more likely to
[[Page 59139]]
apply for compression-ignition engines than spark-ignition engines.
Sec. 1068.101(b)(7): Clarifying the prohibitions related
to warranty to require the submission of specified information in the
application for certification; adding language to identify obligations
related to recall and installation and maintenance instructions; and
preventing the manufacturer from communicating to users that warranty
coverage is conditioned on using authorized parts or service
facilities. These provisions are consistent with requirements that
apply in other EPA programs.
Sec. 1068.105(a): Revising the regulation to allow
equipment manufacturers to use up normal inventories of previous model
year engines only if it is a continuation of ongoing production with
existing inventories. These provisions do not apply for an equipment
manufacturer starting to produce a new equipment model.
Sec. 1068.105: Eliminating paragraph (b) related to using
highway certification for nonroad engines or equipment since these
provisions are spelled out specifically for each nonroad program where
appropriate.
Sec. 1068.105(b): Clarifying the requirement to follow
emission-related installation instructions to include installation
instructions from manufacturers that certify components to evaporative
emission standards.
Sec. 1068.120: Clarifying that the rebuilding provisions
apply to maintenance related to evaporative emissions.
Sec. 1068.240: Clarifying that the scope of the exemption
for new replacement engines is limited to certain engines.
Sec. 1068.250: Revising the applicability of the small-
business hardship provisions to address a situation where the standard-
setting part does not define criteria for establishing which companies
qualify as small-volume manufacturers; where we do not already specify
such criteria, we will rely on the criteria established by the Small
Business Administration.
Sec. 1068.250: Clarifying the timing related to hardship
approvals and the ability to get extensions under appropriate
circumstances.
Sec. 1068.305: Clarifying that that the requirement to
submit importation forms applies to all engines, not just nonconforming
engines; also adding a requirement to keep these records for five
years. Both of these changes are consistent with the Customs
regulations at 19 CFR 12.74.
Part 1068, Appendix I: Defining emission-related
components related to evaporative emission controls.
D. Amendments Related to Large SI Engines (40 CFR Part 1048)
We are making a variety of technical amendments to the regulations
in 40 CFR part 1048 for Large SI engines, as described in this section.
As described in Section V.E.1, we are establishing a provision to
allow for assigned deterioration factors for small-volume engine
families for Small SI engines. We requested comment on applying this
kind of provision to Large SI engines, for which manufacturers do more
extensive testing to demonstrate compliance over a useful life of 5,000
hours. We are therefore including in the final rule an allowance for
manufacturers to use an assigned deterioration factor for engine
families with U.S.-directed production volumes up to 300 units. This
should provide significant relief in the testing burden for certifying
very small engine families.
We are adopting the proposed changes to the provisions related to
competition engines to align with the final rule for Small SI engines.
Any Small SI engine that is produced under the competition exemption
will very likely exceed 19 kW. As a result, we believe it is
appropriate to make these provisions identical to avoid confusion.
Manufacturers have notified us that the transient test for
constant-speed engines does not represent in-use operation in a way
that significantly affects measured emission levels. This notification
is required by Sec. 1065.10(c)(1). In particular, manufacturers have
pointed out that the specified operation involves light engine loads
such that combustion and exhaust temperatures do not rise enough to
reach catalyst light-off temperatures. As a result, meeting the
standard using the constant-speed transient test will require the use
of significantly oversized catalysts, which will add significant costs
without a commensurate improvement for in-use emission control. We
faced a similar dilemma in the effort to adopt transient standards for
nonroad diesel engines, concluding that the transient standards should
not apply until we develop a suitable duty cycle that more
appropriately reflects in-use operation. As proposed, we are taking
this same approach for Large SI engines, waiving the requirement for
constant-speed engines to meet the transient standards until we are
able to develop a more appropriate duty cycle. We are clarifying that
manufacturers certifying constant-speed engines should describe their
approach to controlling emissions during transient operation in their
application for certification. Manufacturers must continue to meet the
standards for steady-state testing and the field-testing standards
continue to apply. See Section 1.8 of the Summary and Analysis of
Comments for a discussion of the methods for demonstrating compliance
with the field-testing standards for certification.
Manufacturers have also pointed out that a multiplicative
deterioration factor is problematic for engines with very low emission
levels. While the standard allows that HC+NOX emissions may
be as high as 2.7 g/kW-hr, manufacturers are certifying some engine
families with deteriorated emission levels below 0.1 g/kW-hr. These
very low emission levels are so far below the standard that measurement
variability and minor engine-to-engine variability can lead to small
absolute differences in emission levels that become magnified by a
deterioration factor that reflects the extremely small low-hour
measurement. We are therefore finalizing the proposed specification
that manufacturers may use an additive deterioration factor if their
low-hour emission levels are below 0.3 g/kW-hr for HC+NOX or
0.5 g/kW-hr for CO. This change accommodates the mathematical and
analyzer effects of very low emission levels without changing the
current practice for the majority of engines that are certified with
emission levels closer to the standard (we increased the threshold from
the proposed level of 0.3 g/kW-hr for CO to a level of 0.5 g/kW-hr to
reflect the greater variability in CO emissions at this level of
control). This change removes the incentive for manufacturers to
increase their engine's emission levels to avoid an artificially large
deterioration factor. The only exception is for cases in which good
engineering judgment dictates that a multiplicative deterioration
factor will nevertheless be appropriate for engines with very low
emissions. This may be the case if an engine's deterioration can be
attributed, even at very low emission levels, to proportionally
decreased catalyst conversion of emissions from an aged engine. It is
important to note that Large SI engine manufacturers are subject to in-
use testing to demonstrate that they meet emission standards throughout
the useful life. Should such testing indicate that an additive
deterioration factor does not appropriately reflect actual performance,
we will require manufacturers to revise their deterioration factors
appropriately, as required under the regulations. If such
[[Page 59140]]
discrepancies appear for multiple manufacturers, we will revise the
regulation to again require multiplicative deterioration factors for
all aftertreatment-based systems.
Most Large SI engines are installed in equipment that has metal
fuel tanks. This formed the basis of the regulatory approach to set
evaporative emission standards and certification requirements.
Manufacturers have raised questions about the appropriate steps to take
for systems that rely on plastic fuel tanks. We have determined that
the current emission standards and test procedures do not require
manufacturers to account for permeation emissions from plastic fuel
tanks. To address this concern, we are revising the regulations to
reference the test procedures in part 1060, where preconditioning and
measurement procedures clarify how to test plastic fuel tanks. We are
also specifying that the design-based certification for plastic fuel
tanks meeting the diurnal emission standards must incorporate the
technologies specified in 40 CFR 1060.240. For other technologies, the
certifying manufacturer must perform tests to demonstrate compliance
with the diurnal emission standards. Since manufacturers will need some
time to meet these requirements, we are implementing this change
starting with the 2010 model year. As a related matter, we are also
changing the regulation to allow for component certification of fuel
tanks (see 40 CFR 1060.5). This will be necessary to accommodate the
situation described above for plastic fuel tanks. This administrative
adjustment does not affect the underlying requirement to design and
certify products to meet applicable emission standards. We changed the
final rule in response to comments, mainly to include more careful
specification of canister preconditioning procedures for those systems
that certify by testing rather than by design.
In the proposal we requested comment on updating the reference
standard for specifying low-permeation fuel lines. The current
permeation standards for Large SI equipment references Category 1 fuel
lines as defined in the version of SAE J2260 that was issued November
1996. We are adopting by reference the updated version of SAE J2260,
which was finalized in November 2004 by the Society of Automotive
Engineers. The new procedures have two primary differences related to
fuel line permeation. First, the test fuel was changed from CM15 to
CE10.\123\ Second, the associated limits for the different categories
of fuel line permeation were revised. Data presented in Chapter 5 of
the Final RIA suggest that permeation rates from low-permeation fuel
line materials can be less than half on CE10 than on CM15. The
permeation specification for Category 1 fuel line was revised by SAE
from 0-25 g/m\2\/day to 3-10 g/m\2\/day. (A new Category 0 was added at
0-3 g/m\2\/day.) Directionally, the new Category 1 permeation limits
seem to account for the change in the test fuel. In addition, ethanol
fuel blends are common with in-use fuels while methanol fuel blends are
much less common. We are revising the regulation to specify that fuel
lines must meet the Category 1 specification in the 2004 version of SAE
J2260.
---------------------------------------------------------------------------
\123\ ``C'' refers to fuel C as specified in ASTM D 412, E10
refers to 10 percent ethanol, and M15 refers to 15 percent methanol.
---------------------------------------------------------------------------
We are making several additional technical amendments to part 1048.
Many of these simply correct typographical errors or add references to
the regulatory cites in part 1054 for Small SI engines. Several changes
are intended merely to align regulatory language with that of other
programs, including those that are subject to new standards under this
final rule. In addition, we are making the changes described below.
Note that the changes being made to the production-line and in-use
testing requirements are being made in response to comments. As noted,
a few others are also being made in response to comments. However, most
of these changes are being finalized as proposed.
Sec. 1048.5: Clarifying that locomotive propulsion
engines are not subject to Large SI emission standards, even if they
use spark-ignition engines. This is based on the separate provisions
that apply to locomotives in Clean Air Act section 213 (including those
that use spark-ignition engines).
Sec. 1048.101: Clarifying manufacturer's responsibility
to meet emission standards for different types of testing, especially
to differentiate between field-testing standards and duty-cycle
standards.
Sec. 1048.105: Clarifying that only the permeation
standards of SAE J2260 apply to fuel lines used with Large SI engines.
Sec. 1048.105: Clarifying that the requirement to prevent
fuel boiling is affected by the pressure in the fuel tank. The
regulation currently characterizes the boiling point of fuel only at
atmospheric pressure. Pressurizing the fuel tank increases the boiling
point of the fuel. We are also adding clarifying language to describe
how engine manufacturers may meet their requirements related to fuel
boiling by describing appropriate steps or limitations in their
installation instructions.
Sec. 1048.105: Reorganizing the regulatory provisions to
align with the new language in 40 CFR part 1060, and relying on those
test procedures. This will help to provide uniformity across our
nonroad programs.
Sec. 1048.110: (1) Clarifying that ``malfunctions''
relate to engines failing to maintain emission control and not to
diagnostic systems that fail to report signals. (2) Clarifying that the
malfunction indicator light needs to stay illuminated for malfunctions
or for system errors. (3) Limiting the scope of diagnostic requirement
to engines with closed-loop controls and three-way catalysts. This
limitation is consistent with the conclusion we have reached for Marine
SI engines.
Sec. 1048.120: Clarifying that the emission-related
warranty covers only those components from 40 CFR part 1068, Appendix
I, whose failure will increase emissions of regulated pollutants.
Sec. 1048.125: Giving examples of noncritical emission-
related maintenance, such as changing spark plugs and re-seating
valves.
Sec. 1048.135: Revising the engine labeling requirements
to allow omission of the manufacturing date only if the date is
stamped, engraved or otherwise permanently applied on the engine,
rather than allowing manufacturers to keep records of engine build
dates. This is important for verifying that engines comply with
standards based on their build date. This requirement takes effect
starting with the 2010 model year. See Section 1.3 of the Summary and
Analysis of Comments for further discussion of issues related to this
requirement.
Sec. 1048.205: Removing detailed specifications for
describing auxiliary emission control devices in the application for
certification. This responds to the concern expressed by manufacturers
that the existing, very prescriptive approach requires much more
information than is needed to adequately describe emission control
systems. We are leaving in place a broad requirement to describe
emission control systems and parameters in sufficient detail to allow
EPA to confirm that no defeat devices are employed. Manufacturers
should be motivated to include substantial information to make such
determinations in the certification process, rather than being subject
to this
[[Page 59141]]
type of investigation for emission control approaches that are found to
be outside of the scope of the application for certification. We may
require manufacturers to submit additional information if the
description submitted with the application is not adequate for
evaluating the appropriateness of the design.
Sec. 1048.205: Adding a requirement to align projected
production volumes with actual production from previous years. This
does not imply additional reporting or recordkeeping requirements. It
is intended simply to avoid situations where manufacturers
intentionally mis-state their projected production volumes to gain some
advantage under the regulations.
Sec. 1048.205: Specifying that manufacturers must submit
modal emission results rather than just submitting a weighted average.
Since this information is already part of the demonstration related to
the field-testing standards, this should already be common practice.
Sec. 1048.220: Clarifying that if manufacturers change
their maintenance instructions after starting production for an engine
family, they may not disqualify engines for in-use testing or warranty
claims based on the fact that operators did not follow the revised
maintenance instructions.
Sec. 1048.225: Clarifying the terminology to refer to
``new or modified engine configurations'' rather than ``new or modified
nonroad engines.'' This is necessary to avoid using the term ``new
nonroad engine'' in a way that differs from the definition in Sec.
1048.801.
Sec. 1048.230: Clarifying that engine families relate
fundamentally to emission certification and that we will expect
manufacturers to suggest a tailored approach to specifying engine
families under Sec. 1048.230(d) to occur only in unusual
circumstances.
Sec. 1048.250: Adding a requirement for manufacturers to
report their production volumes for an engine family separate from
reports for production-line testing. For example, by excluding small-
volume families from production-line testing, the reports of those
production volumes would otherwise no longer be available to us. Also,
we are clarifying that manufacturers must report total production
volumes for an engine family for any production that occurs after
submission of the final PLT report for the model year.
Sec. 1048.301: Allowing small-volume emission families to
be exempted from production-line testing requirements. This applies for
engine families with sales volumes below 150 units. This level of
production does not allow for adequate testing to use the statistical
techniques before exceeding specified maximum testing rates.
Sec. 1048.301: Specifying that manufacturers may use an
alternate method for production-line testing by using field-grade
analyzers (instead of lab-grade) without prior approval, as long as
they double the specified minimum sampling rate.
Sec. 1048.305: Clarifying that (1) tested engines should
be built in a way that represents production engines and (2) the field-
testing standards apply for any testing conducted (this may involve
simply comparing modal results to the field-testing standards). We are
also revising the provision related to repeat testing after an
invalidated test to specify that manufacturers do not need our approval
before retesting, except that we may require this if we find that tests
have been improperly invalidated.
Sec. 1048.310: Clarifying the relationship between
quarterly testing and compliance with the annual testing requirements.
Sec. 1048.315: Correcting the equation for the CumSum
statistic to prevent negative values.
Sec. 1048.345: Changing the PLT reporting deadline from
30 to 45 days after the end of each calendar quarter. This aligns with
change we are making in other programs.
Sec. 1048.350: Allowing manufacturers to keep electronic
records related to production-line testing rather than paper records.
Sec. 1048.405: Adding a provision allowing for an
adjustment of in-use testing plans if unforeseen circumstances prevent
completion of the testing effort. This aligns with the change described
in Section IV for Marine SI engines.
Sec. 1048.410: Clarifying that repeat tests with an in-
use test engine are acceptable, as long as the same number of repeat
tests are performed for all engines.
Sec. 1048.415: Clarifying that the provisions related to
defect reporting in 40 CFR 1068.501 apply for in-use testing.
Sec. 1048.501: Removing specified mapping procedures,
since these are addressed in 40 CFR part 1065.
Sec. 1048.501: Clarifying the evaporative testing
procedures, mainly by describing preconditioning procedures for engines
equipped with carbon canisters (loading with vapors, then operating the
engine to purge the canister appropriately). These procedures are
consistent with the requirements we specify for light-duty vehicles in
part 86 and for nonroad equipment in part 1060.
Sec. 1048.505: (1) Removing redundant text and removing
sampling times specified in Table 1, since these are already addressed
in Sec. 1048.505(a)(1); (2) correcting the mode sequence listed in the
table for ramped-modal testing; (3) clarifying that cycle statistics
for discrete-mode testing are defined in Sec. 1065.514. This involves
treating the series of modes as if it were continuous operation; and
(4) referring to Sec. 1065.510 for idle specifications. These idle
specifications provide more detailed instructions; we do not intend to
change the way manufacturers test at idle.
Sec. Sec. 1048.605 and 1048.610: Requiring some
demonstration that the sales restrictions that apply for these sections
are met, and clarifying the provisions related to emission credits for
vehicles that generate or use emission credits under 40 CFR part 86.
Sec. 1048.801: (1) Revising several definitions to align
with updated definitions adopted for other programs; (2) Expanding the
definition of small-volume engine manufacturer to also include
companies with annual U.S. production volumes of no more than 2,000
Large SI engines. This aligns with the provisions already adopted by
California ARB. (3) Revising (in response to comments) the provision
for emission-data engines to specify that the low-hour test result
should generally occur after no more than 125 hours of engine
operation. The regulations separately specify that engines may be
presumed stabilized after 50 hours, so this would allow at least 75
hours to perform testing on various fuels and configurations before the
engine is no longer eligible for testing low-hour results. (4)
Clarifying that an imported motor vehicle (or motor vehicle engine)
that has been converted for nonroad use retains its original model
year, but only if it was originally certified under part 86. Converted
vehicles and engines that were not certified under part 86 have an
assigned model year based on the date of conversion for nonroad use and
must therefore meet nonroad standards based on the new model year.
E. Amendments Related to Recreational Vehicles (40 CFR Part 1051)
We are making a variety of technical amendments to the regulations
in 40 CFR part 1051 for recreational vehicles, as described in this
section.
In the proposal we requested comment on revising the regulation to
allow for manufacturers of fuel-system components to certify that their
products meet emission standards. For
[[Page 59142]]
recreational vehicles we adopted a program in which the exhaust and
evaporative emission standards apply to the vehicle so we did not set
up a process for certifying fuel-system components. We continue to
believe that evaporative emission standards should apply to the
vehicle. However, we are revising the final rule to include a process
by which manufacturers of fuel-system components can opt into this
program by certifying their fuel tanks or fuel lines to the applicable
standards. While this is a voluntary step, any manufacturer opting into
the program in this way will be subject to all the requirements that
apply to certificate holders. While manufacturers of recreational
vehicles will continue to be responsible for meeting standards and
certifying their vehicles, it may be appropriate to simplify their
compliance effort by allowing them to rely on the certification of the
fuel line manufacturer or fuel tank manufacturer.
We are making several additional technical amendments to part 1051.
Many of these simply correct typographical errors or add references to
the regulatory cites in part 1054. Several changes are intended merely
to align regulatory language with that of other programs, including
those that are subject to the standards in this final rule. In
addition, we are making the changes described below. Note that the
changes being made to the production-line and other testing
requirements are being made in response to comments. As noted, a few
others are also being made in response to comments or as clarifications
of existing text. However, most of these changes are being finalized as
proposed.
Sec. 1051.1: Revising the speed threshold for offroad
utility vehicles to be subject to part 1051. Changing from ``25 miles
per hour or higher'' to ``higher than 25 miles per hour'' aligns this
provision with the similar threshold for qualifying as a motor vehicle
in 40 CFR 85.1703.
Sec. 1051.5: Clarifying the status of very small
recreational vehicles to reflect the provisions in the current
regulations in 40 CFR part 90 to treat such vehicles with a dry weight
under 20 kilograms as Small SI engines.
Sec. 1051.25: Clarifying that manufacturers of
recreational vehicles that use engines certified to meet exhaust
emission standards must still certify the vehicle with respect to the
evaporative emission standards.
Sec. 1051.120: Clarifying that the emission-related
warranty covers only those components from 40 CFR part 1068, Appendix
I, whose failure will increase emissions of regulated pollutants.
Sec. 1051.125: Giving examples of noncritical emission-
related maintenance, such as changing spark plugs and re-seating
valves.
Sec. 1051.135: Revising the labeling requirements to
allow omission of the manufacturing date only if the date is stamped,
engraved, or otherwise permanently applied on the vehicle, rather than
allowing manufacturers to keep records of vehicle build dates. This is
important for verifying that vehicles comply with standards based on
their build date. This requirement takes effect starting with the 2010
model year. See Section 1.3 of the Summary and Analysis of Comments for
further discussion of issues related to this requirement.
Sec. 1051.135: Adding a requirement to label vehicles as
described in part 1060 for evaporative emission controls. Since this
change may involve some time for manufacturers to comply, we are
applying this requirement starting with the 2010 model year.
Sec. 1051.137: Clarifying how the labeling requirements
apply with respect to the averaging program and selected family
emission limits.
Sec. 1051.140: Allowing (in response to comments) for
identification of engine displacement to the nearest whole cubic
centimeter (rather than the nearest 0.5 cubic centimeter). This level
of precision is adequate for implementing regulatory provisions related
to engine displacement.
Sec. 1051.145: Allowing the continued use of part 91 test
procedures (instead of part 1065 procedures) for snowmobiles subject to
Phase 2 or Phase 2 standards. We will revisit this provision in the
context of adopting revised Phase 3 standards.
Sec. 1051.205: Removing detailed specifications for
describing auxiliary emission control devices in the application for
certification. This responds to the concern expressed by manufacturers
that the existing, very prescriptive approach requires much more
information that is needed to adequately describe emission control
systems. We are leaving in place a broad requirement to describe
emission control systems and parameters in sufficient detail to allow
EPA to confirm that no defeat devices are employed. Manufacturers
should be motivated to include substantial information to make such
determinations in the certification process, rather than being subject
to this type of investigation for emission control approaches that are
found to be outside of the scope of the application for certification.
We may require manufacturers to submit additional information if the
description submitted with the application is not adequate for
evaluating the appropriateness of the design.
Sec. 1051.205: Requirements to align projected production
volumes with actual production from previous years. This does not imply
additional reporting or recordkeeping requirements. It is intended
simply to avoid situations where manufacturers intentionally mis-state
their projected production volumes to gain some advantage under the
regulations.
Sec. 1051.220: Clarifying that if manufacturers change
their maintenance instructions after starting production for an engine
family, they may not disqualify vehicles for warranty claims based on
the fact that operators did not follow the revised maintenance
instructions.
Sec. 1051.225: Clarifying the terminology to refer to
``new or modified vehicle configurations'' rather than ``new or
modified vehicles.'' This is necessary to avoid confusion with the term
``new vehicle'' as it relates to introduction into commerce.
Sec. 1051.225: Clarifying the provisions related to
changing an engine family's Family Emission Limit after the start of
production.
Sec. 1051.255: Adopting a different SAE standard for
specifying low-permeability materials to allow for design-based
certification of metal fuel tanks with gaskets made of polymer
materials. The previous language does not adequately characterize the
necessary testing and material specifications.
Sec. 1051.230: Clarifying that engine families relate
fundamentally to emission certification and that we will expect
manufacturers to suggest a tailored approach to specifying engine
families under Sec. 1051.230(e) to occur only in unusual
circumstances.
Sec. 1051.245: Revising the specification for fuel lines
meeting the specifications of SAE J 2260 to include the 2004 version of
this standard as described in Section VIII.D.
Sec. 1051.250: Adding a requirement for manufacturers to
report their production volumes for an engine family separate from
reports for production-line testing. For example, by excluding small-
volume families from production-line testing, the reports of production
volumes would otherwise no longer be available to us. Also, we are
clarifying that manufacturers must report total production volumes for
an engine family for any production that occurs after submission of the
final PLT report for the model year.
[[Page 59143]]
Sec. 1051.301: Allowing small-volume emission families to
be exempted from production-line testing requirements. This applies for
engine families with production volumes below 150 units. This level of
production does not allow for adequate testing to use the statistical
techniques before exceeding specified maximum testing rates.
Sec. 1051.301: Specifying that manufacturers may use an
alternate method for production-line testing by using field-grade
analyzers (instead of lab-grade) without prior approval, as long as
they double the specified minimum sampling rate.
Sec. 1051.305: Clarifying that tested vehicles should be
built in a way that represents production vehicles.
Sec. 1051.305: Revising the provision related to repeat
testing after an invalidated test to specify that manufacturers do not
need our approval before retesting, except that we may require this if
we find that tests have been improperly invalidated.
Sec. 1051.310: Clarifying the relationship between
quarterly testing and compliance with the annual testing requirements;
and clarifying the testing provisions that apply for engine families
where the production period is substantially less than a full year.
Sec. 1051.315: Correcting the equation for the CumSum
statistic to prevent negative values.
Sec. 1051.325: Clarifying the basis on which we will
approve retroactive changes to the Family Emission Limit for an engine
family that has failed under production-line testing.
Sec. 1051.345: Changing the PLT reporting deadline from
30 to 45 days after the end of each calendar quarter. This aligns with
change we are making in other programs.
Sec. 1051.350: Allowing manufacturers to keep electronic
records related to production-line testing rather than paper records.
Sec. 1051.501: Adding a specified test fuel for diesel-
fueled recreational vehicles that certify under part 1051. This would
generally involve either low-sulfur diesel fuel (< 500 ppm sulfur) or
ultra low-sulfur diesel fuel (< 15 ppm sulfur).
Sec. 1051.505: (1) Clarifying that cycle statistics for
discrete-mode testing on an engine dynamometer are defined in Sec.
1065.514. This involves treating the series of modes as if it involved
continuous operation. (2) Specifying that manufacturers may choose
between discrete-mode and ramped-modal measurements for production-line
testing if the application for certification includes testing conducted
with both types of testing. (3) Referring to Sec. 1065.510 for idle
specifications. These idle specifications provide more detailed
instructions; we do not intend to change the way manufacturers test at
idle.
Sec. Sec. 1051.605 and 1051.610: Requiring a
demonstration that the sales restrictions that apply for these sections
are met.
Sec. 1051.650: Adding a requirement to certify vehicles
that are converted to run on a different fuel. We expect this is a rare
occurrence, but one that we should make subject to certification
requirements.
Sec. 1051.701: Clarifying that manufacturers using
emission credits to meet emission standards must base their credit
calculations on their full product line-up, rather than considering
only those engine families with Family Emission Limits above or below
the emission standard.
Sec. Sec. 1051.710-1051.735: Making various minor
revisions to align with regulatory specifications in other programs.
Sec. 1051.735: Adding a requirement to keep records
related to banked emission credits for as long as a manufacturer
intends for those credits to be valid. This is necessary for us to
verify the appropriateness of credits used for demonstrating compliance
with emission standards in later model years.
Sec. 1051.801: Revising several definitions to align with
updated definitions adopted for other programs.
Sec. 1051.801: Clarifying that an engine's ``maximum
engine power'' does not change if it is installed in a vehicle or piece
of equipment that limits the engine's operation. For example, adding a
speed limiter to a vehicle does not affect the engine's ``maximum
engine power'' as determined by the engine manufacturer for the engine
as it would be tested using the specified procedures.
Sec. 1051.801: Clarifying that an imported motor vehicle
that has been converted for nonroad use retains its original model
year, but only if it was originally certified under part 86. Converted
vehicles that were not certified under part 86 have an assigned model
year based on the date of conversion for nonroad use and must therefore
meet nonroad standards based on the new model year.
F. Amendments Related to Heavy-Duty Highway Engines (40 CFR Part 85)
We proposed to make several adjustments to the provisions related
to delegated assembly specified in Sec. 85.1713. These proposed
adjustments include:
Removing the provision related to auditing outside the
United States since equipment manufactured in other countries will not
be subject to these provisions
Clarifying that the exemption expires when the equipment
manufacturer takes possession of the engine, but not before it reaches
the point of final assembly
Clarifying the prohibition related to following
installation instructions to ensure that engines are in their certified
configuration when installed in a piece of equipment.
We are adopting these proposed provisions as part of a bigger
effort to harmonize delegated-assembly across engine categories. See
Section VIII.C.6 for further discussion of the changes in delegated
assembly in the harmonized approach we are adopting in Sec. 1068.261.
Note that the new labeling requirements we are adopting take effect for
heavy-duty highway engines starting in the 2010 model year.
Manufacturers also submitted comments describing technical and
practical challenges related to the transition to using part 1065 test
procedures for heavy-duty highway engines. We have agreed to delay the
mandatory use of part 1065 procedures until July 2010. However, there
are several areas where part 1065 specifies procedures or methods that
are already well established, where those methods represent substantial
improvements over the existing procedures specified in part 86. We are
therefore not extending the deadline for these specific provisions. See
Sec. 86.1305-2010 for additional information.
We have revised the final rule to include new provisions allowing
for a replacement-engine exemption for heavy-duty highway engines under
Sec. 1068.240 as described in Section VIII.C.5.
G. Amendments Related to Stationary Spark-Ignition Engines (40 CFR part
60)
On January 18, 2008 we promulgated final emission standards for
stationary spark-ignition engines (73 FR 3567). The final rule
specified that stationary spark-ignition engines at or below 19 kW
would be subject to all the same emission standards and certification
requirements that apply to Small SI engines. Since we are promulgating
new standards for Small SI engines in this rule, these requirements
should apply automatically to those stationary engines. However, since
the Phase 3 standards are in 40 CFR part 1054, as described in Section
V, we are revising the regulatory language for stationary spark-
ignition engines in 40 CFR part
[[Page 59144]]
60, subpart JJJJ, to directly reference the Phase 3 standards in part
1054, as proposed.
H. Amendments Related to Locomotive, Marine, and Other Nonroad
Compression-Ignition Engines (40 CFR parts 89, 92, 94, 1033, 1039, and
1042)
In response to comments, we are making a variety of technical
amendments to regulatory provisions for nonroad compression-ignition
engines. Several of these changes are intended to align with the
changes we are adopting in this rule for spark-ignition engines, either
to be consistent with those standard-setting parts, or to fit with
changes we are making to the general compliance provisions in part
1068. There are also a variety of changes to correct paragraph
references and other typographical errors. We are making the following
additional adjustments and clarifications to the regulations:
Modifying the labeling statement for replacement engines
under part 89 to clarify what applies when manufacturer replace an
engine that was originally exempted from emission standards.
Correcting a typographical error to define the alternate
emission standard for switch locomotives in Sec. 1033.101(b) to be the
same as that for line-haul locomotives, as described in the preamble to
that final rule.
Revising the start date for the certification requirement
for automatic engine stop/start in Sec. 1033.115 to provide sufficient
lead time following publication of the final rule establishing part
1033. Note that this revision addresses only administrative
requirements and does not delay the introduction of the emission
control technology.
Clarifying provisions related to assigned deterioration
factors for locomotive remanufacturers in Sec. 1033.150 to be
consistent with the description in the preamble to the final rule
establishing part 1033.
Clarifying the need for prior approval of adjustments for
automatic shutdown features to be consistent with the description in
the preamble to the final rule establishing part 1033 (see Sec.
1033.530).
Clarifying the definition of ``new'' in Sec. 1033.801 for
remanufactured engines that have been certified.
Revising the definition of ``hobby engine'' in Sec.
1039.5 and Sec. 1042.5 to rely on vehicle characteristics (reduced-
scale models that are not capable of transporting a person) rather than
engine characteristics (less than 50 cc per cylinder). See Section 1.2
of the Summary and Analysis of Comments for further information.
Clarifying that compression-ignition engines used in
recreational vehicles and certified under part 1051 are not required to
certify under part 1039.
Clarifying the labeling requirements that apply for
engines meeting the alternate PM standard specified in Sec.
1039.101(c) (see Sec. 1039.102 and Sec. 1039.135).
Adding a provision allowing manufacturers to specify
scheduled maintenance for crankcase vent filters. This is analogous to
servicing PCV valves for engines that have closed crankcases (see Sec.
1039.125).
Revising the Transition Program for Equipment
Manufacturers in Sec. 1039.625 and Sec. 1039.626 to (1) require
manufacturers to send only a single report to EPA, (2) allow
manufacturers to identify their contact information in their reports or
on a publicly accessible Web site rather than on their equipment
labels, (3) specify a notification deadline based on the start of using
these provisions, rather than tying the deadline only to the start of
the year, (4) allow manufacturers to omit the FEL from the engine label
if the FEL is below the emission standard that would otherwise apply,
(5) identify specific asset thresholds for avoiding bond payments for
importing exempted products, (6) clarify the types of penalties and
judgments that would be subject to payment from the posted bond, and
(7) specify that manufacturers may identify an agent for service
anywhere in the United States (rather than specifically in Washington,
DC).
Correcting an error for marine compression-ignition
engines in Sec. 1042.101 by noting that the Tier 3 NOX+HC
standards do not apply for engines between 2000 and 3700 kW that have a
power density above 35 kW per liter. The footnote in Table 1 of this
section denoting this distinction was inadvertently omitted for the
high power-density engines.
Revising the requirements related to evaporative emissions
in Sec. 1042.105 to align with the new provisions that apply for
Marine SI applications as described in Section VI.
Removing Sec. 1042.601(g) since this provision is being
codified in this rule at Sec. 1068.101(b)(1).
IX. Projected Impacts
A. Emissions from Small Nonroad and Marine Spark-Ignition Engines
As discussed in previous sections, this final rule will reduce
exhaust emissions from specific sizes of nonhandheld Small SI and
Marine SI engines. It will also reduce evaporative emissions from the
fuel systems used on nonhandheld and handheld Small SI equipment and
Marine SI vessels (for simplicity we collectively include the
evaporative emission requirements from equipment or vessels when
referring to Small SI or Marine SI engines in the remainder of this
section). The new exhaust and evaporative emission standards will
directly affect volatile organic hydrocarbon compounds (VOC), oxides of
nitrogen (NOX), and to a lesser extent carbon monoxide (CO).
Also, we anticipate that the emission control technology which is
likely to be used to meet the exhaust emission standards will affect
directly emitted particulate matter, most importantly particles with
diameters of 2.5 micrometers or less (PM2.5). It will also
incrementally reduce air toxic emissions. A detailed analysis of the
effects of this final rule on emissions and emission inventories can be
found in Chapter 3 of the Final RIA.
The contribution of exhaust and evaporative emissions from Small SI
and Marine SI engines to total 50-state mobile-source emission
inventories is significant and will remain so into the future. Table
IX-1 presents the nationwide inventory for these engines for both 2002
and 2030. (The inventories cover all Small SI and Marine SI engines
including the portion of Small SI engines regulated by the California
ARB.) Table IX-1 shows that for the primary pollutants affected by this
final rule, these engines contribute about 25 to 35 percent of the
nationwide VOC emissions from all mobile sources. The nationwide
contribution to the total mobile source NOX inventory is
about 5 percent or less. Finally, for PM2.5, the contribution is about
10 percent.
[[Page 59145]]
Table IX-1--Contribution of Small Nonroad and Marine SI Engines to National (50-State) Mobile Source Emission
Inventories
----------------------------------------------------------------------------------------------------------------
2002 2030
---------------------------------------------------------------
Small SI/ Small SI/
Pollutant marine SI Percent of marine SI Percent of
inventory, mobile source inventory, mobile source
tons inventory tons inventory
----------------------------------------------------------------------------------------------------------------
VOC............................................. 2,169,000 26 1,430,000 35
NOX............................................. 169,700 1 311,300 6
PM2.5........................................... 41,960 8 44,040 12
CO.............................................. 19,607,000 23 15,605,000 30
----------------------------------------------------------------------------------------------------------------
(1) VOC
Table IX-2 shows the VOC emissions and emission reductions we
expect both with and without the new standards for engines, equipment,
and vessels affected by the final rule. In 2002, Small SI and Marine SI
emitted approximately 1,047,000 and 931,000 tons of VOC, respectively.
Without the new standards, these emissions will decrease because of the
effect of the existing emission control requirements to about 958,000
and 484,000 tons by 2040, respectively. With the new controls, this
pollutant will be further reduced by 34 percent for Small SI engines
and 73 percent for Marine SI engines by 2040. The VOC emission
inventory trends over time for both categories of engines that are
subject to the final rule are shown in Figure IX-1.
Table IX-2--National (50-State) VOC Emissions and Emission Reductions for Small SI and Marine SI Engines
----------------------------------------------------------------------------------------------------------------
Percent
Year Category Without rule With rule Reduction reduction
----------------------------------------------------------------------------------------------------------------
Small Engine...... 1,047,374 1,047,374 .............. ...........
Marine............ 931,132 931,132 .............. ...........
2002........................... Both.............. 1,978,506 1,978,506 .............. ...........
Small Engine...... 675,131 488,517 186,614 28
Marine............ 505,981 384,108 121,873 24
2015........................... Both.............. 1,181,112 872,624 308,487 26
Small Engine...... 728,853 242,957 240,948 33
Marine............ 460,481 242,957 217,524 47
2020........................... Both.............. 1,189,334 730,862 458,472 39
Small Engine...... 842,970 558,094 284,876 34
Marine............ 458,656 139,083 319,573 70
2030........................... Both.............. 1,301,626 697,177 604,449 46
Small Engine...... 958,429 633,050 325,379 34
Marine............ 483,949 128,906 355,043 73
2040........................... Both.............. 1,442,377 761,956 680,422 47
----------------------------------------------------------------------------------------------------------------
[[Page 59146]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.064
(2) NOX
Table IX-3 shows the NOX emissions and emission
reductions we expect both with and without the new standards for
engines affected by the final rule. In 2002, Small SI and Marine SI
emitted approximately 107,000 and 46,300 tons of NOX,
respectively. Without the new standards, these emissions will increase
to about 181,000, and 132,000 tons by 2040, respectively. With the new
controls, this pollutant will be reduced by 49 percent for Small SI
engines and 48 percent for Marine SI engines by 2040. The
NOX emission inventory trends over time for both categories
of engines that are subject to the final rule are shown in Figure IX-2.
Table IX-3--National (50-State) NOX Emissions and Emission Reductions for Small SI and Marine SI Engines
----------------------------------------------------------------------------------------------------------------
Percent
Year Category Without rule With rule Reduction reduction
----------------------------------------------------------------------------------------------------------------
Small Engine...... 106,804 106,804 .............. ...........
Marine............ 46,311 46,311 .............. ...........
2002........................... Both.............. 153,115 153,115 .............. ...........
Small Engine...... 126,395 76,412 49,983 40
Marine............ 101,703 85,334 16,369 16
2015........................... Both.............. 228,098 161,746 66,353 29
Small Engine...... 137,002 72,175 64,827 47
Marine............ 111,525 81,398 30,128 27
2020........................... Both.............. 248,527 153,572 94,954 38
Small Engine...... 158,840 81,977 76,863 48
Marine............ 123,335 68,639 54,696 44
2030........................... Both.............. 282,175 150,616 131,559 47
Small Engine...... 180,973 93,181 87,792 49
Marine............ 131,907 68,461 63,445 48
2040........................... Both.............. 312,880 161,643 151,237 48
----------------------------------------------------------------------------------------------------------------
[[Page 59147]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.065
(3) PM2.5
Table IX-4 shows the PM2.5 emissions and emission reductions we
expect both with and without the new standards for engines affected by
the final rule. In 2002, Small SI and Marine SI emitted 23,000 and
15,000 tons of PM2.5, respectively. Without the new standards, the
PM2.5 emissions from Small SI engines will increase to
39,000 by 2040, while those from Marine SI will decrease to about 6,000
tons in that year due to the effects of the existing emission control
requirements for certain types of Marine SI engines, such as outboards.
With the new controls, this pollutant will be reduced by 3 percent for
Small SI engines and an additional 84 percent for Marine SI engines by
2040.
The PM2.5 emission inventory trends over time for both categories
of engines that are subject to the final rule are shown in Figure IX-3.
Table IX-4--National (50-State) PM2.5 Emissions and Emission Reductions for Small SI and Marine SI Engines
----------------------------------------------------------------------------------------------------------------
Percent
Year Category Without rule With rule Reduction reduction
----------------------------------------------------------------------------------------------------------------
Small Engine...... 23,382 23,382 .............. ...........
Marine............ 15,092 15,092 .............. ...........
2002........................... Both.............. 38,474 38,474 .............. ...........
Small Engine...... 27,747 27,115 632 2
Marine............ 6,823 4,951 1,872 27
2015........................... Both.............. 34,570 32,066 2,504 7
Small Engine...... 30,009 29,189 820 3
Marine............ 5,908 2,640 3,269 55
2020........................... Both.............. 35,917 31,828 4,089 11
Small Engine...... 34,535 33,572 963 3
Marine............ 5,719 1,137 4,582 80
2030........................... Both.............. 40,255 34,710 5,545 14
Small Engine...... 39,079 37,979 1,100 3
Marine............ 6,016 989 5,027 84
2040........................... Both.............. 45,095 38,968 6,127 14
----------------------------------------------------------------------------------------------------------------
[[Page 59148]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.066
(4) CO
Table IX-5 shows the CO emissions and emission reductions we expect
both with and without the new standards for engines affected by the
final rule. In 2002, Small SI and Marine SI emitted 15,091,000 and
2,472,000 tons of CO, respectively. Without the new standards, these
emissions will decrease because of the effect of the existing emission
control requirements to about 14,007,000 and 1,766,000 tons by 2040,
respectively. With the new controls, this pollutant will be reduced by
an additional 9 percent for Small SI engines and an additional 21
percent for Marine SI engines by 2040. The CO emission inventory trends
over time for both categories of engines that are subject to the final
rule are shown in Figure IX-4.
Table IX-5--National (50-State) CO Emissions and Emission Reductions for Small SI and Marine SI Engines
----------------------------------------------------------------------------------------------------------------
Percent
Year Category Without rule With rule Reduction reduction
----------------------------------------------------------------------------------------------------------------
Small Engine...... 15,091,835 15,091,835 .............. ...........
Marine............ 2,472,251 2,472,251 .............. ...........
2002........................... Both.............. 17,564,086 17,564,086 .............. ...........
Small Engine...... 9,879,027 9,135,515 743,512 8
Marine............ 1,690,755 1,587,889 102,867 6
2015........................... Both.............. 11,569,782 10,723,404 846,379 7
Small Engine...... 10,645,870 9,679,462 966,407 9
Marine............ 1,638,114 1,452,196 185,917 11
2020........................... Both.............. 12,283,983 11,131,659 1,152,325 9
Small Engine...... 12,310,505 11,166,921 1,143,584 9
Marine............ 1,671,627 1,353,989 317,638 19
2030........................... Both.............. 13,982,132 12,520,910 1,461,222 10
Small Engine...... 14,007,335 12,701,792 1,305,543 9
Marine............ 1,765,651 1,399,715 365,936 21
2040........................... Both.............. 15,772,986 14,101,507 1,671,479 11
----------------------------------------------------------------------------------------------------------------
[[Page 59149]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.067
B. Estimated Costs
In assessing the economic impact of setting emission standards, we
have made a best estimate of the costs associated with the technologies
we anticipate manufacturers will use in meeting the standards. In
making our estimates for the final rule, we have relied on our own
technology assessment, which includes information developed by EPA's
National Vehicle and Fuel Emissions Laboratory (NVFEL). Estimated costs
include variable costs (e.g., hardware and assembly time) and fixed
costs (e.g., research and development, retooling, engine certification
and test cell upgrades to 40 CFR 1065 requirements). We projected that
manufacturers will redirect existing research and development funds to
invest in the fixed costs associated with changes needed to meet the
rulemaking requirements. The analysis also considers total operating
costs, including maintenance and fuel consumption. Cost estimates based
on the projected technologies represent an expected change in the cost
of engines as they begin to comply with new emission standards. All
costs are presented in 2005 dollars. Full details of our cost analysis
can be found in Chapter 6 of the Final RIA. Estimated costs related to
exhaust emissions were also subject to peer review, as described in a
set of peer review reports that are available in the docket for this
rulemaking.
Cost estimates based on the current projected costs for our
estimated technology packages represent an expected incremental cost of
equipment in the near term. For the longer term we have identified a
factor that will cause cost impacts to decrease over time. We expect
that manufacturers will undergo a learning process that will lead to
lower variable costs. For instance, the analysis incorporates the
expectation that Small SI engine manufacturers will optimize the
catalyst muffler offerings available and thereby streamline their
production and reduce costs. The cost analysis generally incorporates
this learning effect by decreasing estimated variable costs by 20
percent starting in the sixth year of production. The learning curve
has not been applied to Small SI EFI systems due to the fact that the
technologies are currently well established on similar sized engines in
other applications.
We project average costs to comply with the new exhaust emission
standards for Small SI engines and equipment to range from $9-$11 per
Class I equipment to meet the Phase 3 standards. We anticipate the
manufacturers will meet the emission standard with several technologies
including engine improvements and catalysts. For Class II equipment, we
project average costs to range from $15-$26 per equipment to meet the
new emission standards. We anticipate the manufacturers of Class II
engines will meet the new exhaust emission standards by engine
improvements and adding catalysts and/or electronic fuel injection to
their engines. The use of electronic fuel injection is estimated to
provide a fuel savings of 10% over the lifetime of a Class II engine.
Using an average garden tractor estimated lifetime of 5.8 years, and
the estimate that 6.6% of Class II engines will utilize electronic fuel
injection, this calculates to be a lifetime savings of 273 gallons.
This translates to a discounted lifetime savings of approximately $496
per engine, at an average fuel price of $1.81 per gallon.
For Small SI equipment, we have also estimated a per-unit cost for
the new evaporative emission standards. The average short-term costs
without fuel savings are projected to be $0.82 for handheld equipment,
$3.05 for Class I equipment, and $6.73 for Class II equipment. These
costs are based on fuel tank and fuel line permeation control, and for
non-handheld equipment, running loss and diffusion control. Because
evaporative emissions are composed of otherwise usable fuel that is
lost to the atmosphere, measures that reduce evaporative emissions will
result in fuel savings. We estimate that the average fuel savings, due
to permeation control, be about 1.4 gallons over the 5 year average
operating lifetime. This translates to a discounted lifetime savings of
more than $2 at an average fuel price of $1.81 per gallon.
For marine engines, we estimated per-engine costs for OB, PWC, and
SD/I engines for meeting the new exhaust emission standards. The short-
term cost estimates without fuel savings are $290 for OB, $390 for PWC,
and $360 for SD/
[[Page 59150]]
I engines. For OB/PWC engines, we anticipate that manufacturers will
meet the standards through the expanded production of existing low-
emission technologies such as four-stroke and direct-injection two-
stroke engines. For most SD/I engines, we anticipate that manufacturers
will use catalytic control to meet the new standards.
For marine vessels, we have also estimated a per-unit cost for the
new evaporative emission standards. The average short-term costs
without fuel savings are projected to be $12 for boats with portable
fuel tanks, $17 for PWC, and $74 for boats with installed fuel tanks.
These costs are based on fuel tank and fuel line permeation control and
diurnal emission control. For portable fuel tanks, diurnal emission
control is based on an automatic sealing vent, for PWC we estimate that
changes will not be necessary from current designs, and for other boats
with installed fuel tanks, the estimated costs are based on the use of
a passively-purged carbon canister. Because evaporative emissions are
composed of otherwise usable fuel that is lost to the atmosphere,
measures that reduce evaporative emissions will result in fuel savings.
We estimate that the average fuel savings, due to permeation control,
to be about 28 gallons over the 15 year average operating lifetime.
This translates to a discounted lifetime savings of more than $30 at an
average fuel price of $1.81 per gallon.
C. Cost per Ton
We have calculated the cost per ton of the Phase 3 standards
contained in this final rule by estimating costs and emission benefits
for these engines. We made our best estimates of the combination of
technologies that engine manufacturers might use to meet the new
standards, best estimates of resultant changes to equipment design,
engine manufacturer compliance program costs, and fuel savings in order
to assess the expected economic impact of the Phase 3 emission
standards for Small SI engines and Marine SI engines. Emission
reduction benefits are taken from the results of the Inventory chapter
of the RIA (Chapter 3).
A summary of the annualized costs to Small SI and Marine SI engine
manufacturers is presented in Table IX-6. These annualized costs are
over a 30 year period and presented both with a 3 percent and a 7
percent discount rate. The annualized fuel savings for Small SI engines
are due to reduced fuel costs from the use of electronic fuel injection
on Class II engines as well as fuel savings from evaporative measures
on all Small SI engines. The annualized fuel savings for Marine SI
engines are due to reduced fuel costs from the expected elimination of
two-stroke outboard motors from the new engine fleet as well as fuel
savings from evaporative emission controls on all vessels.
Table IX-6--Estimated Annualized Cost to Manufacturers and Annualized Fuel Savings over 30 Years Due to the
Phase 3 Small SI and Marine SI Engine Standards
[2005$, 3 and 7 percent discount rates]
----------------------------------------------------------------------------------------------------------------
Annualized cost to Annualized fuel
manufacturers savings (millions/
Engine category Emissions category (millions/yr) yr)
-------------------------------------------
3% 7% 3% 7%
----------------------------------------------------------------------------------------------------------------
Small SI Engines........................ Exhaust................... $190 $182 $27 $24
Evaporative............... 68 65 59 53
Aggregate................. 258 247 86 77
Marine SI Engines....................... Exhaust................... 123 123 67 56
Evaporative............... 23 22 27 22
Aggregate................. 146 144 94 78
----------------------------------------------------------------------------------------------------------------
We have estimated the Small SI and Marine SI engine cost per ton of
the Phase 3 HC+NOX standards over the typical lifetime of
the equipment that are covered by this final rule. We have examined the
cost per ton by performing a nationwide cost per ton analysis in which
the net present value of the cost of compliance per year is divided by
the net present value of the HC+NOX benefits over 30 years.
The resultant discounted cost per ton is presented in Table IX-7. The
total (exhaust and evaporative) cost per ton, using a 7 percent
discount rate, with fuel savings is $856 for Small SI equipment and
$360 for marine vessels. For the final rule as a whole, the cost per
ton of HC+NOX reduction is $623. Reduced operating costs
offset a portion of the increased cost of producing the cleaner Small
SI and Marine SI engines. Reduced fuel consumption also offsets the
costs of permeation control. Chapter 7 of the RIA contains a more
detailed discussion of the cost per ton analysis.
Table IX-7--Estimated Cost Per Ton of the HC+NOX Emission Standards
[2005$, 3 and 7 percent discount rates]
----------------------------------------------------------------------------------------------------------------
Discounted cost per ton
Implementation -------------------------------------
Category dates Without fuel With fuel savings
savings (3%/7%) (3%/7%)
----------------------------------------------------------------------------------------------------------------
Small SI Exhaust....................................... 2011-2012 $1,152/$1,264 $986/$1,097
Small SI Evaporative................................... 2009-2013 690/740 90/140
Marine SI Exhaust...................................... 2010-2013 700/830 320/450
Marine SI Evaporative.................................. 2009-2012 500/590 (100)/(10)
Aggregate.............................................. 2009-2013 868/974 519/623
----------------------------------------------------------------------------------------------------------------
[[Page 59151]]
As is discussed above, we are also expecting some reduction in
direct PM emissions and carbon monoxide. These reductions will come
primarily as a product of the technology being used to meet HC and
NOX standards and not directly as a result of the
implementation of specific technology to achieve these gains. Thus, we
have elected to focus our cost per ton analysis on HC+NOX.
One useful purpose of cost per ton analysis is to compare this
program to other programs designed to achieve similar air quality
objectives. Toward that end, we made a comparison between the
HC+NOX cost per ton values presented in Table C-2 and the
HC+NOX cost per ton of other recent mobile source programs.
Table IX-8 summarizes the HC+NOX cost per ton of several
recent EPA actions for controlled emissions from mobile sources. While
the analyses for each rule were not completely identical, it is clear
that the Small SI and Marine SI values compare favorably with the other
recent actions.
Table IX-8--Cost Per Ton of Previously Implemented HC+NOX Mobile Source
Programs
[2005$, 7 percent discount with fuel savings]
------------------------------------------------------------------------
Discounted
Program cost per ton
------------------------------------------------------------------------
2002 HH engines Phase 2................................. 840
2001 NHH engines Phase 2................................ neg*
1998 Marine SI engines.................................. 1900
2004 Comm Marine CI..................................... 200
2007 Large SI exhaust................................... 80
2006 ATV exhaust........................................ 300
2006 off-highway motorcycle............................. 290
2006 recreational marine CI............................. 700
2010 snowmobile......................................... 1430
2006 <50cc highway motorcycle........................... 1860
2010 Class 3 highway motorcycle......................... 1650
------------------------------------------------------------------------
* fuel savings outweigh engineering/hardware costs.
D. Air Quality Impact
Information on the air quality impacts of this action can be found
in Section II, which includes health effect information on ozone, PM,
CO and air toxics. It also includes modeled projections of future ozone
concentrations with and without the controls detailed in this final
rule. The emission reductions will lead to reductions in ambient
concentrations of ozone, PM, CO and air toxics.
E. Benefits
This section presents our analysis of the health and environmental
benefits that are estimated to occur as a result of the final Small SI
and Marine SI engine standards throughout the period from initial
implementation through 2030. Nationwide, the engines that are subject
to the emission standards in this rule are a significant source of
mobile source air pollution. The standards would reduce exposure to
hydrocarbon, CO and NOX emissions and help avoid a range of
adverse health effects associated with ambient ozone and
PM2.5 levels. In addition, the proposed standards would help
reduce exposure to CO, air toxics, and PM2.5 for persons who
operate or who work with or are otherwise active in close proximity to
these engines. As described below, the reductions in PM and ozone from
the standards are expected to result in significant reductions in
premature deaths and other serious human health effects, as well as
other important public health and welfare effects.
EPA typically quantifies and monetizes PM- and ozone-related
impacts in its regulatory impact analyses (RIAs) when possible. The RIA
for the proposal for this rulemaking only quantified benefits from PM;
in the current RIA we quantify and monetize the ozone-related health
and environmental impacts associated with the final rule. The science
underlying the analysis is based on the current ozone criteria
document.\124\ To estimate the incidence and monetary value of the
health outcomes associated with this final rule, we used health impact
functions based on published epidemiological studies, and valuation
functions derived from the economics literature.\125\ Key health
endpoints analyzed include premature mortality, hospital and emergency
room visits, school absences, and minor restricted activity days. The
analytic approach to characterizing uncertainty is consistent with the
analysis used in the RIA for the proposed O3 NAAQS.
---------------------------------------------------------------------------
\124\ U.S. Environmental Protection Agency (2006) Air quality
criteria for ozone and related photochemical oxidants (second
external review draft) Research Triangle Park, NC: National Center
for Environmental Assessment; report no. EPA/600R-05/004aB-cB,
3v.Available: http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=137307[March 2006].
\125\ Health impact functions measure the change in a health
endpoint of interest, such as hospital admissions, for a given
change in ambient ozone or PM concentration.
---------------------------------------------------------------------------
The benefits modeling is based on peer-reviewed studies of air
quality and health and welfare effects associated with improvements in
air quality and peer-reviewed studies of the dollar values of those
public health and welfare effects. These methods are consistent with
benefits analyses performed for the recent analysis of the final Ozone
NAAQS and the final PM NAAQS analysis.126 127 They are
described in detail in the regulatory impact analyses prepared for
those rules.
---------------------------------------------------------------------------
\126\ U.S. Environmental Protection Agency. March 2008. Final
Ozone NAAQS Regulatory Impact Analysis. Prepared by: Office of Air
and Radiation, Office of Air Quality Planning and Standards.
\127\ U.S. Environmental Protection Agency. October 2006. Final
Regulatory Impact Analysis (RIA) for the Proposed National Ambient
Air Quality Standards for Particulate Matter. Prepared by: Office of
Air and Radiation. Available at HTTP://www.epa.gov/ttn/ecas/ria.html.
---------------------------------------------------------------------------
The range of PM benefits associated with the final standards is
estimated based on risk reductions estimated using several sources of
PM-related mortality effect estimates. In order to provide an
indication of the sensitivity of the benefits estimates to alternative
assumptions about PM mortality risk reductions, in Chapter 8 of the RIA
we present a variety of benefits estimates based on two epidemiological
studies (including the ACS Study and the Six Cities Study) and the
recent PM mortality expert elicitation.\128\ EPA intends to ask the
Science Advisory Board to provide additional advice as to which
scientific studies should be used in future RIAs to estimate the
benefits of reductions in PM-related premature mortality.
---------------------------------------------------------------------------
\128\ Industrial Economics, Incorporated (IEc). 2006. Expanded
Expert Judgment Assessment of the Concentration-Response
Relationship Between PM2.5 Exposure and Mortality. Peer
Review Draft. Prepared for: Office of Air Quality Planning and
Standards, U.S. Environmental Protection Agency, Research Triangle
Park, NC. August.
---------------------------------------------------------------------------
In a recent report on the estimation of ozone-related premature
mortality published by the National Research Council (NRC),\129\ a
panel of experts and reviewers concluded that ozone-related mortality
should be included in estimates of the health benefits of reducing
ozone exposure. The report also recommended that the estimation of
ozone-related premature mortality be accompanied by broad uncertainty
analyses while giving little or no weight to the assumption that there
is no causal association between ozone exposure and premature
mortality. Because EPA has yet to develop a coordinated response to the
NRC report's findings and recommendations, however, we have retained
the approach to estimating ozone-related premature mortality used in
RIA for the final Ozone NAAQS. EPA will specifically address the
report's findings and recommendations in future rulemakings.
---------------------------------------------------------------------------
\129\ National Research Council (NRC). 2002. Estimating the
Public Health Benefits of Proposed Air Pollution Regulations. The
National Academies Press: Washington, DC.
---------------------------------------------------------------------------
The range of ozone benefits associated with the final standards is
based on risk
[[Page 59152]]
reductions estimated using several sources of ozone-related mortality
effect estimates. This analysis presents four alternative estimates for
the association based upon different functions reported in the
scientific literature. One estimate is derived from the National
Morbidity, Mortality, and Air Pollution Study (NMMAPS),\130\ which was
used as the primary basis for the risk analysis in the ozone Staff
Paper \131\ and reviewed by the Clean Air Science Advisory Committee
(CASAC).\132\ We also use three studies that synthesize ozone mortality
data across a large number of individual studies.133 134 135
This approach is not inconsistent with recommendations provided by the
NRC in their ozone mortality report (NRC, 2008), ``The committee
recommends that the greatest emphasis be placed on estimates from new
systematic multicity analyses that use national databases of air
pollution and mortality, such as in the NMMAPS, without excluding
consideration of meta-analyses of previously published studies.''
---------------------------------------------------------------------------
\130\ Bell, M.L., et al. 2004. Ozone and short-term mortality in
95 U.S. urban communities, 1987-2000. Jama, 2004. 292(19): p. 2372-
8.
\131\ U.S. EPA (2007) Review of the National Ambient Air Quality
Standards for Ozone, Policy Assessment of Scientific and Technical
Information. OAQPS Staff Paper. EPA-452/R-07-003. This document is
available in Docket EPA-HQ-OAR-2003-0190. This document is available
electronically at: http:www.epa.gov/ttn/naaqs/standards/ozone/s_o3_cr_sp.html.
\132\ CASAC (2007). Clean Air Scientific Advisory Committee's
(CASAC) Review of the Agency's Final Ozone Staff Paper. EPA-CASAC-
07-002. March 26.
\133\ Bell, M.L., F. Dominici, and J.M. Samet. A meta-analysis
of time-series studies of ozone and mortality with comparison to the
national morbidity, mortality, and air pollution study.
Epidemiology, 2005. 16(4): p. 436-45.
\134\ Ito, K., S.F. De Leon, and M. Lippmann. Associations
between ozone and daily mortality: analysis and meta-analysis.
Epidemiology, 2005. 16(4): p. 446-57.
\135\ Levy, J.I., S.M. Chemerynski, and J.A. Sarnat. 2005. Ozone
exposure and mortality: an empiric bayes metaregression analysis.
Epidemiology, 2005. 16(4): p. 458-68.
---------------------------------------------------------------------------
The range of total ozone- and PM-related benefits associated with
the final standards is presented in Table IX.E-1. We present total
benefits based on the PM- and ozone-related premature mortality
function used. The benefits ranges therefore reflect the addition of
each estimate of ozone-related premature mortality (each with its own
row in Table IX.E-1) to estimates of PM-related premature mortality,
derived from either the epidemiological literature or the expert
elicitation. The estimates in Table IX.E-1, and all monetized benefits
presented in this section, are in year 2005 dollars.
[[Page 59153]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.068
(1) Quantified Human Health and Environmental Effects of the Final
Standards
In this section we discuss the ozone and PM2.5 health
and environmental impacts of the final standards. We discuss how these
impacts are monetized in the next section. It should be noted that the
emission control scenarios used in the air quality and benefits
modeling are slightly different than the final emission control
program. The differences reflect further refinements of the regulatory
program since we performed the air quality modeling for this rule.
Emissions and air quality modeling decisions are made early in the
analytical process. Chapter 3 of the RIA describes the changes in the
inputs and resulting emission inventories between the preliminary
assumptions used for the air quality modeling and the final emission
control scenario.
Estimated Ozone and PM Impacts
To model the ozone and PM air quality benefits of this rule we used
the Community Multiscale Air Quality (CMAQ) model. CMAQ simulates the
numerous physical and chemical processes involved in the formation,
transport, and deposition of particulate matter. This model is commonly
used in regional applications to estimate the ozone and PM reductions
expected to occur from a given set of emissions controls. The
meteorological data input into CMAQ are developed by a separate model,
the Penn State University/National Center for Atmospheric Research
Mesoscale Model, known as MM5. The modeling domain covers the entire
48-State U.S., as modeled in final ozone NAAQS analysis.\136\ The grid
resolution for the modeling domain was 12 x 12 km.
---------------------------------------------------------------------------
\136\ U.S. Environmental Protection Agency. March 2008. Final
Ozone NAAQS Regulatory Impact Analysis. Prepared by: Office of Air
and Radiation, Office of Air Quality Planning and Standards.
---------------------------------------------------------------------------
The modeled ambient air quality data serves as an input to the
Environmental Benefits Mapping and Analysis Program (BenMAP).\137\
BenMAP is a computer program developed by EPA that integrates a number
of the modeling elements used in previous Regulatory Impact Analyses
(e.g., interpolation functions, population projections, health impact
functions, valuation functions, analysis and pooling
[[Page 59154]]
methods) to translate modeled air concentration estimates into health
effects incidence estimates and monetized benefits estimates.
---------------------------------------------------------------------------
\137\ Information on BenMAP, including downloads of the
software, can be found at http://www.epa.gov/air/benmap.
---------------------------------------------------------------------------
Table IX.E-2 presents the estimates of ozone- and PM-related health
impacts for the years 2020 and 2030, which are based on the modeled air
quality changes between a baseline, pre-control scenario and a post-
control scenario reflecting the final emission control strategy.
The use of two sources of PM mortality reflects two different
sources of information about the impact of reductions in PM on
reduction in the risk of premature death, including both the published
epidemiology literature and an expert elicitation study conducted by
EPA in 2006. In 2030, based on the estimate provided by the ACS study,
we estimate that PM-related emission reductions related to the final
rule will result in 230 fewer premature fatalities annually. The number
of premature mortalities avoided increases to 510 when based on the Six
Cities study. When the range of expert opinion is used, we estimate
between 120 and 1,300 fewer premature mortalities in 2030. We also
estimate 220 fewer cases of chronic bronchitis, 530 fewer nonfatal
heart attacks, 190 fewer hospitalizations (for respiratory and
cardiovascular disease combined), 140,000 fewer days of restricted
activity due to respiratory illness and approximately 23,000 fewer
work-loss days. This analysis projects substantial health improvements
for children from reduced upper and lower respiratory illness, acute
bronchitis, and asthma attacks. These results are based on an assumed
cutpoint in the long-term mortality concentration-response functions at
10 [mu]g/m\3\, and an assumed cutpoint in the short-term morbidity
concentration-response functions at 10 [mu]g/m\3\. The impact using
four alterative cutpoints (3 [mu]g/m\3\ 7.5 [mu]g/m\3\, 12 [mu]g/m\3\,
and 14 [mu]g/m\3\) has on PM2.5-related mortality incidence
estimation is presented in Chapter 8 of the RIA.
For ozone, we estimate a range of between 77-350 fewer premature
mortalities as a result of the final rule in 2030, assuming that there
is a causal relationship between ozone exposure and mortality. We also
estimate that by 2030, the final rule will result in over 1,300 avoided
respiratory hospital admissions and emergency room visits, 450,000
fewer days of restricted activity due to respiratory illness, and
180,000 school loss days avoided.
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[[Page 59156]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.070
(2) Monetized Benefits
Table IX.E-3 presents the estimated monetary value of reductions in
the incidence of health and welfare effects. Tables IX.E-4 and IX.E-5
present the total annual PM- and ozone-related health benefits, which
are estimated to be between $1.8 and $4.4 billion in 2030, assuming a 3
percent discount rate, or between $1.6 and $4.3 billion, assuming a 7
percent discount rate, using the ACS-derived estimate of PM-related
premature mortality (Pope et al., 2002) and the range of ozone-related
premature mortality studies derived from the epidemiological
literature. The range of benefits expands to between $1.1 and $12
billion, assuming a 3 percent discount rate, when the estimate includes
the opinions of outside experts on PM and the risk of premature death,
or between $1.0 and $11 billion, assuming a 7 percent discount rate.
All monetized estimates are stated in 2005$. These estimates account
for growth in real gross domestic product (GDP) per capita between the
present and the years 2020 and 2030. As the tables indicate, total
benefits are driven primarily by the reduction in premature fatalities
each year.
---------------------------------------------------------------------------
\138\ Industrial Economics, Incorporated (IEc). 2006. Expanded
Expert Judgment Assessment of the Concentration-Response
Relationship Between PM2.5 Exposure and Mortality. Peer
Review Draft. Prepared for: Office of Air Quality Planning and
Standards, U.S. Environmental Protection Agency, Research Triangle
Park, NC. August.
---------------------------------------------------------------------------
The estimates of monetized benefits include only one example of
nonhealth-related benefits. Changes in the ambient level of
PM2.5 are known to affect the level of visibility in much of
the U.S. Individuals value visibility both in the places they live and
work, in the places they travel to for recreational purposes, and at
sites of unique public value, such as at National Parks. For the final
standards, we present the recreational visibility benefits of
improvements in visibility at 86 Class I areas located throughout
California, the Southwest, and the Southeast. These estimated benefits
are shown in Table IX.E-3.
Tables IX.E-3, IX.E-4 and IX.E-5 do not include those additional
health and environmental benefits of the rule that we were unable to
quantify or monetize. These effects are additive to the estimate of
total benefits, and are related to two primary sources. First, there
are many human health and welfare effects associated with PM, ozone,
and toxic air pollutant reductions that remain unquantified because of
current limitations in the methods or available data. A full
appreciation of the overall economic consequences of the final
standards requires consideration of all benefits and costs projected to
result from the new standards, not just those benefits and costs which
could be expressed here in dollar terms. A list of the benefit
categories that could not be quantified or monetized in our benefit
estimates are provided in Table IX.E-6.
---------------------------------------------------------------------------
\139\ Industrial Economics, Incorporated (IEc). 2006. Expanded
Expert Judgment Assessment of the Concentration-Response
Relationship Between PM2.5 Exposure and Mortality. Peer
Review Draft. Prepared for: Office of Air Quality Planning and
Standards, U.S. Environmental Protection Agency, Research Triangle
Park, NC. August.
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Table IX.E-4--Total Monetized Benefits of the Final Small SI and Marine SI Engine Rule--3% Discount Rate
----------------------------------------------------------------------------------------------------------------
Mean total Ozone mortality Mean total
Ozone mortality function Reference benefits function Reference benefits
----------------------------------------------------------------------------------------------------------------
Total Ozone and PM Benefits (billions, 2005$)--PM Mortality Derived from the ACS Study
----------------------------------------------------------------------------------------------------------------
2020: 2030:
NMMAPS.................. Bell et al., $1.5 NMMAPS...... Bell et al., $2.4
2004. 2004.
----------------------------------------------------------------------------------------------------------------
Meta-analysis........... Bell et al., 2.3 Meta- Bell et al., 3.7
2005. 2.7 analysis. 2005. 4.4
Ito et al., Ito et al.,
2005. 2005.
Levy et al., 2.7 Levy et al., 4.4
2005. 2005.
----------------------------------------------------------------------------------------------------------------
Assumption that association is not causal \a\ 1.2 Assumption that association is 1.8
not causal \a\
----------------------------------------------------------------------------------------------------------------
Total Ozone and PM Benefits (billions, 2005$)--PM Mortality Derived from Expert Elicitation (Lowest and Highest
Estimate)
----------------------------------------------------------------------------------------------------------------
2020: 2030:
NMMAPS.................. Bell et al., 1.1-6.1 NMMAPS...... Bell et al., 1.7-9.7
2004. 2004.
----------------------------------------------------------------------------------------------------------------
Meta-analysis........... Bell et al., 1.8-6.9 Meta- Bell et al., 3.0-11
2005. 2.2-7.3 analysis. 2005. 3.7-12
Ito et al., Ito et al.,
2005. 2005.
Levy et al., 2.3-7.4 Levy et al., 3.7-12
2005. 2005.
----------------------------------------------------------------------------------------------------------------
Assumption that association is not causal \a\ 0.7-5.8 Assumption that association is 1.1-9.1
not causal \a\
----------------------------------------------------------------------------------------------------------------
\a\ A recent report published by the National Research Council (NRC, 2008) recommended that EPA ``give little or
no weight to the assumption that there is no causal association between estimated reductions in premature
mortality and reduced ozone exposure.''
Table IX.E-5--Total Monetized Benefits of the Final Small SI and Marine SI Engine Rule--7% Discount Rate
----------------------------------------------------------------------------------------------------------------
Mean total Ozone mortality Mean total
Ozone mortality function Reference benefits function Reference benefits
----------------------------------------------------------------------------------------------------------------
Total Ozone and PM Benefits (billions, 2005$)--PM Mortality Derived from the ACS Study
----------------------------------------------------------------------------------------------------------------
2020: 2030:
NMMAPS.................. Bell et al., $1.4 NMMAPS...... Bell et al., $2.2
2004. 2004.
----------------------------------------------------------------------------------------------------------------
Meta-analysis........... Bell et al., 2.2 Meta- Bell et al., 3.5
2005. 2.67 analysis. 2005. 4.24
Ito et al., Ito et al.,
2005. 2005.
Levy et al., 2.6 Levy et al., 4.3
2005. 2005.
----------------------------------------------------------------------------------------------------------------
Assumption that association is not causal \a\ 1.1 Assumption that association is * 1.6
not causal \a\
----------------------------------------------------------------------------------------------------------------
Total Ozone and PM Benefits (billions, 2005$)--PM Mortality Derived from Expert Elicitation (Lowest and Highest
Estimate)
----------------------------------------------------------------------------------------------------------------
2020: 2030:
NMMAPS.................. Bell et al., 1.0-5.6 NMMAPS...... Bell et al., 1.6-8.8
2004. 2004.
----------------------------------------------------------------------------------------------------------------
Meta-analysis........... Bell et al., 1.8-6.4 Meta- Bell et al., 2.9-10
2005. 2.2-6.8 analysis. 2005. 3.6-11
Ito et al., Ito et al.,
2005. 2005.
Levy et al., 2.2-6.8 Levy et al., 3.7-11
2005. 2005.
----------------------------------------------------------------------------------------------------------------
Assumption that association is not causal \a\ 0.7-5.2 Assumption that association is 1.0-8.2
not causal \a\
----------------------------------------------------------------------------------------------------------------
\a\ A recent report published by the National Research Council (NRC, 2008) recommended that EPA ``give little or
no weight to the assumption that there is no causal association between estimated reductions in premature
mortality and reduced ozone exposure.''
Table IX.E-6--Unquantified and Non-Monetized Potential Effects of the
Final Small SI and Marine SI Engine Standards
------------------------------------------------------------------------
Effects not included in analysis--
Pollutant/effects changes in:
------------------------------------------------------------------------
Ozone Health \a\.................. Chronic respiratory damage \b\.
Premature aging of the lungs \b\.
Non-asthma respiratory emergency
room visits.
Exposure to UVb (+/-) \e\.
Ozone Welfare..................... Yields for
--commercial forests.
--some fruits and vegetables.
--non-commercial crops.
Damage to urban ornamental plants.
Impacts on recreational demand from
damaged forest aesthetics.
[[Page 59160]]
Ecosystem functions.
Exposure to UVb (+/-) \e\.
PM Health \c\..................... Premature mortality--short term
exposures \d\.
Low birth weight.
Pulmonary function.
Chronic respiratory diseases other
than chronic bronchitis.
Non-asthma respiratory emergency
room visits.
Exposure to UVb (+/-) \e\.
PM Welfare........................ Residential and recreational
visibility in non-Class I areas.
Soiling and materials damage.
Damage to ecosystem functions.
Exposure to UVb (+/-) \e\.
Nitrogen and Sulfate Deposition Commercial forests due to acidic
Welfare. sulfate and nitrate deposition.
Commercial freshwater fishing due to
acidic deposition.
Recreation in terrestrial ecosystems
due to acidic deposition.
Existence values for currently
healthy ecosystems.
Commercial fishing, agriculture, and
forests due to nitrogen deposition.
Recreation in estuarine ecosystems
due to nitrogen deposition.
Ecosystem functions.
Passive fertilization.
CO Health......................... Behavioral effects.
HC/Toxics Health \f\.............. Cancer (benzene, 1,3-butadiene,
formaldehyde, acetaldehyde).
Anemia (benzene).
Disruption of production of blood
components (benzene).
Reduction in the number of blood
platelets (benzene).
Excessive bone marrow formation
(benzene).
Depression of lymphocyte counts
(benzene).
Reproductive and developmental
effects (1,3-butadiene).
Irritation of eyes and mucus
membranes (formaldehyde).
Respiratory irritation
(formaldehyde).
Asthma attacks in asthmatics
(formaldehyde).
Asthma-like symptoms in non-
asthmatics (formaldehyde).
Irritation of the eyes, skin, and
respiratory tract (acetaldehyde).
Upper respiratory tract irritation
and congestion (acrolein).
HC/Toxics Welfare................. Direct toxic effects to animals.
Bioaccumulation in the food chain.
Damage to ecosystem function.
Odor.
------------------------------------------------------------------------
\a\ The public health impact of biological responses such as increased
airway responsiveness to stimuli, inflammation in the lung, acute
inflammation and respiratory cell damage, and increased susceptibility
to respiratory infection are likely partially represented by our
quantified endpoints.
\b\ The public health impact of effects such as chronic respiratory
damage and premature aging of the lungs may be partially represented
by quantified endpoints such as hospital admissions or premature
mortality, but a number of other related health impacts, such as
doctor visits and decreased athletic performance, remain unquantified.
\c\ In addition to primary economic endpoints, there are a number of
biological responses that have been associated with PM health effects
including morphological changes and altered host defense mechanisms.
The public health impact of these biological responses may be partly
represented by our quantified endpoints.
\d\ While some of the effects of short-term exposures are likely to be
captured in the estimates, there may be premature mortality due to
short-term exposure to PM not captured in the cohort studies used in
this analysis. However, the PM mortality results derived from the
expert elicitation do take into account premature mortality effects of
short term exposures.
\e\ May result in benefits or disbenefits.
\f\ Many of the key hydrocarbons related to this rule are also
hazardous air pollutants listed in the Clean Air Act.
(3) What Are the Significant Limitations of the Benefit-Cost Analysis?
Every benefit-cost analysis examining the potential effects of a
change in environmental protection requirements is limited to some
extent by data gaps, limitations in model capabilities (such as
geographic coverage), and uncertainties in the underlying scientific
and economic studies used to configure the benefit and cost models.
Limitations of the scientific literature often result in the inability
to estimate quantitative changes in health and environmental effects,
such as potential increases in premature mortality associated with
increased exposure to carbon monoxide. Deficiencies in the economics
literature often result in the inability to assign economic values even
to those health and environmental outcomes which can be quantified.
These general uncertainties in the underlying scientific and economics
literature, which can lead to valuations that are higher or lower, are
discussed in detail in the RIA and its supporting references. Key
uncertainties that have a bearing on the results of the benefit-cost
analysis of the final standards include the following:
The exclusion of potentially significant and unquantified
benefit categories (such as health, odor, and ecological benefits of
reduction in air toxics, ozone, and PM);
Errors in measurement and projection for variables such as
population growth;
Uncertainties in the estimation of future year emissions
inventories and air quality;
Uncertainty in the estimated relationships of health and
welfare
[[Page 59161]]
effects to changes in pollutant concentrations including the shape of
the C-R function, the size of the effect estimates, and the relative
toxicity of the many components of the PM mixture;
Uncertainties in exposure estimation; and
Uncertainties associated with the effect of potential
future actions to limit emissions.
As Table IX.E-3 indicates, total benefits are driven primarily by
the reduction in premature mortalities each year. Some key assumptions
underlying the premature mortality estimates include the following,
which may also contribute to uncertainty:
Inhalation of fine particles is causally associated with
premature death at concentrations near those experienced by most
Americans on a daily basis. Although biological mechanisms for this
effect have not yet been completely established, the weight of the
available epidemiological, toxicological, and experimental evidence
supports an assumption of causality. The impacts of including a
probabilistic representation of causality were explored in the expert
elicitation-based results of the recently published PM NAAQS RIA.
Consistent with that analysis, we discuss the implications of these
results in the RIA for the final standards.
All fine particles, regardless of their chemical
composition, are equally potent in causing premature mortality. This is
an important assumption, because PM produced via transported precursors
emitted from Small SI and Marine SI engines may differ significantly
from PM precursors released from electric generating units and other
industrial sources. However, no clear scientific grounds exist for
supporting differential effects estimates by particle type.
The C-R function for fine particles is approximately
linear within the range of ambient concentrations under consideration
(above the assumed threshold of 10 [mu]g/m\3\). Thus, the estimates
include health benefits from reducing fine particles in areas with
varied concentrations of PM, including both regions that may be in
attainment with PM2.5 standards and those that are at risk
of not meeting the standards.
In a recent report on the estimation of ozone-related
premature mortality published by the National Research Council (NRC), a
panel of experts and reviewers concluded that ozone-related mortality
should be included in estimates of the health benefits of reducing
ozone exposure. The report also recommended that the estimation of
ozone-related premature mortality be accompanied by broad uncertainty
analyses while giving little or no weight to the assumption that there
is no causal association between ozone exposure and premature
mortality. Because EPA has yet to develop a coordinated response to the
NRC report's findings and recommendations, however, we have retained
the approach to estimating ozone-related premature mortality used in
RIA for the final Ozone NAAQS. EPA will specifically address the
report's findings and recommendations in future rulemakings.
Despite these uncertainties, we believe this benefit-cost analysis
provides a conservative estimate of the estimated economic benefits of
the final standards in future years because of the exclusion of
potentially significant benefit categories. Acknowledging benefits
omissions and uncertainties, we present a best estimate of the total
benefits based on our interpretation of the best available scientific
literature and methods supported by EPA's technical peer review panel,
the Science Advisory Board's Health Effects Subcommittee (SAB-HES). The
National Academies of Science (NRC, 2002) also reviewed EPA's
methodology for analyzing the health benefits of measures taken to
reduce air pollution. EPA addressed many of these comments in the
analysis of the final PM NAAQS.140, 141 The analysis of the
final standards incorporates this most recent work to the extent
possible.
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\140\ National Research Council (NRC). 2002. Estimating the
Public Health Benefits of Proposed Air Pollution Regulations. The
National Academies Press: Washington, DC.
\141\ U.S. Environmental Protection Agency. October 2006. Final
Regulatory Impact Analysis (RIA) for the Proposed National Ambient
Air Quality Standards for Particulate Matter. Prepared by: Office of
Air and Radiation. Available at HTTP://www.epa.gov/ttn/ecas/ria.html.
---------------------------------------------------------------------------
(4) Benefit-Cost Analysis
In estimating the net benefits of the final standards, the
appropriate cost measure is ``social costs.'' Social costs represent
the welfare costs of a rule to society. These costs do not consider
transfer payments (such as taxes) that are simply redistributions of
wealth. Table XII.E-7 contains the estimates of monetized benefits and
estimated social welfare costs for the final rule and each of the final
control programs. The annual social welfare costs of all provisions of
this final rule are described more fully in Section IX.F.
The results in Table IX.E-7 suggest that the 2020 monetized
benefits of the final standards are greater than the expected social
welfare costs. Specifically, the annual benefits of the total program
will range between $1.2 to $4.0 billion annually in 2020 using a three
percent discount rate, or between $1.1 to $3.8 billion assuming a 7
percent discount rate, compared to estimated social costs of
approximately $210 million in that same year. These benefits are
expected to increase to between $1.8 and $6.4 billion annually in 2030
using a three percent discount rate, or between $1.6 and $6.1 billion
assuming a 7 percent discount rate, while the social costs are
estimated to be approximately $190 million. Though there are a number
of health and environmental effects associated with the final standards
that we are unable to quantify or monetize (see Table IX.E-6), the
benefits of the final standards outweigh the projected costs. When we
examine the benefit-to-cost comparison for the rule standards
separately, we also find that the benefits of the specific engine
standards outweigh their projected costs.
Table IX.E-7--Summary of Annual Benefits, Costs, and Net Benefits of the Final Small SI and Marine SI Engine
Standards (Millions, 2005$)a
----------------------------------------------------------------------------------------------------------------
Description 2020 2030
----------------------------------------------------------------------------------------------------------------
Estimated Social Costs:b
Small SI............................ $163.............................. $185
Marine SI........................... $44............................... 0.8
-----------------------------------------------------------------------
Total Social Costs.............. $210.............................. 190
----------------------------------------------------------------------------------------------------------------
Estimated Health Benefits of the Final
Standards:c, d, e, f
Small SI:
[[Page 59162]]
3 percent discount rate......... $860 to $2,600.................... $820 to $2,900
7 percent discount rate......... $790 to $2,500.................... $710 to $2,800
Marine SI:
3 percent discount rate......... $340 to $1,400.................... $980 to $3,500
7 percent discount rate......... $310 to $1,300.................... $890 to $3,300
Total Benefits:
3 percent discount rate............. $1,200 to $4,000.................. $1,800 to $6,400
7 percent discount rate............. $1,100 to $3,800.................. $1,600 to $6,100
----------------------------------------------------------------------------------------------------------------
Annual Net Benefits (Total Benefits--
Total Costs)
3 percent discount rate............. $990 to $3,800.................... $1,600 to $6,200
7 percent discount rate............. $890 to $3,600.................... $1,400 to $5,900
----------------------------------------------------------------------------------------------------------------
a All estimates represent annualized benefits and costs anticipated for the years 2020 and 2030. Totals may not
sum due to rounding.
b The calculation of annual costs does not require amortization of costs over time. Therefore, the estimates of
annual cost do not include a discount rate or rate of return assumption (see Chapter 9 of the RIA). In Chapter
9, however, we use both a 3 percent and 7 percent social discount rate to calculate the net present value of
total social costs consistent with EPA and OMB guidelines for preparing economic analyses (US EPA, 2000 and
OMB, 2003).
c Total includes ozone and PM2.5 benefits. Range was developed by adding the estimate from the ozone premature
mortality function, including an assumption that the association is not causal, to PM2.5-related premature
mortality derived from the ACS (Pope et al., 2002) and Six Cities (Laden et al., 2006) studies.
d Annual benefits analysis results reflect the use of a 3 percent and 7 percent discount rate in the valuation
of premature mortality and nonfatal myocardial infarctions, consistent with EPA and OMB guidelines for
preparing economic analyses (US EPA, 2000 and OMB, 2003).\142\, \143\
e Valuation of premature mortality based on long-term PM exposure assumes discounting over the SAB recommended
20-year segmented lag structure described in the Regulatory Impact Analysis for the Final Clean Air Interstate
Rule (March, 2005).
f Not all possible benefits or disbenefits are quantified and monetized in this analysis. Potential benefit
categories that have not been quantified and monetized are listed in Table IX.E-6.
---------------------------------------------------------------------------
\142\ U.S. Environmental Protection Agency, 2000. Gidelines for
Preparing Economic Analyses. www.yosemite1.epa.gov/ee/epa/eed/hsf/pages/Guideline.html.
\143\ Office of Management and Budget, The Executive Office of
the President, 2003. Circular A-4. http://www.whitehouse.gov/omb/circulars.
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F. Economic Impact Analysis
We prepared an Economic Impact Analysis (EIA) to estimate the
economic impacts of the final emission control program on the Small SI
and Marine SI engine and equipment markets. In this section we briefly
describe the Economic Impact Model (EIM) we developed to estimate the
market-level changes in price and outputs for affected markets, the
social costs of the program, and the expected distribution of those
costs across affected stakeholders. As defined in EPA's Guidelines for
Preparing Economic Analyses, social costs are the value of the goods
and services lost by society resulting from a) the use of resources to
comply with and implement a regulation and b) reductions in
output.\144\
---------------------------------------------------------------------------
\144\ EPA Guidelines for Preparing Economic Analyses, EPA 240-R-
00-003, September 2000, p 113. A copy of this document can be found
at http://yosemite.epa.gov/ee/epa/eed.nsf/webpages/Guidelines.html
---------------------------------------------------------------------------
A quantitative Economic Impact Model (EIM) was developed to
estimate price and quantity changes and total social costs associated
with the emission control program. The EIM is a computer model
comprised of a series of spreadsheet modules that simulate the supply
and demand characteristics of each of the markets under consideration.
The model methodology is firmly rooted in applied microeconomic theory
and was developed following the methodology set out in OAQPS's Economic
Analysis Resource Document.\145\ Chapter 9 of the RIA contains a
detailed description of the EIM, including the economic theory behind
the model and the data used to construct it, the baseline equilibrium
market conditions, and the model's behavior parameters. The EIM and the
estimated compliance costs presented above are used to estimate the
economic impacts of the program. The results of this analysis are
summarized below.
---------------------------------------------------------------------------
\145\ U.S. Environmental Protection Agency, Office of Air
Quality Planning and Standards, Innovative Strategies and Economics
Group, OAQPS Economic Analysis Resource Document, April 1999. A copy
of this document can be found at http://www.epa.gov/ttn/ecas/econdata/Rmanual2/.
---------------------------------------------------------------------------
(1) Market Analysis Results
In the market analysis, we estimate how prices and quantities of
goods and services affected by the emission control program can be
expected to change once the program goes into effect.
The compliance costs associated with the new Small SI and Marine SI
engine and equipment standards are expected to lead to price and
quantity changes in these markets. A summary of the market analysis
results is presented in Table XII.F-1 for 2014, 2018, and 2030. These
years were chosen because 2014 is the year with the highest compliance
cost; 2018, the year in which the compliance costs are reduced due to
the learning curve, and the market impacts reflect variable costs as
well as growth in equipment population; and 2030 illustrates the long-
term impacts of the program. Results for all years can be found in
Chapter 9 of the RIA.
For all markets, the market impacts for the early years are driven
by either the fixed cost or the combination of the fixed and variable
costs associated with different standards. This leads to a small
increase in estimated price impacts for the years 2008 through 2014,
the period during which the costs change over time reflecting the
phase-in of different costs (variable and fixed costs) for each
standard or the phase-in of different standards. The increase is small
because the annual per unit compliance costs from these new standards
are relatively smaller than the engine or equipment per unit price.
The Small SI exhaust standards begin in 2011 for Class II and 2012
for Class I. The marine exhaust standards generally begin in 2010. The
Small SI evaporative emission standards are staggered beginning in
2008, with regulatory flexibility providing some small delays until
2013. The marine evaporative emission standards are staggered beginning
in 2009, with regulatory flexibility providing some small delays until
2015.
[[Page 59163]]
In the Marine SI market, the average price increase for Marine SI
engines in 2014, the high cost year, is estimated to be about 2.4
percent, or $266. In the long term (by 2030), the average price
increase is expected to decline to about 1.9 percent, or $213. On the
vessel side, the average price change reflects the direct equipment
compliance costs plus the portion of the engine costs that are passed
on to the equipment purchaser (via higher engine prices). The average
price increase in 2014 is expected to be about 1.6 percent, or $285. By
2030, this average price increase is expected to decline to about 1.3
percent, or $231. These price increases are expected to vary across
vessel categories. The category with the largest price increase is
expected to be personal watercraft engines, with an estimated price
increase of about 3.0 percent in 2014; this is expected to decrease to
2.4 percent in 2030. The smallest expected change in 2014 is expected
to be for sterndrive/inboards vessels, which are expected to see price
increases of about 0.9 percent.
In the Small SI market, the average price increase for Small SI
engines in 2014, the high cost year, is estimated to be about 8.3
percent, or $14. By 2030, this average price increase is expected to
decline to about 7.4 percent, or $12. On the equipment side, the
average price change reflects the direct equipment compliance costs
plus the portion of the engine costs that are passed on to the
equipment purchaser (via higher engine prices). The average price
increase for all Small SI equipment in 2014 is expected to be about 2.6
percent, or $10. By 2030, this average price increase is expected to
decline to about 2.3 percent, or $8. The average price increase and
quantity decrease differs by category of equipment. For Class I
equipment, the price increase is estimated to be about 6.2 percent
($17) in 2014, decreasing to 5.6 percent ($15) in 2030. For Class II
equipment, a higher price increase is expected, about 2.6 percent ($24)
in 2014, decreasing to 2.2 percent ($20) in 2030.
For the handheld equipment market, prices are expected to increase
about 0.2 percent or $0.3 for all years, and quantities are expected to
decrease about 0.3 percent.
BILLING CODE 6560-50-P
[[Page 59164]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.073
(2) Economic Welfare Analysis
In the economic welfare analysis we look at the total social costs
associated with the program and their distribution across key
stakeholders.
The total estimated social costs of the program are about $444
million, $399 million, and 459 million for 2014, 2018 and 2030. These
estimated social costs are a slight less than the total compliance
costs for those years. The slight reduction in social costs when
compared to compliance costs occurs because the total engineering costs
do not reflect the decreased sales of the Small SI and Marine SI
engines and equipment that are incorporated in the total social costs.
Results for all years are presented in Chapter 9 of the RIA.
Table XII.F-2 shows how total social costs are expected to be
shared across stakeholders, for selected years.
We estimate the total social costs of the program to be
approximately $459 million in 2030. The Marine SI sector is expected to
bear about 33.5 percent of the social costs of the programs in 2030,
and the Small SI sector is expected to bear 66.5 percent. In each of
these two sectors, these social costs are expected to be born primarily
by end-users of Marine SI and Small SI equipment (about 86 percent).
This will also be offset by the fuel savings. The remaining 14 percent
is expected to be borne by Small SI or Marine SI engine and equipment
manufacturers.
[[Page 59165]]
Table XII.F-2--Summary of Estimated Social Costs for 2014, 2018, 2030 (2005$, $million)
----------------------------------------------------------------------------------------------------------------
2014 2018 2030
-----------------------------------------------------------------
Stakeholder group Surplus Surplus Surplus
change Percent change Percent change Percent
----------------------------------------------------------------------------------------------------------------
Marine SI:
Engine Manufacturers...................... -$10.5 2.4 -$8.7 2.2 -$9.4 2.1
Equipment Manufacturers................... -$29.7 6.7 -$25.0 6.3 -$27.1 5.9
End User (Households)..................... -$130.0 29.3 -$108.2 27.1 -$117.2 25.6
Subtotal.............................. -$170.2 38.4 -$142.0 35.6 -$153.7 33.5
Small SI:
Engine Manufacturers...................... -$5.4 1.2 -$5.0 1.2 -$5.9 1.3
Equipment Manufacturers................... -$18.1 4.1 -$16.9 4.2 -$20.0 4.4
End User (Households)..................... -$250.2 56.4 -$235.0 58.9 -$278.9 60.8
Subtotal.............................. -$273.6 61.6 -$256.8 64.4 -$304.9 66.5
Total............................. -$443.8 ......... -$398.8 ......... -$458.6 .........
----------------------------------------------------------------------------------------------------------------
Table XII.F-3 contains the distribution of the total surplus losses
for the program from 2008 through 2037. This table shows that Small SI
and Marine SI equipment manufacturers are expected to bear more of the
burden of the program than engine manufacturers. The present value of
net social costs of the final standards through 2037 at a 3 percent
discount rate, shown in Table XII.F-3, is estimated to be $4.2 billion,
taking the fuel savings into account. We also performed an analysis
using a 7 percent social discount rate.\146\ Using that discount rate,
the present value of the net social costs through 2037 is estimated to
be $2.7 billion, including the fuel savings.
---------------------------------------------------------------------------
\146\ EPA has historically presented the present value of cost
and benefits estimates using both a 3 percent and a 7 percent social
discount. The 3 percent rate represents a demand-side approach and
reflects the time preference of consumption (the rate at which
society is willing to trade current consumption for future
consumption). The 7 percent rate is a cost-side approach and
reflects the shadow price of capital.
Table XII.F-3--Estimated Net Social Costs Through 2037 by Stakeholder (2005$, $million)
----------------------------------------------------------------------------------------------------------------
Percent of Percent of
Stakeholder group Surplus change total surplus Surplus change total surplus
----------------------------------------------------------------------------------------------------------------
NPV 3%
NPV 7%
----------------------------------------------------------------------------------------------------------------
Marine SI:
Engine Manufacturers........................ -$167.0 2.2 -$100.8 2.2
Equipment Manufacturers..................... -$474.5 6.2 -$285.2 6.3
End User (Households)....................... -$2,079.0 27.3 -$1,257.1 27.9
---------------------------------------------------------------
Subtotal................................ -$2,720.5 35.7 -$1,643.2 36.5
Small SI:
Engine Manufacturers........................ -$94.1 1.2 -$54.8 1.2
Equipment Manufacturers..................... -$329.9 7.4 -$195.4 7.5
End User (Households)....................... -$4,472.1 58.7 -$2,612.8 58.0
---------------------------------------------------------------
Subtotal................................ -$4,896.1 64.3 -$2,863.0 63.5
---------------------------------------------------------------
Total Social Costs.............................. -$7,616.6 .............. -$4,506.2 ..............
Fuel Savings.................................... $3,374.6 .............. $1,774.7 ..............
Net Social Costs................................ -$4,242.0 .............. -$2,731.5 ..............
----------------------------------------------------------------------------------------------------------------
(3) What Are the Significant Limitations of the Economic Impact
Analysis?
Every economic impact analysis examining the market and social
welfare impacts of a regulatory program is limited to some extent by
limitations in model capabilities, deficiencies in the economic
literatures with respect to estimated values of key variables necessary
to configure the model, and data gaps. In this EIA, there are three
potential sources of uncertainty: (1) Uncertainty resulting from the
way the EIM is designed, particularly from the use of a partial
equilibrium model; (2) uncertainty resulting from the values for key
model parameters, particularly the price elasticity of supply and
demand; and (3) uncertainty resulting from the values for key model
inputs, particularly baseline equilibrium price and quantities.
Uncertainty associated with the economic impact model structure
arises from the use of a partial equilibrium approach, the use of the
national level of analysis, and the assumption of competitive market
structure. These features of the model mean it does not take into
account impacts on secondary markets or the general economy, and it
does not consider regional impacts. The results may also be biased to
the extent that firms have some control over market prices, which would
result in the modeling over-estimating the impacts on producers of
affected goods and services.
The values used for the price elasticities of supply and demand are
critical parameters in the EIM. The values of these parameters have an
impact on both the estimated change in price and quantity produced
expected as a result of compliance with the final
[[Page 59166]]
standards and on how the burden of the social costs will be shared
among producer and consumer groups. In selecting the values to use in
the EIM it is important that they reflect the behavioral responses of
the industries under analysis.
Finally, uncertainty in measurement of data inputs can have an
impact on the results of the analysis. This includes measurement of the
baseline equilibrium prices and quantities and the estimation of future
year sales. In addition, there may be uncertainty in how similar
engines and equipment were combined into smaller groups to facilitate
the analysis. There may also be uncertainty in the compliance cost
estimations.
While variations in the above model parameters may affect the
distribution of social costs among stakeholders and the estimated
market impacts, they will not affect the total social costs of the
program. This is because the total social costs are directly related to
the total compliance costs. To explore the effects of key sources of
uncertainty, we performed a sensitivity analysis in which we examine
the results of using alternative values for the price elasticity of
supply and demand, and alternative baseline prices for certain
equipment markets. The results of these analyses are contained in
Appendix 9H of the RIA prepared for this rule.
Despite these uncertainties, we believe this economic impact
analysis provides a reasonable estimate of the expected market impacts
and social welfare costs of the final standards in future.
Acknowledging benefits omissions and uncertainties, we present a best
estimate of the social costs based on our interpretation of the best
available scientific literature and methods supported by EPA's
Guidelines for Preparing Economic Analyses and the OAQPS Economic
Analysis Resource Document.
X. Public Participation
We published the proposed rule on May 18, 2007 (72 FR 28098) and
held a public hearing on June 5, 2007 in Reston, Virginia. The public
comment period continued until August 3, 2007. We received written
comments from over 100 entities, including manufacturers, state and
environmental groups, and individual citizens. The comments covered a
wide range of issues, many of which were very specific recommendations
related to test procedures and certification and compliance provisions.
The comments and our responses are described in the Summary and
Analysis of Comments document which has been placed in the docket for
this rulemaking. Commenters also raised a variety of broader issues
that we highlight in this section.
Diffusion and running loss control for nonhandheld Small SI engines
and equipment. We proposed diffusion and running loss standards for
nonhandheld Small SI engines and equipment. The diffusion standard
included a simple measurement procedure and a corresponding standard
that could be met with basic technology to limit venting from fuel
tanks. We proposed a variety of methods for controlling running losses.
The most common approach expected is for equipment manufacturers to
install a vent line to route running loss vapors to the engine's
intake. We proposed an alternative approach that would allow equipment
manufacturers to demonstrate that fuel temperatures would increase only
a small amount during operation, which would minimize the source of
running loss vapors. Manufacturers objected to the proposed measurement
procedure and standard for diffusion emissions. They also commented
that they thought the temperature-based option for controlling running
losses was impractical based on the measurement procedures and other
implementation provisions. We are therefore removing the temperature-
based option for running loss control. Manufacturers must generally
either run a vapor line from the fuel tank to the engine's intake or
find a way to use a sealed fuel tank. Under any remaining technology
scenario for controlling running loss emissions, manufacturers would be
designing and producing their fuel tanks with inherently low diffusion
emissions. We therefore anticipate that diffusion emissions will be
controlled even though we are not adopting standards or measurement
requirements for diffusion.
SHED testing for nonhandheld engines and equipment. We proposed to
allow certification based on California ARB's SHED testing on an
interim basis to ease the transition to EPA's Phase 3 standards. The
SHED procedure is intended to measure all evaporative emissions from a
piece of equipment rather than separately measuring emissions from fuel
lines and fuel tanks. It is also intended to capture diurnal emissions.
As described in the proposal, we chose not to apply diurnal emission
standards. Manufacturers requested that we include a long-term
allowance for SHED testing so they could choose to sell California-
certified products nationwide without repeating their certification
efforts to comply with EPA's different standards and testing protocol.
While there is some chance that manufacturers could concentrate their
emission controls, for example, on diurnal and fuel tank permeation
such that they would not need low-permeation fuel lines, we believe
that on balance a SHED-certified product will invariably be at least as
low-emitting as equipment that uses only certified low-permeation fuel
lines and fuel tanks. As a result, we are including in the regulations
a long-term allowance for manufacturers to meet EPA requirements based
on an overall measurement of evaporative emissions from equipment with
complete fuel systems.
Bonding requirements for Small SI engines. We described in the
proposal that we were considering bonding requirements for Small SI
engines. We described our concerns that low-cost products were being
sold without the necessary commitment to following through on any
obligations that may arise over an engine's operating life, such as
warranty, recall, or some other finding of noncompliance with the
regulations. Several commenters strongly supported the bonding
requirements. No commenters objected to the bonding requirements. We
requested comment on defining a threshold for determining which
companies had a sufficient presence in the United States and a good
compliance history that would allow us to conclude that bonding
requirements were not needed. Subsequent discussions with manufacturers
led us to narrow our approach to focus on multiple thresholds tailored
to specific types of companies. A baseline threshold of $10 million in
long-term assets applies for engine manufacturers. A mid-level
threshold of $6 million applies to secondary engine manufacturers.
These are generally smaller companies with smaller sales volumes. We
are also including a reduced threshold of $3 million for companies that
have had U.S.-certified engines for at least ten years without any
violations. We believe bonding requirements should still apply for
companies with a long-term market presence, but a lower asset threshold
for these companies is appropriate.
A noteworthy change from the proposal is the inclusion of
domestically produced engines. While the proposal focused on imported
engines, we concluded that trade rules and good practice dictate that
the bonding requirements should apply equally to companies producing
product in the United States. Manufacturers of any substantial size
would easily meet the asset threshold, so the only additional companies
likely to be
[[Page 59167]]
affected by this change would be very small domestic manufacturers. We
may conclude that these companies too should meet bonding requirements
if we have reason to believe that they will be unable to meet their
obligations related to in-use engines. On the other hand, we believe
there will be cases where manufacturers can use something other than a
posted bond to demonstrate that they will meet these obligations. We
are therefore including provisions for a process by which small
manufacturers would be able to request that a different asset threshold
(or a different bond value) would apply. We would evaluate these
requests on a case-by-case basis and approve changes to the specified
approach only if it was clear that manufacturers would meet their in-
use obligations.
Transition to exhaust emission standards for sterndrive/inboard
engines. Manufacturers expressed concerns before the proposed rule that
they were anticipating a change in engine models from General Motors,
which supplies most companies with partially complete engines for
making sterndrive/inboard engines. With the approaching obsolescence of
two of these engine models, engine manufacturers did not want to put in
the effort to redesign those engines for one or two years of production
before they made the transition to the replacement engine models. We
described several possible approaches for addressing this in the
proposal. We are adopting a provision to specify directly in the
regulation that we are approving a one-year hardship for the affected
engine models, which allows the engine manufacturers to produce these
engines in the 2010 model year without meeting emission standards.
Starting in the 2011 model year, manufacturers would need to meet the
new emission standards for their full product line.
Phase-in for marine diurnal requirements. We proposed to apply the
diurnal emission standards for marine vessels starting in 2010.
Manufacturers recommended delaying this standard until 2011 to allow
time for the industry to establish consensus standards related to
installation parameters for carbon canisters and other elements of
diurnal emission control systems. Manufacturers also pointed out that a
one-year delay would be preferable to a phase-in, which would be
problematic for boat builders. The U.S. Coast Guard agreed that an
extra year would be helpful to ensure that manufacturers had enough
time to design and build systems that would not have safety problems.
We agreed that starting the diurnal emission standards in 2011 would be
appropriate. Late in the rulemaking process, the marine manufacturers
raised a concern that small boat builders might need additional time to
learn about the regulatory requirements and make the necessary design
changes for complying with standards. We agreed to consider a staged
approach, similar to what we are adopting for Small SI equipment
manufacturers under the Phase 3 standards, in which boat builders would
be able to make a certain number of noncompliant boats over the first
year or two. Manufacturers emphasized that the best approach was to
phase in the diurnal standard (30 percent of boats the first year, 60
percent the second year, 100 percent the third year), including large
businesses. We believe a more limited transition will be sufficient to
meet the need to modify vessels to comply with the new standards. We
are adopting approach that would allow companies to make up to 50
percent of their products between July 2011 and July 2012 that do not
yet comply with diurnal emission standards. All boats would need to
comply after July 2012. A separate provision for small-volume boat
builders would allow for up to 1200 noncompliant boats over the first
two years that the standards apply (July 2011 to July 2013).
Definition of ``engine'' We proposed to define the point at which
engines became subject to emission standards as the point at which any
component was attached to an engine block. This was intended to clarify
the relationship between primary and secondary engine manufacturers and
to prevent circumvention of the regulations by allowing the importation
or other sale of partially complete engines that needed neither
certification nor an exemption. Manufacturers pointed out that there
were several incidental components added to engines early in the
process, many times by the company that cast and/or machined the engine
block for shipment to the engine manufacturer. We objected to the idea
that an engine should not be subject to emission standards until it
reached a running configuration because this would make it difficult or
impossible to enforce our requirements. We chose to identify the best
point early in the assembly process for making engines subject to
standards to be the point of crankshaft installation. This is generally
the first major assembly procedure and it involves most of the engine's
moving parts.
Setting up the regulations to clearly prohibit the sale of
partially complete engines without a certificate or an exemption led us
to adopt provisions to accommodate the several legitimate business
practices in which manufacturers ship engines before they have reached
a certified configuration. First, we proposed a process by which
original engine manufacturers could ship partially complete engines to
secondary engine manufacturers, including requirements for labeling
engines and for secondary engine manufacturers to first obtain a
certificate for the engine in question. Commenters objected to the
labeling requirements and pointed out that there would sometimes be a
need for shipping engines before the secondary engine manufacturer had
an approved certificate. We agreed to simplify the labeling requirement
such that the primary engine manufacturer would be able to use a single
label for all its engines, identifying only its company name and the
basis for the exemption, and referring to the bill of lading, which
would identify the secondary engine manufacturer. We are also adopting
regulatory provisions to clarify that these shipments may occur during
the time that we are reviewing an application for certification from
the secondary engine manufacturer, subject to certain requirements that
are similar to those that apply for traditional engine manufacturers in
building up inventory before their certification is approved. We also
allow shipment of these engines when the secondary engine manufacturer
has a valid exemption; this may occur for example, if the secondary
engine manufacturer is developing a new model or is assembling engines
only for export.
Second, we proposed and are finalizing a provision to allow
manufacturers broad discretion to ship partially complete engines
between two of their own facilities. Manufacturers would only need to
get our approval by describing their plans for this type of shipment in
their application for certification. We may set certain reasonable
conditions to ensure that manufacturers do not use these provisions to
circumvent the regulations, but we would generally not require any
specific labeling or recordkeeping steps for this practice.
Third, we proposed to include partially complete engines sold as
replacement components under the replacement-engine exemption in Sec.
1068.240. Manufacturers expressed a concern that these engines were
needed as replacement components and should therefore not be subject to
standards. We noted that the existing replacement-engine exemption does
not fit well with partially complete engines that are identical to
engines currently being
[[Page 59168]]
produced under a valid certificate of conformity (up to that stage of
completion). As a result, we have included language in Sec. 1068.240
describing a streamlined path for these engines. The more difficult
question relates to partially complete engines specially produced for
replacement or repower where the old engine is subject to a previous
tier of emission standards. We are concerned, as described above, that
manufacturers could exploit this as a loophole if we did not specify
that these engines are subject to emission standards. We are modifying
the replacement-engine exemption to allow for very limited use of
replacement engines without the administrative requirements and
oversight provisions that currently apply under Sec. 1068.240. Under
this approach we specify that manufacturers may produce and sell a
certain number of replacement engines, including partially complete
engines, based on production volumes from preceding years without
making a determination that a new engine meeting current standards is
unavailable to repower the equipment. Manufacturers would also not need
to take possession of the old engine block (or confirm that it has been
destroyed). For any number of noncompliant replacement engines
exceeding the specified threshold, manufacturers would need to meet all
the requirements that currently apply under Sec. 1068.240. See Section
VIII above and Chapter 1 of the Summary and Analysis of Comments for
further information and discussion related to replacement engines.
XI. Statutory and Executive Order Reviews
A. Executive Order 12866: Regulatory Planning and Review
Under section 3(f)(1) of Executive Order (EO) 12866 (58 FR 51735,
October 4, 1993), this action is an ``economically significant
regulatory action'' because it is likely to have an annual effect on
the economy of $100 million or more. Accordingly, EPA submitted this
action to the Office of Management and Budget (OMB) for review under EO
12866 and any changes made in response to OMB recommendations have been
documented in the docket for this rulemaking.
In addition, EPA prepared an analysis of the potential costs and
benefits associated with this action. This analysis is contained in the
Final Regulatory Impact Analysis, which is available in the docket and
is summarized in Section IX.
B. Paperwork Reduction Act
The information collection requirements in this final rule have
been submitted for approval to the Office of Management and Budget
(OMB) under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. The
Information Collection Request (ICR) documents prepared by EPA have
been assigned EPA ICR numbers 2251.02 and 1722.06.
The Agency will collect information to ensure compliance with the
provisions in this rule. This includes a variety of requirements, both
for engine manufacturers, equipment manufacturers and manufacturers of
fuel system components. Section 208(a) of the Clean Air Act requires
that manufacturers provide information the Administrator may reasonably
require to determine compliance with the regulations; submission of the
information is therefore mandatory.
As shown in Table XIV-1, the total annual burden associated with
this final rule is about 131,000 hours and $17 million based on a
projection of 1,031 respondents. The estimated burden for engine
manufacturers is a total estimate for both new and existing reporting
requirements. Most information collection is based on annual reporting.
Burden means the total time, effort, or financial resources expended by
persons to generate, maintain, retain, or disclose or provide
information to or for a Federal agency. This includes the time needed
to review instructions; develop, acquire, install, and utilize
technology and systems for the purposes of collecting, validating, and
verifying information, processing and maintaining information, and
disclosing and providing information; adjust the existing ways to
comply with any previously applicable instructions and requirements;
train personnel to be able to respond to a collection of information;
search data sources; complete and review the collection of information;
and transmit or otherwise disclose the information.
Table XIV-1--Estimated Burden for Reporting and Recordkeeping Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
Annual
Number of Average Annual burden Annualized Annual labor operation and
Industry sector respondents burden per hours capital costs costs maintenance
respondent costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small SI engine manufacturers........................... 58 885 51,301 $4,829,036 $2,065,643 $3,268,306
Small SI equipment (evaporative)........................ 500 19 9,500 0 412,500 120,500
Tank and hose component mfr's. (evaporative)............ 53 68 3,615 0 97,670 12,773
Marine SI engine manufacturers.......................... 38 1,596 60,640 0 3,110,584 6,462,307
Marine SI equipment & fuel system component mfr. 343 29 10,020 0 730,450 120,232
(evaporative)..........................................
-----------------------------------------------------------------------------------------------
TOTAL............................................... 992 2,597 135,076 5,829,036 6,416,847 9,984,118
--------------------------------------------------------------------------------------------------------------------------------------------------------
An agency may not conduct or sponsor, and a person is not required
to respond to a collection of information unless it displays a
currently valid OMB control number. The OMB control numbers for EPA's
regulations in 40 CFR are listed in 40 CFR part 9.
C. Regulatory Flexibility Act
(1) Overview
The Regulatory Flexibility Act (RFA) generally requires an agency
to prepare a regulatory flexibility analysis of any rule subject to
notice and comment rulemaking requirements under the Administrative
Procedure Act or any other statute unless the agency certifies that the
rule will not have a significant economic impact on a substantial
number of small entities. Small entities include small businesses,
small organizations, and small governmental jurisdictions.
For purposes of assessing the impacts of this action on small
entities, small
[[Page 59169]]
entity is defined as: (1) A small business as defined by the Small
Business Administration's (SBA) regulations at 13 CFR 121.201 (see
Table XIV-2, below); (2) a small governmental jurisdiction that is a
government of a city, county, town, school district or special district
with a population of smaller than 50,000; and (3) a small organization
that is any not-for-profit enterprise which is independently owned and
operated and is not dominant in its field. The following table provides
an overview of the primary SBA small business categories potentially
affected by this regulation.
Table XIV-2--Small Business Definitions for Entities Affected by This Rule
----------------------------------------------------------------------------------------------------------------
Industry NAICS a Codes Threshold Definitions for Small Business b
----------------------------------------------------------------------------------------------------------------
Small SI and Marine SI Engine Manufacturers.. 333618 1,000 employees.
Equipment Manufacturers:
Farm Machinery........................... 333111 500 employees.
Lawn and Garden.......................... 333112 500 employees.
Construction............................. 333120 750 employees.
Sawmill and Woodworking.................. 333210 500 employees.
Pumps.................................... 333911 500 employees.
Air and Gas Compressors.................. 333912 500 employees.
Generators............................... 335312 1,000 employees.
Boat Builders................................ 336612 500 employees.
Fuel Tank Manufacturers:
Other Plastic Products................... 326199 500 employees.
Metal Stamping........................... 332116 500 employees.
Metal Tank (Heavy Gauge)................. 332420 500 employees.
Fuel Line Manufacturers:
Rubber and Plastic Fuel Lines............ 326220 500 employees.
----------------------------------------------------------------------------------------------------------------
a North American Industry Classification System.
b According to SBA's regulations (13 CFR 121), businesses with no more than the listed number of employees are
considered ``small entities'' for RFA purposes.
After considering the economic impacts of this final rule on small
entities, I certify that this action will not have a significant
economic impact on a substantial number of small entities. The small
entities directly regulated by this final rule cover a wide range of
small businesses including engine manufacturers, equipment
manufacturers, boat manufacturers, fuel tank manufacturers, and fuel
hose manufacturers. Small governmental jurisdictions and small
organizations as described above will not be impacted. We have
determined that the estimated effect of the rule is to impact 43
companies with costs between one and three percent of revenues, and 18
additional companies with costs over three percent of revenues. These
61 companies represent less than 5 percent of the total number of small
businesses impacted by the new regulations. All remaining companies
(over 1,000 of them) would be impacted with costs by less than one
percent of revenues. It should be noted that this estimate is based on
the highest level of estimated cost in the first years of the program.
We estimate substantially lower long-term costs as manufacturers learn
to produce compliant products at a lower cost over time.
Pursuant to section 603 of the RFA, EPA prepared an initial
regulatory flexibility analysis (IRFA) for the May 18, 2007 proposed
rule (72 FR 28098). Pursuant to section 609(b) of the RFA, EPA convened
a Small Business Advocacy Review Panel to obtain advice and
recommendations from representatives of small entities that would
potentially be regulated by the rule. A detailed discussion of the
Panel's advice and recommendations is found in the Panel Reports, which
have been placed in the docket for this rule.\147\ A summary of the
Panel's recommendations is presented in the May 2007 proposal (72 FR
28245).
---------------------------------------------------------------------------
\147\ ``Panel Report of the Small Business Advocacy Review Panel
on EPA's Planned Proposed Rule, Control of Emissions from Nonroad
Spark-Ignition Engines and Equipment,'' October 10, 2006, Docket
EPA-HQ-OAR-2004-0008-0562.
---------------------------------------------------------------------------
In the final rule, EPA has made some changes to the proposal that
reduced the level of impact to small entities directly regulated by the
rule. As described in Section III.C.1, EPA is adopting less stringent
standards for SD/I high-performance engines than originally proposed,
based in part on the comments from SD/I engine manufacturers, most of
which are small businesses. This change has resulted in a reduction in
the number of entities projected to be impacted by more than 1 percent.
Despite the determination that this rule will not have a
significant economic impact on a substantial number of small entities,
EPA prepared a Small Business Flexibility Analysis that has all the
components of a final regulatory flexibility analysis (FRFA). A FRFA
examines the impact of the rule on small businesses along with
regulatory alternatives that could reduce that impact. The Small
Business Flexibility Analysis (which is presented in Chapter 10 of the
Final RIA) is available for review in the docket, and is summarized
below.
(2) Need for and Objective of the Rulemaking
Air pollution is a serious threat to the health and well-being of
millions of Americans and imposes a large burden on the U.S. economy.
Ground-level ozone and carbon monoxide are linked to potentially
serious respiratory health problems, especially respiratory effects and
environmental degradation, including visibility impairment in and
around our national parks. (Section II and Chapter 2 of the Final RIA
for this rule describe these pollutants and their health effects.) Over
the past quarter century, state and federal representatives have
established emission control programs that significantly reduce
emissions from individual sources. Many of these sources now pollute at
only a small fraction of their pre-control rates.
This final rule includes standards that will require manufacturers
to substantially reduce exhaust emissions and evaporative emissions
from Marine SI engines and vessels and from Small SI engines and
equipment. We are promulgating the standards under
[[Page 59170]]
section 213(a)(3) of the Clean Air Act, which directs EPA to set
emission standards that ``achieve the greatest degree of emission
reduction achievable through the application of technology'' giving
appropriate consideration to cost, noise, energy, safety, and lead
time. In addition to the general authority to regulate nonroad engines
under the Clean Air Act, section 428 of the 2004 Consolidated
Appropriations Act requires EPA to propose and finalize regulations for
new nonroad spark-ignition engines below 50 horsepower.
(3) Summary of Significant Public Comments
In the proposal, EPA proposed provisions consistent with each of
the Panel's recommendations and sought comments on all the small
business provisions (see 72 FR 28245, May 18, 2007). We received a
number of comments during the comment period after we issued the
proposal. The following section summarizes the most significant
comments received. A summary of all comments pertaining to the small
business provisions can be found in our Summary and Analysis of
Comments document contained in the public docket for this rulemaking.
With regard to marine exhaust emission standards, NMMA and several
SD/I engine manufacturers commented on EPA's proposed criteria for
which SD/I engine manufacturers would be eligible for the small
business flexibilities. They recommended that EPA should base the
criteria on number of employees rather than engine production level.
They recommended a 500 employee threshold for small businesses with the
option to qualify as a small-volume manufacturer if the 5,000 unit
level is not exceeded.
With regard to marine evaporative emission standards, NMMA, which
represents many vessel manufacturers, noted that EPA acknowledged the
challenges faced by the small boat builders and even requested comment
on a three-year phase-in (33-66-100 percent) for the diurnal emission
standards over model years 2010-2012. Rather than a phase-in, NMMA
supported an additional two years of lead time for compliance (i.e.,
until model year 2013) for small businesses to allow for sufficient
time for these businesses to gain experience with carbon canisters.
(4) Type and Numbers of Small Entities Affected
The standards being promulgated for Small SI engines and equipment
will affect manufacturers of both handheld equipment and nonhandheld
equipment. Based on EPA certification records, the Small SI nonhandheld
engine industry is made up primarily of large manufacturers including
Briggs and Stratton, Tecumseh, Honda, Kohler and Kawasaki. The Small SI
handheld engine industry is also made up primarily of large
manufacturers including Electrolux Home Products, MTD, Homelite, Stihl
and Husqvarna. EPA has identified 10 Small SI engine manufacturers that
qualify as a small business under SBA definitions. Half of these small
manufacturers certify gasoline engines and the other half certify
liquefied petroleum gas (LPG) engines.
The Small SI equipment market is dominated by a few large
businesses including Toro, John Deere, MTD, Briggs and Stratton, and
Electrolux Home Products. While the Small SI equipment market may be
dominated by just a handful of companies, there are many small
businesses in the market; however these small businesses account for
less than 10 percent of equipment sales. We have identified over three
hundred equipment manufacturers that qualify as a small business under
the SBA definitions. More than 90 percent of these small companies
manufacture fewer than 5,000 pieces of equipment per year. The median
employment level is 65 employees for nonhandheld equipment
manufacturers and 200 employees for handheld equipment manufacturers.
The median sales revenue is approximately $9 million for nonhandheld
equipment manufacturers and $20 million for handheld equipment
manufacturers.
EPA has identified 25 manufacturers that produce fuel tanks for the
Small SI equipment market that meet the SBA definition of a small
business. Fuel tank manufacturers rely on three different processes for
manufacturing plastic tanks--rotational molding, blow molding and
injection molding. EPA has identified small business fuel tank
manufacturers using the rotational molding and blow molding processes
but has not identified any small business manufacturers using injection
molding. In addition, EPA has identified two manufacturers that produce
fuel lines for the Small SI equipment market that meet the SBA
definition of a small business. The majority of fuel line in the Small
SI market is made by large manufacturers including Avon Automotive and
Dana Corporation.
The standards being promulgated for Marine SI engines and vessels
will affect manufacturers in the OB/PWC market and the SD/I market.
Based on EPA certification records, the OB/PWC market is made up
primarily of large manufacturers including, Brunswick (Mercury),
Bombardier Recreational Products, Yamaha, Honda, Kawasaki, Polaris,
Briggs & Stratton, and Nissan. Two companies qualify as a small
business under the SBA definition. Tohatsu makes outboard engines. The
other small business is Surfango which makes a small number of
motorized surfboards and has certified their product as a PWC.
The SD/I market is made up mostly of small businesses; however,
these businesses account for less than 20 percent of engine sales. Two
large manufacturers, Brunswick (Mercruiser) and Volvo Penta, dominate
the market. We have identified 28 small entities manufacturing SD/I
marine engines. The third largest company is Indmar, which has much
fewer than the SBA threshold of 1,000 employees. Based on sales
estimates, number of employees reported by Thomas Register, and typical
engine prices, we estimate that the average revenue for the larger
small SD/I manufacturers is about $50-60 million per year. However, the
vast majority of the SD/I engine manufacturers produce low production
volumes of engines and typically have fewer than 50 employees.
The two largest boat building companies are Brunswick and Genmar.
Brunswick owns approximately 25 boat companies and Genmar owns
approximately 12 boat companies. Based on a manufacturer list
maintained by the U.S. Coast Guard, there are over 1,600 boat builders
in the United States. We estimate that, based on manufacturer
identification codes, more than 1,000 of these companies produce boats
using gasoline marine engines. According to the National Marine
Manufacturers Association (NMMA), most of these boat builders are small
businesses. These small businesses range from individuals building one
boat per year to businesses near the SBA small business threshold of
500 employees.
We have identified 14 marine fuel tank manufacturers in the United
States that qualify as small businesses under the SBA definition. These
manufacturers include five rotational molders, two blow molders, six
aluminum fuel tank manufacturers, and one specialty fuel tank
manufacturer. The small rotational molders average fewer than 50
employees while the small blow-molders average over 100 employees.
We have only identified one small fuel line manufacturer that
produces for the Marine SI market. Novaflex primarily distributes fuel
lines made by other manufacturers but does produce
[[Page 59171]]
its own filler necks. Because we expect vessel manufacturers will
design their fuel systems such that there will not be standing liquid
fuel in the fill neck (and therefore the new low-permeation fuel line
requirements will not apply to the fill neck), we have not included
this manufacturer in our analysis. The majority of fuel line in the
Marine SI market is made by large manufacturers including Goodyear and
Parker-Hannifin.
To gauge the impact of the new standards on small businesses, EPA
employed a cost-to-sales ratio test to estimate the number of small
businesses that will be impacted by less than one percent, between one
and three percent, and above three percent. For this analysis, EPA
assumed that the costs of complying with the final standards are
completely absorbed by the regulated entity. Overall, EPA projects that
43 small businesses will be impacted by one to three percent, 18 small
businesses will be impacted by over three percent, and the remaining
companies (over 1,000 small businesses) will be impacted by less than
one percent. Table XIV-3 summarizes the impacts on small businesses
from the new exhaust and evaporative emission standards for Small SI
engines and equipment and Marine SI engines and vessels. A more
detailed description of the inputs used for each affected industry
sector and the methodology used to develop the estimated impact on
small businesses in each industry sector is included in the Small
Business Flexibility Analysis as presented in Chapter 10 of the Final
RIA for this rulemaking.
Table XIV-3--Summary of Impacts on Small Businesses
------------------------------------------------------------------------
1-3 >3
Industry sector 0-1 percent percent percent
------------------------------------------------------------------------
Manufacturers of Marine OB/PWC 2................ 0 0
engines.
Manufacturers of Marine SD/I 4................ 5 0
engines < 373 kW.
Manufacturers of Marine SD/I 19............... 0 0
engines >= 373 kW (high-
performance).
Boat Builders.................. >1,000........... 0 0
Manufacturers of Fuel Lines and 14............... 0 0
Fuel Tanks for Marine SI
Vessels.
Small SI engines and equipment. 314.............. 38 18
Manufacturers of Fuel Lines and 27............... 0 0
Fuel Tanks for Small SI
Applications.
----------------------------------------
Total...................... 380 plus >1,000 43 18
boat builders.
------------------------------------------------------------------------
(5) Reporting, Recordkeeping, and Compliance Requirements
For any emission control program, EPA must have assurances that the
regulated products will meet the standards. Historically, EPA's
programs for Small SI engines and Marine SI engines have included
provisions requiring that engine manufacturers be responsible for
providing these assurances. The program that EPA is adopting for
manufacturers subject to this final rule include testing, reporting,
and recordkeeping requirements for manufacturers of engines, equipment,
vessels, and fuel system components including fuel tanks, fuel lines,
and fuel caps.
For Small SI engine manufacturers and OB/PWC engine manufacturers,
EPA is continuing the same reporting, recordkeeping, and compliance
requirements prescribed in the current regulations. For SD/I engine
manufacturers, which are not currently subject to EPA regulation, EPA
is applying similar reporting, recordkeeping, and compliance
requirements to those for OB/PWC engine manufacturers. Testing
requirements for engine manufacturers will include certification
emission (including deterioration factor) testing and production-line
testing. Reporting requirements will include emission test data and
technical data on the engines. Manufacturers will also need to keep
records of this information.
Because of the new evaporative emission requirements, there will be
new reporting, recordkeeping and compliance requirements for Small SI
equipment manufacturers. Small SI equipment manufacturers participating
in the transition program will also be subject to reporting,
recordkeeping and compliance requirements. There will also be new
reporting, recordkeeping and compliance requirements for fuel tank
manufacturers, fuel line manufacturers, fuel cap manufacturers and
marine vessel manufacturers choosing to certify their products with
EPA. Testing requirements for these manufacturers would include
certification emission testing. Reporting requirements would include
emission test data and technical data on the designs. Manufacturers
will also need to keep records of this information.
(6) Steps Taken To Minimize the Impact on Small Entities
The Panel recommended that EPA consider and seek comment on a wide
range of regulatory alternatives to mitigate the impacts of the
rulemaking on small businesses, including those flexibility options
described below. A copy of the Final Panel Report is included in the
docket for this final rule. A summary of the Panel's recommendations
for the various groups of small businesses affected by the rule is
presented in the May 2007 proposal (72 FR 28245).
In response to the Panel's recommendations, we proposed a range of
small business flexibilities for the various groups of small businesses
affected by the proposed standards. As noted earlier, we received a
number of comments during the comment period after we issued the
proposal. A complete summary of the comments pertaining to the small
business provisions can be found in our Summary and Analysis of
Comments document contained in the public docket for this rulemaking.
EPA is adopting several small business flexibilities as part of
this rule. A few changes have been made to some of the proposed
flexibilities in response to the comments received on the proposal as
well as other changes made in the rulemaking. The flexibilities
available to small businesses affected by the new exhaust emission
standards for SD/I engines are summarized in Section III.F. The
flexibilities available to small businesses affected by the new exhaust
emission standards for OB/PWC engines are summarized in Section IV.G.
The flexibilities available to small businesses affected by the new
exhaust emission standards for Small SI engines are summarized in
Section V.F. Finally, the flexibilities available to small businesses
affected by the new evaporative emission standards for both Marine SI
engines and vessels and
[[Page 59172]]
Small SI engines and equipment are summarized in Section VI.G.
D. Unfunded Mandates Reform Act
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), Public
Law 104-4, establishes requirements for federal agencies to assess the
effects of their regulatory actions on state, local, and tribal
governments and the private sector. Under section 202 of the UMRA, EPA
generally must prepare a written statement, including a cost-benefit
analysis, for proposed and final rules with ``federal mandates'' that
may result in expenditures to state, local, and tribal governments, in
the aggregate, or to the private sector, of $100 million or more in any
one year. Before promulgating an EPA rule for which a written statement
is needed, section 205 of the UMRA generally requires that EPA identify
and consider a reasonable number of regulatory alternatives and adopt
the least costly, most cost-effective, or least burdensome alternative
that achieves the objectives of the rule. The provisions of section 205
do not apply when they are inconsistent with applicable law. Moreover,
section 205 allows EPA to adopt an alternative other than the least
costly, most cost-effective, or least burdensome alternative if the
Administrator publishes with the final rule an explanation of why that
alternative was not adopted.
Before EPA establishes any regulatory requirements that may
significantly or uniquely affect small governments, including tribal
governments, it must have developed under section 203 of the UMRA a
small government agency plan. The plan must provide for notifying
potentially affected small governments, enabling officials of affected
small governments to have meaningful and timely input in the
development of EPA regulatory proposals with significant federal
intergovernmental mandates, and informing, educating, and advising
small governments on compliance with the regulatory requirements.
This rule contains no federal mandates for state, local, or tribal
governments as defined by the provisions of Title II of the UMRA. The
rule imposes no enforceable duties on any of these governmental
entities. Nothing in the rule will significantly or uniquely affect
small governments.
EPA has determined that this rule contains federal mandates that
may result in expenditures of more than $100 million to the private
sector in a single year. EPA believes that the final rule represents
the least costly, most cost-effective approach to achieve the air
quality goals of the rule. The costs and benefits associated with the
final rule are discussed in Section IX and in the Final Regulatory
Impact Analysis as required by the UMRA.
E. Executive Order 13132: Federalism
Executive Order 13132, entitled ``Federalism'' (64 FR 43255, August
10, 1999), requires EPA to develop an accountable process to ensure
``meaningful and timely input by State and local officials in the
development of regulatory policies that have federalism implications.''
``Policies that have federalism implications'' is defined in the
Executive Order to include regulations that have ``substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.''
Under section 6 of Executive Order 13132, EPA may not issue a
regulation that has federalism implications, that imposes substantial
direct compliance costs, and that is not required by statute, unless
the Federal government provides the funds necessary to pay the direct
compliance costs incurred by State and local governments, or EPA
consults with State and local officials early in the process of
developing the proposed regulation. EPA also may not issue a regulation
that has federalism implications and that preempts State law, unless
the Agency consults with State and local officials early in the process
of developing the regulation.
Section 4 of the Executive Order contains additional requirements
for rules that preempt State or local law, even if those rules do not
have federalism implications (i.e., the rules will not have substantial
direct effects on the States, on the relationship between the national
government and the states, or on the distribution of power and
responsibilities among the various levels of government). Those
requirements include providing all affected State and local officials
notice and an opportunity for appropriate participation in the
development of the regulation. If the preemption is not based on
express or implied statutory authority, EPA also must consult, to the
extent practicable, with appropriate State and local officials
regarding the conflict between State law and Federally protected
interests within the agency's area of regulatory responsibility.
This final rule has federalism implications because it preempts
State law. It does not include any significant revisions from current
statutory and regulatory requirements, but it codifies existing
statutory requirements. Prior to the passage of Public Law 108-199, the
various states could adopt and enforce nonroad emission control
standards previously adopted by the state of California under section
209(e) of the Clean Air Act, once California had received authorization
from EPA to enforce such standards. As part of directing EPA to
undertake this rulemaking, section 428 of Public Law 108-199 has taken
away the authority of states' to adopt California standards for any
nonroad spark-ignition engine under 50 horsepower that they had not
already adopted by September 1, 2003. No state had done so by that
date. No current state law is affected by the provisions of Public Law
108-199 mentioned above. This rule codifies the statutory provision
prohibiting other states from adopting California standards for nonroad
spark-ignition engines under 50 horsepower. It does not affect the
independent authority of California.
EPA did consult with representatives of various State and local
governments in developing this rule. EPA has also consulted
representatives from the National Association of Clean Air Agencies
(NACAA), which represents state and local air pollution officials.
These officials participated in two EPA workshops regarding the Small
SI safety study in which they expressed concern about the language of
section 428 of Public Law 108-199 limiting the states' ability to adopt
the California standards for nonroad spark-ignition engines under 50
horsepower and urged EPA to move expeditiously in adopting new Federal
emission standards for this category.
As required by section 8(a) of Executive Order 13132, EPA included
a certification from its Federalism Official stating that EPA had met
the Executive Order's requirements in a meaningful and timely manner,
when it sent the draft of this final rule to OMB for review pursuant to
Executive Order 12866. A copy of this certification has been included
in the public version of the official record for this final rule.
F. Executive Order 13175: Consultation and Coordination With Indian
Tribal Governments
Executive Order 13175, entitled ``Consultation and Coordination
with Indian Tribal Governments'' (65 FR 67249, November 9, 2000),
requires EPA to develop an accountable process to ensure ``meaningful
and timely input by tribal officials in the development of regulatory
policies that have tribal implications.''
This final rule does not have tribal implications as specified in
Executive Order 13175. This rule will be
[[Page 59173]]
implemented at the Federal level and impose compliance costs only on
engine and equipment manufacturers. Tribal governments will be affected
only to the extent they purchase and use equipment with regulated
engines. Thus, Executive Order 13175 does not apply to this rule.
G. Executive Order 13045: Protection of Children From Environmental
Health and Safety Risks
Executive Order 13045, ``Protection of Children from Environmental
Health Risks and Safety Risks'' (62 FR 19885, April 23, 1997) applies
to any rule that (1) is determined to be ``economically significant''
as defined under Executive Order 12866, and (2) concerns an
environmental health or safety risk that EPA has reason to believe may
have a disproportionate effect on children. If the regulatory action
meets both criteria, section 5-501 of the Order directs the Agency to
evaluate the environmental health or safety effects of the planned rule
on children, and explain why the planned regulation is preferable to
other potentially effective and reasonably feasible alternatives
considered by the Agency.
This final rule is not subject to the Executive Order because it
does not involve decisions on environmental health or safety risks that
may disproportionately affect children.
The effects of ozone on children's health were addressed in detail
in EPA's rulemaking to establish the NAAQS for these pollutants, and
EPA is not revisiting those issues here. EPA believes, however, that
the emission reductions from the strategies in this rulemaking will
further reduce air toxic emissions and the related adverse impacts on
children's health.
H. Executive Order 12898: Federal Actions To Address Environmental
Justice in Minority Populations and Low-Income Populations
Executive Order (EO) 12898 (59 FR 7629 (Feb. 16, 1994)) establishes
federal executive policy on environmental justice. Its main provision
directs federal agencies, to the greatest extent practicable and
permitted by law, to make environmental justice part of their mission
by identifying and addressing, as appropriate, disproportionately high
and adverse human health or environmental effects of their programs,
policies, and activities on minority populations and low-income
populations in the United States.
EPA has determined that this final rule will not have
disproportionately high and adverse human health or environmental
effects on minority or low-income populations because it increases the
level of environmental protection for all affected populations without
having any disproportionately high and adverse human health or
environmental effects on any population, including any minority or low-
income population. This final rule will reduce air pollution from
mobile sources in general and thus decrease the amount of such
emissions to which all affected populations are exposed.
I. Executive Order 13211: Actions That Significantly Affect Energy
Supply, Distribution, or Use
This rule is not a ``significant energy action'' as defined in
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use'' (66 FR
28355, May 22, 2001), because it is not likely to have a significant
adverse effect on the supply, distribution, or use of energy. If
promulgated, this final rule is expected to result in the use of
emission control technologies that are estimated to reduce nationwide
fuel consumption by around 100 million gallons per year by 2020.
J. National Technology Transfer Advancement Act
Section 12(d) of the National Technology Transfer and Advancement
Act of 1995 (``NTTAA''), Public Law 104-113, section 12(d) (15 U.S.C.
272 note) directs EPA to use voluntary consensus standards in its
regulatory activities unless doing so will be inconsistent with
applicable law or otherwise impractical. Voluntary consensus standards
are technical standards (e.g., materials specifications, test methods,
sampling procedures, and business practices) that are developed or
adopted by voluntary consensus standards bodies. NTTAA directs EPA to
provide Congress, through OMB, explanations when the Agency decides not
to use available and applicable voluntary consensus standards.
This final rulemaking involves technical standards. EPA will use
the test procedures specified in 40 CFR part 1065. While the Agency
identified the test procedures specified by the International
Organization for Standardization (ISO 8178) as being potentially
applicable, we are not adopting them in this final rulemaking. The use
of this voluntary consensus standard will be impractical because we
have been working with engine manufacturers and other interested
parties in comprehensive improvements to test procedures for measuring
engine emissions, as reflected by the provisions in part 1065. We
expect these procedures to form the basis for internationally
harmonized test procedures that will be adopted by ISO, other testing
organizations, and other national governments.
K. Congressional Review Act
The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the
Small Business Regulatory Enforcement Fairness Act of 1996, generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report, which includes a copy of the rule,
to each House of the Congress and to the Comptroller General of the
United States. EPA will submit a report containing this rule and other
required information to the U.S. Senate, the U.S. House of
Representatives, and the Comptroller General of the United States prior
to publication of the rule in the Federal Register. A Major rule cannot
take effect until 60 days after it is published in the Federal
Register. This action is a ``major rule'' as defined by 5 U.S.C.
804(2). This rule will be effective December 8, 2008.
List of Subjects
40 CFR Part 9
Reporting and recordkeeping requirements.
40 CFR Part 60
Administrative practice and procedure, Air pollution control,
Incorporation by reference, Intergovernmental relations, Reporting and
recordkeeping requirements.
40 CFR Part 80
Environmental protection, Air pollution control, Fuel additives,
Gasoline, Imports, Incorporation by reference, Labeling, Motor vehicle
pollution, Penalties, Reporting and recordkeeping requirements.
40 CFR Part 85
Confidential business information, Imports, Labeling, Motor vehicle
pollution, Reporting and recordkeeping requirements, Research,
Warranties.
40 CFR Part 86
Environmental protection, Administrative practice and procedure,
Air pollution control, Reporting and recordkeeping requirements, Motor
vehicle.
40 CFR Part 89
Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Labeling, Motor vehicle
pollution, Reporting and recordkeeping requirements, Research, Vessels,
Warranty.
[[Page 59174]]
40 CFR Part 90
Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Labeling, Reporting and
recordkeeping requirements, Research, Warranty.
40 CFR Part 91
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Labeling, Penalties, Reporting and recordkeeping requirements,
Warranties.
40 CFR Part 92
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Railroads, Reporting
and recordkeeping requirements, Warranties.
40 CFR Part 94
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Vessels, Reporting and
recordkeeping requirements, Warranties.
40 CFR Part 1027
Environmental protection, Administrative practice and procedure,
Air pollution control, Imports, Reporting and recordkeeping
requirements.
40 CFR Parts 10333 and 1039
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Reporting and
recordkeeping requirements, Warranties.
40 CFR Part 1042
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Vessels, Reporting and
recordkeeping requirements, Warranties.
40 CFR Parts 1045, 1048, 1051, 1054, and 1060
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Reporting and
recordkeeping requirements, Warranties.
40 CFR Part 1065
Environmental protection, Administrative practice and procedure,
Incorporation by reference, Reporting and recordkeeping requirements,
Research.
40 CFR Part 1068
Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Incorporation by reference,
Motor vehicle pollution, Penalties, Reporting and recordkeeping
requirements, Warranties.
40 CFR Part 1074
Environmental protection, Administrative practice and procedure,
Motor vehicle pollution.
Dated: September 4, 2008.
Stephen L. Johnson,
Administrator.
0
For the reasons set out in the preamble, title 40, chapter I of the
Code of Federal Regulations is amended as set forth below.
PART 9--OMB APPROVALS UNDER THE PAPERWORK REDUCTION ACT
0
1. The authority citation for part 9 continues to read as follows:
Authority: 7 U.S.C. 135 et seq., 136-136y; 15 U.S.C. 2001, 2003,
2005, 2006, 2601-2671; 21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33
U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318 1321, 1326, 1330, 1342
1344, 1345 (d) and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 1971-
1975 Comp. p. 973; 42 U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g-
1, 300g-2, 300g-3, 300g-4, 300g-5, 300g-6, 300j-1, 300j-2, 300j-3,
300j-4, 300j-9, 1857 et seq., 6901-6992k, 7401-7671q, 7542, 9601-
9657, 11023, 11048.
0
2. In Sec. 9.1 the table is amended as follows:
0
a. By adding a new center heading and entry in numerical order for
``1027.140''.
0
b. By adding a new center heading and entry in numerical order for
``1045.825''.
0
c. By removing ``1048.20'', ``1048.201-250'', ``1048.345'',
``1048.350'', ``1048.420'', and ``1048.425'' and adding a new entry in
numerical order under that center heading for ``1048.825''.
0
d. By removing ``1051.201-255'', ``1051.345'', ``1051.350'',
``1051.725'', and ``1051.730'' and adding a new entry in numerical
order under that center heading for ``1051.825''.
0
e. By adding a new center heading and entry in numerical order for
``1054.825''.
0
f. By adding a new center heading and entry in numerical order for
``1060.825''.
Sec. 9.1 OMB approvals under the Paperwork Reduction Act.
* * * * *
------------------------------------------------------------------------
40 CFR citation OMB control No.
------------------------------------------------------------------------
* * * * * * *
------------------------------------------------------------------------
Fees for Engine, Vehicle, and Equipment Compliance Programs
------------------------------------------------------------------------
1027.140............................... 2060-0104, 2060-0545
* * * * * * *
------------------------------------------------------------------------
Control of Emissions from Spark-ignition Propulsion Marine Engines
------------------------------------------------------------------------
1045.825............................... 2060-0321
------------------------------------------------------------------------
Control of Emissions from New, Large Nonroad Spark-ignition Engines
------------------------------------------------------------------------
1048.825............................... 2060-0338
------------------------------------------------------------------------
[[Page 59175]]
Control of Emissions from Recreational Engines and Vehicles
------------------------------------------------------------------------
1051.825............................... 2060-0338
------------------------------------------------------------------------
Control of Emissions from New, Small Nonroad Spark-ignition Engines and
Equipment
------------------------------------------------------------------------
1054.825............................... 2060-0338
------------------------------------------------------------------------
Control of Evaporative Emissions from New and In-use Nonroad and
Stationary Equipment
------------------------------------------------------------------------
1060.825............................... 2060-0321, 2060-0338
------------------------------------------------------------------------
------------------------------------------------------------------------
* * * * * *
------------------------------------------------------------------------
* * * * *
PART 60--STANDARDS OF PERFORMANCE FOR NEW STATIONARY SOURCES
0
3. The authority citation for part 60 continues to read as follows:
Authority: 42 U.S.C. 7401, et seq.
Subpart JJJJ--[Amended]
0
4. Section 60.4231 is amended as follows:
0
a. By revising the section heading.
0
b. By revising paragraph (a).
0
c. By revising paragraph (b).
0
d. By revising paragraph (c).
0
e. By revising paragraph (d).
0
f. By adding paragraph (f).
Sec. 60.4231 What emission standards must I meet if I am a
manufacturer of stationary SI internal combustion engines or equipment
containing such engines?
(a) Stationary SI internal combustion engine manufacturers must
certify their stationary SI ICE with a maximum engine power less than
or equal to 19 KW (25 HP) manufactured on or after July 1, 2008 to the
certification emission standards and other requirements for new nonroad
SI engines in 40 CFR part 90 or 1054, as follows:
------------------------------------------------------------------------
the engine must meet
emission standards
If engine replacement is . . and manufacturing and related
. dates are . . . requirements for
nonhandheld engines
under . . .
------------------------------------------------------------------------
(1) below 225 cc............ July 1, 2008 to 40 CFR part 90.
December 31, 2011.
(2) below 225 cc............ January 1, 2012 or 40 CFR part 1054.
later.
(3) at or above 225 cc...... July 1, 2008 to 40 CFR part 90.
December 31, 2010.
(4) at or above 225 cc...... January 1, 2011 or 40 CFR part 1054.
later.
------------------------------------------------------------------------
(b) Stationary SI internal combustion engine manufacturers must
certify their stationary SI ICE with a maximum engine power greater
than 19 KW (25 HP) (except emergency stationary ICE with a maximum
engine power greater than 25 HP and less than 130 HP) that use gasoline
and that are manufactured on or after the applicable date in Sec.
60.4230(a)(2), or manufactured on or after the applicable date in Sec.
60.4230(a)(4) for emergency stationary ICE with a maximum engine power
greater than or equal to 130 HP, to the certification emission
standards and other requirements for new nonroad SI engines in 40 CFR
part 1048. Stationary SI internal combustion engine manufacturers must
certify their emergency stationary SI ICE with a maximum engine power
greater than 25 HP and less than 130 HP that are manufactured on or
after the applicable date in Sec. 60.4230(a)(4) to the Phase 1
emission standards in 40 CFR 90.103, applicable to class II engines,
and other requirements for new nonroad SI engines in 40 CFR part 90.
Stationary SI internal combustion engine manufacturers may certify
their stationary SI ICE with a maximum engine power less than or equal
to 30 KW (40 HP) with a total displacement less than or equal to 1,000
cubic centimeters (cc) to the certification emission standards and
other requirements for new nonroad SI engines in 40 CFR part 90 or
1054, as appropriate.
(c) Stationary SI internal combustion engine manufacturers must
certify their stationary SI ICE with a maximum engine power greater
than 19 KW (25 HP) (except emergency stationary ICE with a maximum
engine power greater than 25 HP and less than 130 HP) that are rich
burn engines that use LPG and that are manufactured on or after the
applicable date in Sec. 60.4230(a)(2), or manufactured on or after the
applicable date in Sec. 60.4230(a)(4) for emergency stationary ICE
with a maximum engine power greater than or equal to 130 HP, to the
certification emission standards and other requirements for new nonroad
SI engines in 40 CFR part 1048. Stationary SI internal combustion
engine manufacturers must certify their emergency stationary SI ICE
with a maximum engine power greater than 25 HP and less than 130 HP
that are manufactured on or after the applicable date in Sec.
60.4230(a)(4) to the Phase 1 emission standards in 40 CFR 90.103,
applicable to class II engines, and other requirements for new nonroad
SI engines in 40 CFR part 90. Stationary SI internal combustion engine
manufacturers may certify their stationary SI ICE with a maximum engine
power less than or equal to 30 KW (40 HP) with a total displacement
less than or equal to 1,000 cc to the certification emission standards
and other requirements for new nonroad SI engines in 40 CFR part 90 or
1054, as appropriate.
(d) Stationary SI internal combustion engine manufacturers who
choose to certify their stationary SI ICE with a maximum engine power
greater than 19 KW (25 HP) and less than 75 KW (100 HP) (except
gasoline and rich burn engines that use LPG and emergency
[[Page 59176]]
stationary ICE with a maximum engine power greater than 25 HP and less
than 130 HP) under the voluntary manufacturer certification program
described in this subpart must certify those engines to the
certification emission standards for new nonroad SI engines in 40 CFR
part 1048. Stationary SI internal combustion engine manufacturers who
choose to certify their emergency stationary SI ICE greater than 25 HP
and less than 130 HP, must certify those engines to the Phase 1
emission standards in 40 CFR 90.103, applicable to class II engines,
for new nonroad SI engines in 40 CFR part 90. Stationary SI internal
combustion engine manufacturers may certify their stationary SI ICE
with a maximum engine power less than or equal to 30 KW (40 HP) with a
total displacement less than or equal to 1,000 cc to the certification
emission standards for new nonroad SI engines in 40 CFR part 90 or
1054, as appropriate. For stationary SI ICE with a maximum engine power
greater than 19 KW (25 HP) and less than 75 KW (100 HP) (except
gasoline and rich burn engines that use LPG and emergency stationary
ICE with a maximum engine power greater than 25 HP and less than 130
HP) manufactured prior to January 1, 2011, manufacturers may choose to
certify these engines to the standards in Table 1 to this subpart
applicable to engines with a maximum engine power greater than or equal
to 100 HP and less than 500 HP.
* * * * *
(f) Manufacturers of equipment containing stationary SI internal
combustion engines meeting the provisions of 40 CFR part 1054 must meet
the provisions of 40 CFR part 1060, to the extent they apply to
equipment manufacturers.
0
5. Section 60.4238 is revised to read as follows:
Sec. 60.4238 What are my compliance requirements if I am a
manufacturer of stationary SI internal combustion engines <=19 KW (25
HP) or a manufacturer of equipment containing such engines?
Stationary SI internal combustion engine manufacturers who are
subject to the emission standards specified in Sec. 60.4231(a) must
certify their stationary SI ICE using the certification procedures
required in 40 CFR part 90, subpart B, or 40 CFR part 1054, subpart C,
as applicable, and must test their engines as specified in those parts.
Manufacturers of equipment containing stationary SI internal combustion
engines meeting the provisions of 40 CFR part 1054 must meet the
provisions of 40 CFR part 1060, subpart C, to the extent they apply to
equipment manufacturers.
0
6. Section 60.4239 is revised to read as follows:
Sec. 60.4239 What are my compliance requirements if I am a
manufacturer of stationary SI internal combustion engines >19 KW (25
HP) that use gasoline or a manufacturer of equipment containing such
engines?
Stationary SI internal combustion engine manufacturers who are
subject to the emission standards specified in Sec. 60.4231(b) must
certify their stationary SI ICE using the certification procedures
required in 40 CFR part 1048, subpart C, and must test their engines as
specified in that part. Stationary SI internal combustion engine
manufacturers who certify their stationary SI ICE with a maximum engine
power less than or equal to 30 KW (40 HP) with a total displacement
less than or equal to 1,000 cc to the certification emission standards
and other requirements for new nonroad SI engines in 40 CFR part 90 or
40 CFR part 1054, and manufacturers of stationary SI emergency engines
that are greater than 25 HP and less than 130 HP who meet the Phase 1
emission standards in 40 CFR 90.103, applicable to class II engines,
must certify their stationary SI ICE using the certification procedures
required in 40 CFR part 90, subpart B, or 40 CFR part 1054, subpart C,
as applicable, and must test their engines as specified in those parts.
Manufacturers of equipment containing stationary SI internal combustion
engines meeting the provisions of 40 CFR part 1054 must meet the
provisions of 40 CFR part 1060, subpart C, to the extent they apply to
equipment manufacturers.
0
7. Section 60.4240 is revised to read as follows:
Sec. 60.4240 What are my compliance requirements if I am a
manufacturer of stationary SI internal combustion engines >19 KW (25
HP) that are rich burn engines that use LPG or a manufacturer of
equipment containing such engines?
Stationary SI internal combustion engine manufacturers who are
subject to the emission standards specified in Sec. 60.4231(c) must
certify their stationary SI ICE using the certification procedures
required in 40 CFR part 1048, subpart C, and must test their engines as
specified in that part. Stationary SI internal combustion engine
manufacturers who certify their stationary SI ICE with a maximum engine
power less than or equal to 30 KW (40 HP) with a total displacement
less than or equal to 1,000 cc to the certification emission standards
and other requirements for new nonroad SI engines in 40 CFR part 90 or
40 CFR part 1054, and manufacturers of stationary SI emergency engines
that are greater than 25 HP and less than 130 HP who meet the Phase 1
emission standards in 40 CFR 90.103, applicable to class II engines,
must certify their stationary SI ICE using the certification procedures
required in 40 CFR part 90, subpart B, or 40 CFR part 1054, subpart C,
as applicable, and must test their engines as specified in those parts.
Manufacturers of equipment containing stationary SI internal combustion
engines meeting the provisions of 40 CFR part 1054 must meet the
provisions of 40 CFR part 1060, subpart C, to the extent they apply to
equipment manufacturers.
0
8. Section 60.4241 is amended by revising the section heading,
paragraph (b) and adding paragraph (i) to read as follows:
Sec. 60.4241 What are my compliance requirements if I am a
manufacturer of stationary SI internal combustion engines participating
in the voluntary certification program or a manufacturer of equipment
containing such engines?
* * * * *
(b) Manufacturers of engines other than those certified to
standards in 40 CFR part 90 or 40 CFR part 1054 must certify their
stationary SI ICE using the certification procedures required in 40 CFR
part 1048, subpart C, and must follow the same test procedures that
apply to large SI nonroad engines under 40 CFR part 1048, but must use
the D-1 cycle of International Organization of Standardization 8178-4:
1996(E) (incorporated by reference, see 40 CFR 60.17) or the test cycle
requirements specified in Table 5 to 40 CFR 1048.505, except that Table
5 of 40 CFR 1048.505 applies to high load engines only. Stationary SI
internal combustion engine manufacturers who certify their stationary
SI ICE with a maximum engine power less than or equal to 30 KW (40 HP)
with a total displacement less than or equal to 1,000 cc to the
certification emission standards and other requirements for new nonroad
SI engines in 40 CFR part 90 or 40 CFR part 1054, and manufacturers of
emergency engines that are greater than 25 HP and less than 130 HP who
meet the Phase 1 standards in 40 CFR 90.103, applicable to class II
engines, must certify their stationary SI ICE using the certification
procedures required in 40 CFR part 90, subpart B, or 40 CFR part 1054,
subpart C, as applicable, and must test their engines as specified in
those parts. Manufacturers of equipment containing stationary SI
internal
[[Page 59177]]
combustion engines meeting the provisions of 40 CFR part 1054 must meet
the provisions of 40 CFR part 1060, subpart C, to the extent they apply
to equipment manufacturers.
* * * * *
(i) For engines being certified to the voluntary certification
standards in Table 1 of this subpart, the VOC measurement shall be made
by following the procedures in 40 CFR 1065.260 and 1065.265 in order to
determine the total NMHC emissions by using a flame-ionization detector
and non-methane cutter. As an alternative to the nonmethane cutter,
manufacturers may use a gas chromatograph as allowed under 40 CFR
1065.267 and may measure ethane, as well as methane, for excluding such
levels from the total VOC measurement.
0
9. Section 60.4242 is amended by revising the section heading,
paragraphs (a) and (b) and adding paragraph (f) to read as follows:
Sec. 60.4242 What other requirements must I meet if I am a
manufacturer of stationary SI internal combustion engines or equipment
containing stationary SI internal combustion engines or a manufacturer
of equipment containing such engines?
(a) Stationary SI internal combustion engine manufacturers must
meet the provisions of 40 CFR part 90, 40 CFR part 1048, or 40 CFR part
1054, as applicable, as well as 40 CFR part 1068 for engines that are
certified to the emission standards in 40 CFR part 1048 or 1054, except
that engines certified pursuant to the voluntary certification
procedures in Sec. 60.4241 are subject only to the provisions
indicated in Sec. 60.4247 and are permitted to provide instructions to
owners and operators allowing for deviations from certified
configurations, if such deviations are consistent with the provisions
of paragraphs Sec. 60.4241(c) through (f). Manufacturers of equipment
containing stationary SI internal combustion engines meeting the
provisions of 40 CFR part 1054 must meet the provisions of 40 CFR part
1060, as applicable. Labels on engines certified to 40 CFR part 1048
must refer to stationary engines, rather than or in addition to nonroad
engines, as appropriate.
(b) An engine manufacturer certifying an engine family or families
to standards under this subpart that are identical to standards
applicable under 40 CFR part 90, 40 CFR part 1048, or 40 CFR part 1054
for that model year may certify any such family that contains both
nonroad and stationary engines as a single engine family and/or may
include any such family containing stationary engines in the averaging,
banking and trading provisions applicable for such engines under those
parts. This provision also applies to equipment or component
manufacturers certifying to standards under 40 CFR part 1060.
* * * * *
(f) For manufacturers of gaseous-fueled stationary engines required
to meet the warranty provisions in 40 CFR 90.1103 or 1054.120, we may
establish an hour-based warranty period equal to at least the certified
emissions life of the engines (in engine operating hours) if we
determine that these engines are likely to operate for a number of
hours greater than the applicable useful life within 24 months. We will
not approve an alternate warranty under this paragraph (f) for nonroad
engines. An alternate warranty period approved under this paragraph (f)
will be the specified number of engine operating hours or two years,
whichever comes first. The engine manufacturer shall request this
alternate warranty period in its application for certification or in an
earlier submission. We may approve an alternate warranty period for an
engine family subject to the following conditions:
(1) The engines must be equipped with non-resettable hour meters.
(2) The engines must be designed to operate for a number of hours
substantially greater than the applicable certified emissions life.
(3) The emission-related warranty for the engines may not be
shorter than any published warranty offered by the manufacturer without
charge for the engines. Similarly, the emission-related warranty for
any component shall not be shorter than any published warranty offered
by the manufacturer without charge for that component.
0
10. Section 60.4245 is amended by revising paragraph (a)(3) to read as
follows:
Sec. 60.4245 What are my notification, reporting, and recordkeeping
requirements if I am an owner or operator of a stationary SI internal
combustion engine?
* * * * *
(a) * * *
(3) If the stationary SI internal combustion engine is a certified
engine, documentation from the manufacturer that the engine is
certified to meet the emission standards and information as required in
40 CFR parts 90, 1048, 1054, and 1060, as applicable.
* * * * *
0
11. Section 60.4247 is amended by revising the section heading,
paragraphs (a) and (b) to read as follows:
Sec. 60.4247 What parts of the mobile source provisions apply to me
if I am a manufacturer of stationary SI internal combustion engines or
a manufacturer of equipment containing such engines?
(a) Manufacturers certifying to emission standards in 40 CFR part
90, including manufacturers certifying emergency engines below 130 HP,
must meet the provisions of 40 CFR part 90. Manufacturers certifying to
emission standards in 40 CFR part 1054 must meet the provisions of 40
CFR part 1054. Manufacturers of equipment containing stationary SI
internal combustion engines meeting the provisions of 40 CFR part 1054
must meet the provisions of 40 CFR part 1060 to the extent they apply
to equipment manufacturers.
(b) Manufacturers required to certify to emission standards in 40
CFR part 1048 must meet the provisions of 40 CFR part 1048.
Manufacturers certifying to emission standards in 40 CFR part 1048
pursuant to the voluntary certification program must meet the
requirements in Table 4 to this subpart as well as the standards in 40
CFR 1048.101.
* * * * *
0
12. Section 60.4248 is amended by revising the definitions for
``Certified emissions life'' and ``Certified stationary internal
combustion engine'' to read as follows:
Sec. 60.4248 What definitions apply to this subpart?
* * * * *
Certified emissions life means the period during which the engine
is designed to properly function in terms of reliability and fuel
consumption, without being remanufactured, specified as a number of
hours of operation or calendar years, whichever comes first. The values
for certified emissions life for stationary SI ICE with a maximum
engine power less than or equal to 19 KW (25 HP) are given in 40 CFR
90.105, 40 CFR 1054.107, and 40 CFR 1060.101, as appropriate. The
values for certified emissions life for stationary SI ICE with a
maximum engine power greater than 19 KW (25 HP) certified to 40 CFR
part 1048 are given in 40 CFR 1048.101(g). The certified emissions life
for stationary SI ICE with a maximum engine power greater than 75 KW
(100 HP) certified under the voluntary manufacturer certification
program of this subpart is 5,000 hours or 7 years, whichever comes
first.
Certified stationary internal combustion engine means an engine
that belongs to an engine family that has a certificate of conformity
that complies with the emission standards and
[[Page 59178]]
requirements in this part, or of 40 CFR part 90, 40 CFR part 1048, or
40 CFR part 1054, as appropriate.
* * * * *
PART 80--REGULATION OF FUELS AND FUEL ADDITIVES
0
13. The authority citation for part 80 continues to read as follows:
Authority: 42 U.S.C. 7414, 7521(1), 7545 and 7601(a).
Subpart B--[Amended]
0
14. Section 80.22 is amended by revising paragraph (f) and adding
paragraph (g) to read as follows:
Sec. 80.22 Controls and prohibitions.
* * * * *
(f) Every retailer and wholesale purchaser-consumer shall equip all
gasoline pumps from which gasoline is dispensed into motor vehicles
with a nozzle spout that meets all the following specifications:
(1) The outside diameter of the terminal end shall not be greater
than 0.840 inches (2.134 centimeters).
(2) The terminal end shall have a straight section of at least 2.5
inches (6.34 centimeters).
(3) The retaining spring shall terminate at least 3.0 inches (7.6
centimeters) from the terminal end.
(g) The specifications in this paragraph (g) apply for any new
nozzle installations used primarily for dispensing gasoline into marine
vessels beginning January 1, 2009. (Note that nozzles meeting the
specifications of this paragraph (g) also meet the specifications of
paragraph (f) of this section. Note also that the additional
specifications in this paragraph (g) do not apply for nozzles used
primarily for dispensing gasoline into motor vehicles rather than
marine vessels.) Every retailer and wholesale purchaser-consumer shall
use nozzles meeting these specifications for any new construction or
for nozzle replacements. This does not require replacement of existing
nozzles for refueling marine vessels before they would be replaced for
other reasons. The following specifications apply to spouts on new or
replacement nozzles intended for dispensing gasoline into marine
vessels:
(1) The outside diameter of the terminal end shall have a diameter
of 0.824 0.017 inches (2.093 0.043
centimeters).
(2) The spout shall include an aspirator hole for automatic shutoff
positioned with a center that is 0.67 0.05 inches (1.70
0.13 centimeters) from the terminal end of the spout.
(3) The terminal end shall have a straight section of at least 2.5
inches (6.34 centimeters) with no holes or grooves other than the
aspirator hole.
(4) The retaining spring (if applicable) shall terminate at least
3.0 inches (7.6 centimeters) from the terminal end.
* * * * *
PART 85--CONTROL OF AIR POLLUTION FROM MOBILE SOURCES
0
15. The authority citation for part 85 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart Q--[Removed and reserved]
0
16. Remove and reserve Subpart Q, consisting of Sec. Sec. 85.1601
through 85.1606.
Subpart R--[Amended]
Sec. 85.1703 [Amended]
0
17. Section 85.1703 is amended by removing and reserving paragraph (b).
0
18. Section 85.1713 is revised to read as follows:
Sec. 85.1713 Delegated-assembly exemption.
The provisions of 40 CFR 1068.261 related to shipping engines that
are not yet in their certified configuration apply for manufacturers of
heavy-duty highway engines starting in the 2010 model year, with the
following exceptions and clarifications:
(a) The relevant prohibitions are in Clean Air Act section 203 (42
U.S.C. 7522), rather than 40 CFR 1068.101.
(b) References to equipment should be understood as references to
vehicles.
(c) The provisions related to reduced auditing rates in 40 CFR
1068.261(d)(3)(iii) apply starting with the 2014 model year.
(d) The provisions related to supplemental labeling described in 40
CFR 1068.261(c)(7)(i) and (ii) apply starting with the 2010 model year.
(e) The engine's model year does not change based on the date the
vehicle manufacturer adds the aftertreatment device.
0
19. A new Sec. 85.1714 is added to subpart R to read as follows:
Sec. 85.1714 Replacement-engine exemption.
(a) Engine manufacturers may use the provisions of 40 CFR 1068.240
to exempt new replacement heavy-duty highway engines as specified in
this section.
(b) The following provisions from 40 CFR part 1068 apply for all
complete and partially complete engines produced by an engine
manufacturer choosing to produce any exempt replacement engines under
this section:
(1) The definition of engine in 40 CFR 1068.30.
(2) The provisions of 40 CFR 1068.260 and 1068.262.
(c) Notify us in writing that you intend to use the provisions of
this section prior to producing such engines. An authorized
representative of your company must approve and sign the notification.
Your notification is considered to be your agreement to comply with all
the requirements of this section.
(d) Engine manufacturers choosing to use the provisions of this
section may opt out by sending us written notice that they will no
longer introduce into U.S. commerce engines exempted under this
section.
0
20. Subpart Y is revised to read as follows:
Subpart Y--Fees for the Motor Vehicle and Engine Compliance Program
Sec. 85.2401 Assessment of fees.
See 40 CFR part 1027 for the applicable fees associated with
certifying engines, vehicles, and equipment under this chapter.
PART 86--CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES
AND ENGINES
0
21. The authority citation for part 86 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart N--[Amended]
0
22. Section 86.1305-2010 is amended by adding paragraph (h) to read as
follows:
Sec. 86.1305-2010 Introduction; structure of subpart.
* * * * *
(h) This paragraph (h) describes how testing performed prior to
July 1, 2010 may be conducted using the test procedures of this subpart
N rather than the corresponding provisions of 40 CFR part 1065
otherwise required by this section. You must use good engineering
judgment when testing under this paragraph (h), and must comply with
the following provisions of 40 CFR part 1065:
(1) Generate a map of your engine according to 40 CFR
1065.510(b)(5)(ii) and generate test cycles according to 40 CFR
1065.610. Validate your cycle according to 40 CFR 1065.514.
(2) Follow the provisions of 40 CFR 1065.342 to verify the
performance of any sample dryers in your system. Correct your
measurements according to 40 CFR 1065.659, except use the value
[[Page 59179]]
of Kw in Sec. 1342-90(i) as the value of (1 -
xH2Oexh) in Equation 1065.659-1.
(3) Verify your NO2-to-NO converter according to 40 CFR
1065.378.
(4) For diesel engine testing, correct NOX emissions for
intake-air humidity according to 40 CFR 1065.670.
(5) You must comply with the provisions related to analyzer range
and drift in 40 CFR 1065.550. If drift correction is required, correct
your measurements according to 40 CFR 1065.672, but use the emission
calculations specified in this subpart N rather than those specified in
40 CFR 1065.650.
(6) You must comply with 40 CFR 1065.125, 1065.127, and 1065.130,
except for references to 40 CFR 1065.530(a)(1)(i), 1065.640, and
1065.655.
(7) Follow the provisions of 40 CFR 1065.370 to verify the
performance of your CLD analyzer with respect to CO2 and
H2O quench. You are not required to follow 40 CFR
1065.145(d)(2), 1065.248, or 1065.750, which are referenced in 40 CFR
1065.370.
PART 89--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD
COMPRESSION-IGNITION ENGINES
0
23. The authority citation for part 89 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart G--[Amended]
Sec. 89.614 [Removed]
0
24. Section 89.614 is removed.
Subpart K--[Amended]
0
25. Section 89.1003 is amended by revising paragraphs (b)(7)(iii),
(b)(7)(iv), and (b)(7)(v) to read as follows:
Sec. 89.1003 Prohibited acts.
* * * * *
(b) * * *
(7) * * *
(iii) If the engine being replaced was not subject to any emission
standards under this part, the replacement engine must have a permanent
label with your corporate name and trademark and the following
language, or similar alternate language approved by the Administrator:
THIS ENGINE DOES NOT COMPLY WITH FEDERAL NONROAD OR ON-HIGHWAY EMISSION
REQUIREMENTS. SALE OR INSTALLATION OF THIS ENGINE FOR ANY PURPOSE OTHER
THAN AS A REPLACEMENT ENGINE FOR AN ENGINE MANUFACTURED PRIOR TO
JANUARY 1 [INSERT APPROPRIATE YEAR] IS A VIOLATION OF FEDERAL LAW
SUBJECT TO CIVIL PENALTY.
(iv) If the engine being replaced was subject to emission standards
less stringent than those in effect when you produce the replacement
engine, the replacement engine must have a permanent label with your
corporate name and trademark and the following language, or similar
alternate language approved by the Administrator:
THIS ENGINE COMPLIES WITH U.S. EPA NONROAD EMISSION REQUIREMENTS
FOR [Identify the appropriate emission standards (by model year, tier,
or emission levels) for the replaced engine] ENGINES UNDER 40 CFR
89.1003(b)(7). SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER
THAN TO REPLACE A [Identify the appropriate emission standards (by
model year, tier, or emission levels) for the replaced engine] ENGINE
MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(v) If the old engine was subject to emission standards less
stringent than those in effect when you produce the replacement engine,
you must make the replacement engine in a configuration identical in
all material respects to the old engine. You may alternatively make the
replacement engine in a configuration identical in all material
respects to another certified engine of the same or later model year,
as long as the engine is not certified with a family emission limit
higher than that of the engine being replaced.
* * * * *
PART 90--CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES
AT OR BELOW 19 KILOWATTS
0
26. The authority citation for part 90 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
27. Section 90.1 is amended by revising paragraphs (d)(1) and (d)(5)
and adding paragraph (d)(8) to read as follows:
Sec. 90.1 Applicability.
* * * * *
(d) * * *
(1) Engines that are certified to meet the requirements of 40 CFR
part 1051 or are otherwise subject to 40 CFR part 1051 (for example,
engines used in snowmobiles and all-terrain vehicles). This part
nevertheless applies to engines used in recreational vehicles if the
manufacturer uses the provisions of 40 CFR 1051.145(a)(3) to exempt
them from the requirements of 40 CFR part 1051. Compliance with the
provisions of this part is a required condition of that exemption.
* * * * *
(5) Engines certified to meet the requirements of 40 CFR part 1048
or are otherwise subject to 40 CFR part 1048, subject to the provisions
of Sec. 90.913.
* * * * *
(8) Engines that are subject to emission standards under 40 CFR
part 1054. See 40 CFR 1054.1 to determine when part 1054 applies. Note
that certain requirements and prohibitions apply to engines built on or
after January 1, 2010 if they are installed in equipment that will be
used solely for competition, as described in 40 CFR 1054.1 and 40 CFR
1068.1; those provisions apply instead of the provisions of this part
90.
* * * * *
0
28. Section 90.2 is amended by adding paragraphs (d) and (e) to read as
follows:
Sec. 90.2 Effective dates.
* * * * *
(d) Engines used in emergency and rescue equipment as described in
Sec. 90.1(d)(7) are subject to the provisions of this part through
December 31, 2009. Starting January 1, 2010 the provisions in 40 CFR
1054.660 apply instead of those in Sec. 90.1(d)(7).
(e) Engines imported for personal use are subject to the provisions
of Sec. 90.611 through December 31, 2009. Starting January 1, 2010 the
provisions in 40 CFR 1054.630 apply instead of those in Sec. 90.611.
0
29. Section 90.3 is amended by adding a definition for ``Fuel line'' in
alphabetical order to read as follows:
Sec. 90.3 Definitions.
* * * * *
Fuel line has the meaning given in 40 CFR 1054.801.
* * * * *
Subpart B--[Amended]
0
30. Section 90.101 is revised to read as follows:
Sec. 90.101 Applicability.
(a) The requirements of this subpart B are applicable to all
nonroad engines and vehicles subject to the provisions of subpart A of
this part.
(b) In a given model year, you may ask us to approve the use of
procedures for certification, labeling, reporting and recordkeeping, or
other administrative requirements specified in 40 CFR part 1054 or 1068
instead of the comparable procedures specified in this part 90. We may
approve the request as long as it does not prevent us from ensuring
that
[[Page 59180]]
you fully comply with the intent of this part.
0
31. Section 90.107 is amended as follows:
0
a. By revising paragraph (d)(11)(ii).
0
b. By revising paragraph (d)(12).
0
c. By adding paragraphs (d)(13) and (d)(14) to read as follows:
Sec. 90.107 Application for certification.
* * * * *
(d) * * *
(11) * * *
(ii) Provide the applicable useful life as determined under Sec.
90.105;
(12) A statement indicating whether you expect the engine family to
contain only nonroad engines, only stationary engines, or both;
(13) Identification of an agent for service located in the United
States. Service on this agent constitutes service on you or any of your
officers or employees for any action by EPA or otherwise by the United
States related to the requirements of this part; and
(14) For imported engines, identification of the following starting
with the 2010 model year:
(i) The port(s) at which the manufacturer has imported engines over
the previous 12 months.
(ii) The names and addresses of the agents authorized to import the
engines.
(iii) The location of test facilities in the United States where
the manufacturer can test engines if EPA selects them for testing under
a selective enforcement audit, as specified in subpart F of this part.
* * * * *
0
32. Section 90.114 is amended by revising paragraph (g) to read as
follows:
Sec. 90.114 Requirement of certification--engine information label.
* * * * *
(g) Manufacturers may add appropriate features to prevent
counterfeit labels. For example, manufacturers may include the engine's
unique identification number on the label.
0
33. Section 90.116 is amended by revising paragraph (d)(5) and removing
and reserving paragraph (e)(1) to read as follows:
Sec. 90.116 Certification procedure--determining engine displacement,
engine class, and engine families.
* * * * *
(d) * * *
(5) The engine class. Engines of different displacements that are
within 15 percent of the largest displacement may be included within
the same engine family as long as all the engines are in the same
class;
* * * * *
(e) * * *
(1) [Reserved]
* * * * *
0
34. Section 90.120 is amended by adding paragraph (b)(3) to read as
follows:
Sec. 90.120 Certification procedure--use of special test procedures.
* * * * *
(b) * * *
(3) A manufacturer may elect to use the test procedures in 40 CFR
part 1065 as an alternate test procedure without getting advance
approval by the Administrator or meeting the other conditions of
paragraph (b)(1) of this section. The manufacturer must identify in its
application for certification that the engines were tested using the
procedures in 40 CFR part 1065. For any EPA testing with Phase 1 or
Phase 2 engines, EPA will use the manufacturer's selected procedures
for mapping engines, generating duty cycles, and applying cycle-
validation criteria. For any other parameters, EPA may conduct testing
using either of the specified procedures.
* * * * *
0
35. A new Sec. 90.127 is added to subpart B to read as follows:
Sec. 90.127 Fuel line permeation from nonhandheld engines and
equipment.
The following permeation standards apply to new nonhandheld engines
and equipment with respect to fuel lines:
(a) Emission standards and related requirements. New nonhandheld
engines and equipment with a date of manufacture of January 1, 2009 or
later that run on a volatile liquid fuel (such as gasoline) must meet
the emission standards specified in paragraph (a)(1) or (a)(2) of this
section as follows:
(1) New nonhandheld engines and equipment must use only fuel lines
that meet a permeation emission standard of 15 g/m\2\/day when measured
according to the test procedure described in 40 CFR 1060.515.
(2) Alternatively, new nonhandheld engines and equipment must use
only fuel lines that meet standards that apply for these engines and
equipment in California for the same model year (see 40 CFR 1060.810).
This may involve SHED-based measurements for equipment or testing with
fuel lines alone. If this involves SHED-based measurements, all
elements of the emission control system must remain in place for fully
assembled engines and equipment.
(3) The emission standards in this section apply with respect to
discrete fuel line segments of any length. Compliance may also be
demonstrated using aggregated systems that include multiple sections of
fuel line with connectors, and fittings. The standard applies with
respect to the total permeation emissions divided by the wetted
internal surface area of the assembly. Where it is not practical to
determine the wetted internal surface area of the assembly, the
internal surface area per unit length of the assembly may be assumed to
be equal to the ratio of internal surface area per unit length of the
hose section of the assembly.
(4) The emission standards in this section apply over a useful life
of five years.
(5) Starting with the 2010 model year, fuel lines must be labeled
in a permanent and legible manner with one of the following approaches:
(i) By meeting the labeling requirements that apply for these
engines and equipment in California.
(ii) By identifying the certificate holder's corporate name or
trademark, or the fuel line manufacturer's corporate name or trademark,
and the fuel line's permeation level. For example, the fuel line may
identify the emission standard from this section, the applicable SAE
classification, or the family number identifying compliance with
California standards. A continuous stripe or other pattern may be added
to help identify the particular type or grade of fuel line.
(6) The requirements of this section do not apply to auxiliary
marine engines.
(b) Certification requirements. Fuel lines subject to the
requirements in this section must be covered by a certificate of
conformity. Fuel line manufacturers or equipment manufacturers may
apply for certification. Certification under this section must be based
on emission data using the appropriate procedures that demonstrate
compliance with the standard, including any of the following:
(1) Emission data demonstrating compliance with fuel line
permeation requirements for model year 2008 equipment sold in
California. You may satisfy this requirement by presenting an approved
Executive Order from the California Air Resources Board showing that
the fuel lines meet the applicable standards in California. This may
include an Executive Order from the previous model year if a new
certification is pending.
(2) Emission data demonstrating a level of permeation control that
meets any of the following industry standards:
(i) R11A specifications in SAE J30 as described in 40 CFR 1060.810.
[[Page 59181]]
(ii) R12 specifications in SAE J30 as described in 40 CFR 1060.810.
(iii) Category 1 specifications in SAE J2260 as described in 40 CFR
1060.810.
(iv) Emission data demonstrating compliance with the fuel line
permeation standards in 40 CFR 1051.110.
(c) Prohibitions. (1) Except as specified in paragraph (c)(2) of
this section, introducing engines or equipment into U.S. commerce
without meeting all the requirements of this section violates Sec.
90.1003(a)(1).
(2) It is not a violation to introduce your engines into U.S.
commerce if equipment manufacturers add fuel lines when installing your
engines in their equipment. However, you must give equipment
manufacturers any appropriate instructions so that fully assembled
equipment will meet all the requirements in this section, as described
in Sec. 90.128.
0
36. A new Sec. 90.128 is added to subpart B to read as follows:
Sec. 90.128 Installation instructions.
(a) If you sell an engine for someone else to install in a piece of
nonroad equipment, give the engine installer instructions for
installing it consistent with the requirements of this part. Include
all information necessary to ensure that an engine will be installed in
its certified configuration. In particular, describe the steps needed
to control evaporative emissions, as described in Sec. 90.127. This
may include information related to the delayed requirements for small-
volume equipment manufacturers.
(b) You do not need installation instructions for engines you
install in your own equipment.
(c) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation
requirements.
(d) Equipment manufacturers failing to follow the engine
manufacturer's emission-related installation instructions will be
considered in violation of Sec. 90.1003.
0
37. A new Sec. 90.129 is added to subpart B to read as follows:
Sec. 90.129 Fuel tank permeation from handheld engines and equipment.
The permeation standards of this section apply to certain new
handheld engines and equipment with respect to fuel tanks. For the
purposes of this section, fuel tanks do not include fuel caps.
(a) Emission standards and related requirements. (1) New handheld
engines and equipment with a date of manufacture of January 1, 2009 or
later that run on a volatile liquid fuel (such as gasoline) and have
been certified to meet applicable fuel tank permeation standards in
California must meet one of the following emission standards:
(i) Engines and equipment must use only fuel tanks that meet a
permeation emission standard of 2.0 g/m2/day when measured according to
the applicable test procedure specified by the California Air Resources
Board.
(ii) Engines and equipment must use only fuel tanks that meet the
fuel tank permeation standards in 40 CFR 1060.103.
(iii) Engines and equipment must use only fuel tanks that meet
standards that apply for these engines in California for the same model
year. This may involve SHED-based measurements for equipment or testing
with fuel tanks alone. If this involves SHED-based measurements, all
elements of the emission-control system must remain in place for fully
assembled engines and equipment.
(2) Engine and equipment manufacturers may generate or use emission
credits to show compliance with the requirements of this section under
the averaging program as described in 40 CFR part 1054, subpart H.
(3) The emission standards in this section apply over a useful life
of two years.
(4) Equipment must be labeled in a permanent and legible manner
with one of the following approaches:
(i) By meeting the labeling requirements that apply for equipment
in California.
(ii) By identifying the certificate holder's corporate name or
trademark, or the fuel tank manufacturer's corporate name or trademark.
Also include the family number identifying compliance with California
standards or state: ``THIS FUEL TANK COMPLIES WITH U.S. EPA
STANDARDS.'' This label may be applied to the fuel tank or it may be
combined with the emission control information label required in Sec.
90.114. If the label information is not on the fuel tank, the label
must include a part identification number that is also permanently
applied to the fuel tank.
(5) The requirements of this section do not apply to engines or
equipment with structurally integrated nylon fuel tanks (as defined in
40 CFR 1054.801).
(b) Certification requirements. Fuel tanks subject to the
requirements in this section must be covered by a certificate of
conformity. Fuel tank manufacturers or equipment manufacturers may
apply for certification. Certification under this section must be based
on emission data using the appropriate procedures that demonstrate
compliance with the standard. You may satisfy this requirement by
presenting an approved Executive Order from the California Air
Resources Board showing that the fuel tanks meet the applicable
standards in California. This may include an Executive Order from the
previous model year for cases where new certification based on
carryover of emission data from the previous model year is pending.
(c) Prohibitions. Introducing equipment into U.S. commerce without
meeting all the requirements of this section violates Sec.
90.1003(a)(1).
Subpart C--[Amended]
0
38. Section 90.201 is revised to read as follows:
Sec. 90.201 Applicability.
(a) The requirements of this subpart C are applicable to all Phase
2 spark-ignition engines subject to the provisions of subpart A of this
part except as provided in Sec. 90.103(a). These provisions are not
applicable to any Phase 1 engines. Participation in the averaging,
banking and trading program is voluntary, but if a manufacturer elects
to participate, it must do so in compliance with the regulations set
forth in this subpart. The provisions of this subpart are applicable
for HC+NOX (NMHC+NOX) emissions but not for CO
emissions.
(b) See 40 CFR 1054.740 for special provisions for using emission
credits generated under this part 90 from Phase 2 engines to
demonstrate compliance with engines certified under 40 CFR part 1054.
(c) To the extent specified in 40 CFR part 60, subpart JJJJ,
stationary engines certified under this part and subject to the
standards of 40 CFR part 60, subpart JJJJ, may participate in the
averaging, banking and trading program described in this subpart.
0
39. Section 90.210 is amended by adding paragraph (i) to read as
follows:
Sec. 90.210 End-of-year and final reports.
* * * * *
(i) For 2007 and later model years, include in your end-of-year and
final reports an accounting to show a separate balance of emission
credits for handheld and nonhandheld engines. Use your best judgment to
differentiate your current balance of banked credits for
[[Page 59182]]
handheld and nonhandheld engines. You may exchange handheld and
nonhandheld credits to demonstrate compliance with the requirements of
this part 90. However, emission credits you generate for banking under
this part 90 will be restricted for engines subject to the requirements
of 40 CFR part 1054.
Subpart E--[Amended]
0
40. Section 90.426 is amended as follows:
0
a. By revising paragraph (b).
0
b. By revising paragraph (c)(1).
0
c. By revising paragraph (d).
0
d. By revising paragraph (i).
0
e. By adding paragraph (j).
Sec. 90.426 Dilute emission sampling calculations--gasoline fueled
engines.
* * * * *
(b) The mass flow rate, Wi in g/hr, of an emission for
mode i is determined from the following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.081
Where:
QI = Volumetric flow rate [m\3\/HR at stp].
Density = Density of a specific emission (DensityHC, DensityCO,
DensityCO2, Density NOX) [g/m\3\].
DFi = Dilution factor of the dilute exhaust during mode
i.
CDi = Concentration of the emission (HC, CO,
NOX) in dilute exhaust extracted from the CVS during mode
i [ppm].
CBi = Concentration of the emission (HC, CO,
NOX) in the background sample during mode i [ppm].
STP = Standard temperature and pressure. All volumetric calculations
made for the equations in this section are to be corrected to a
standard temperature of 20 [deg]C and a standard pressure of 101.3
kPa.
(c) * * *
(1) The value of DensityHC above is calculated based on
the assumption that the fuel used has a hydrogen to carbon ratio of
1:1.85. For other fuels DensityHC can be calculated from the
following formula:
[GRAPHIC] [TIFF OMITTED] TR08OC08.082
Where:
MHC = The molecular weight of the hydrocarbon molecule
divided by the number of carbon atoms in the molecule [g/mole].
RSTP = Ideal gas constant for a gas at STP = 0.024065
[m\3\[middot]mole]
* * * * *
(d) The dilution factor, DF, is teh ratio of the volumetric flow
rate of the background air to that of the raw engine exhaust. The
following formula is used to determine DF:
[GRAPHIC] [TIFF OMITTED] TR08OC08.083
Where:
CDHC = Concentration of HC in the dilute sample [ppm].
CDCO = Concentration of CO in the dilute sample [ppm].
CDCO2 = Concentration of CO2 in the dilute
sample [ppm].
* * * * *
(i) The mass of fuel consumed during the mode smpling period,
MFUEL, can be calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.084
Where:
GS = Mass of carbon measured during the mode sampling
period [g].
R2 = The fuel carbon weight fraction, which is the mass
of carbon in fuel per mass of fuel [g/g].
(j) The grams of carbon measured during the mode, GS,
can be calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.085
Where:
HCmass = mass of hydrocarbon emissions for the mode
sampling period [grams].
COmass mass of carbon monoxide emissions for the mode
sample period [grams].
CO2mass = mass of carbon dioxide emissions for the mode
sample period [grams].
[alpha] = The atomic hydrogen-to-carbon ratio of the fuel.
Subpart G--[Amended]
0
41. Section 90.601 is amended by adding paragraph (c) to read as
follows:
Sec. 90.601 Applicability.
* * * * *
(c) Importers must complete the appropirate EPA declaration form
before importing an engine. These forms are available on the Internet
at http://www.epa.gov/OTAQ/imports/ or by phone at 734-214-4100.
Importers must keep the forms for five years and make them available
promptly upon request.
0
42. Section 90.615 is revised to read as follows:
Sec. 90.615 Model year restrictions related to imported engines and
equipment.
The provisions of 40 CFR 1068.360 apply starting January 1, 2009.
These provisions limit the importation of engines or equipment after
new emission standards have started to apply if the engines or
equipment were built before the emission standards took effect.
Subpart K--[Amended]
0
43. Section 90.1003 is amended by revising paragraph (b)(3) to read as
follows:
Sec. 90.1003 Prohibited acts.
* * * * *
(b) * * *
(3) The followiong provisions apply for converting nonroad engines
to use alternative fuels.
(i) Until December 31, 2009, converting an engine to use a clean
alternative fuel (as defined in Title II of the Act) is not considered
a prohibited act under paragraph (a) of this section if the engine
complies with the applicable standard when operating on the alternative
fuel. Also, in the case of engines converted to dual fuel or flexible
use, the action must result in the proper functioning of the nonroad
engine when it operates on conventional fuel.
(ii) The provisions of 40 CFR 1054.645 apply starting January 1,
2010.
* * * * *
0
44. A new Sec. 90.1007 is added to subpart K to read as follows:
Sec. 90.1007 Bonding requirements related to compliance, enforcement,
and warranty assurance.
The bonding provisions of 40 CFR 1054.120(f)(4) and 1054.690 apply
for all 2010 and later model year engines starting January 1, 2010.
These provisions include measures to ensure that certifying
manufacturers are able to cover any potential compliance or enforcement
actions under the Clean Air Act and to meet their warranty obligations.
Subpart L--[Amended]
0
45. Section 90.1103 is amended by adding paragraph (e) to read as
follows:
Sec. 90.1103 Emission warranty, warranty period.
* * * * *
[[Page 59183]]
(e) Starting with the 2010 model year, you must meet the conditions
specified in 40 CFR 1054.120(f) to ensure that owners will be able to
promptly obtain warranty repairs.
Describe in your application for certification how you will meet
these conditions.
PART 91--CONTROL OF EMISSIONS FROM MARINE SPARK-IGNITION ENGINES
0
46. The authority citation for part 91 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
47. Section 91.1 is amended by adding paragraph (d) to read as follows:
Sec. 91.1 Applicability.
* * * * *
(d) This part does not apply to engines that are subject to
emission standards under 40 CFR part 1045. See 40 CFR 1045.1 to
determine when that part 1045 applies. Note that certain requirements
and prohibitions apply to engines built on or after January 1, 2010 if
they are installed in equipment that will be used solely for
competition, as described in 40 CFR 1045.1 and 40 CFR 1068.1; those
provisions apply instead of the provisions of this part 91.
Subpart B--[Amended]
0
48. Section 91.101 is revised to read as follows:
Sec. 91.101 Applicability.
(a) The requirements of this subpart B are applicable to all
engines subject to the provisions of subpart A of this part.
(b) In a given model year, you may ask us to approve the use of
procedures for certification, labeling, reporting and recordkeeping, or
other administrative requirements specified in 40 CFR part 1045 or 1068
instead of the comparable procedures specified in this part 91. We may
approve the request as long as it does not prevent us from ensuring
that you fully comply with the intent of this part.
0
49. Section 91.107 is amended by adding paragraph (d)(12) to read as
follows:
Sec. 91.107 Application for certification.
* * * * *
(d) * * *
(12) Identification of an agent for service located in the United
States. Service on this agent constitutes service on you or any of your
officers or employees for any action by EPA or otherwise by the United
States related to the requirements of this part.
* * * * *
0
50. Section 91.119 is amended by adding paragraph (b)(3) to read as
follows:
Sec. 91.119 Certification procedure--use of special test procedures.
* * * * *
(b) * * *
(3) A manufacturer may elect to use the test procedures in 40 CFR
part 1065 as an alternate test procedure without getting advance
approval by the Administrator or meeting the other conditions of
paragraph (b)(1) of this section. The manufacturer must identify in its
application for certification that the engines were tested using the
procedures in 40 CFR part 1065. For any EPA testing with engines
subject to standards under this part, EPA will use the manufacturer's
selected procedures for mapping engines, generating duty cycles, and
applying cycle-validation criteria. For any other parameters, EPA may
conduct testing using either of the specified procedures.
* * * * *
Subpart H--[Amended]
Sec. 91.707 [Removed]
0
51. Section 91.707 is removed.
Subpart K--[Amended]
0
52. A new Sec. 91.1013 is added to subpart K to read as follows:
Sec. 91.1013 Exemption for certified Small SI engines.
The provisions of 40 CFR 1045.605 and 1045.610 apply for engines
subject to the standards of this part 91. This generally allows
manufacturers to use marine engines that have been certified to
emission standards for nonroad spark-ignition engines below 19 kW
without recertifying those engines under this part 91.
Subpart L--[Amended]
0
53. Section 91.1103 is amended by revising paragraph (b)(3) to read as
follows:
Sec. 91.1103 Prohibited acts.
* * * * *
(b) * * *
(3) The following provisions apply for converting marine SI engines
to use alternative fuels:
(i) Until December 31, 2009, converting an engine to use a clean
alternative fuel (as defined in Title II of the Act) is not considered
a prohibited act under paragraph (a) of this section if the engine
complies with the applicable standard when operating on the alternative
fuel. Also, in the case of engines converted to dual fuel or flexible
use, the action must result in the proper functioning of the engine
when it operates on conventional fuel.
(ii) The provisions of 40 CFR 1045.645 apply starting January 1,
2010.
* * * * *
PART 92--CONTROL OF AIR POLLUTION FROM LOCOMOTIVES AND LOCOMOTIVE
ENGINES
0
54. The authority citation for part 92 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
55. Section 92.9 is amended by revising paragraph (b)(1)(ii) to read as
follows:
Sec. 92.9 Compliance with emission standards.
* * * * *
(b) * * *
(1) * * *
(ii) The emission values to compare with the standards shall be the
emission values of a low mileage locomotive, or development engine, or
low hour locomotive engine, adjusted by the deterioration factors
developed in accordance with the provisions of paragraph (b)(2) of this
section. Before any emission value is compared with the standard, it
shall be rounded, in accordance with ASTM E 29-93a (incorporated by
reference at Sec. 92.5), to the same number of decimal places as
contained in the applicable standard.
* * * * *
Subpart D--[Amended]
0
56. Section 92.304 is amended by revising paragraph (n)(1) to read as
follows:
Sec. 92.304 Compliance requirements.
* * * * *
(n) * * *
(1) All locomotives that are certified to an FEL that is different
from the emission standard that would otherwise apply to the locomotive
or locomotive engine are required to comply with that FEL for the
remainder of their service lives, except as allowed by Sec.
92.8(a)(4)(iii) and this subpart.
* * * * *
Subpart I--[Amended]
Sec. 92.806 [Removed]
0
57. Section 92.806 is removed.
[[Page 59184]]
PART 94--CONTROL OF EMISSIONS FROM MARINE COMPRESSION-IGNITION
ENGINES
0
58. The authority citation for part 94 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart C--[Amended]
0
59. Section 94.201 is revised to read as follows:
Sec. 94.201 Applicability.
(a) The requirements of this subpart are applicable to
manufacturers of engines subject to the standards of subpart A of this
part.
(b) In a given model year, you may ask us to approve the use of
procedures for certification, labeling, reporting and recordkeeping, or
other administrative requirements specified in 40 CFR part 1042 or 1068
instead of the comparable procedures specified in this part 94. We may
approve the request as long as it does not prevent us from ensuring
that you fully comply with the intent of this part.
Subpart I--[Amended]
Sec. 94.806 [Removed]
0
60. Section 94.806 is removed.
0
61. A new part 1027 is added to subchapter U of chapter I to read as
follows:
PART 1027--FEES FOR ENGINE, VEHICLE, AND EQUIPMENT COMPLIANCE
PROGRAMS
Sec.
1027.101 To whom do these requirements apply?
1027.105 How much are the fees?
1027.110 What special provisions apply for certification related to
motor vehicles?
1027.115 What special provisions apply for certification related to
nonroad and stationary engines?
1027.120 Can I qualify for reduced fees?
1027.125 Can I get a refund?
1027.130 How do I make a fee payment?
1027.135 What provisions apply to a deficient filing?
1027.140 What reporting and recordkeeping requirements apply under
this part?
1027.150 What definitions apply to this subpart?
1027.155 What abbreviations apply to this subpart?
Authority: 42 U.S.C. 7401-7671q.
Sec. 1027.101 To whom do these requirements apply?
(a) This part prescribes fees manufacturers must pay for activities
related to EPA's engine, vehicle, and equipment compliance program
(EVECP). This includes activities related to approving certificates of
conformity and performing tests and taking other steps to verify
compliance with emission standards. You must pay fees as described in
this part if you are a manufacturer of any of the following products:
(1) Motor vehicles and motor vehicle engines we regulate under 40
CFR part 86. This includes light-duty vehicles, light-duty trucks,
medium-duty passenger vehicles, highway motorcycles, and heavy-duty
highway engines and vehicles.
(2) The following nonroad engines and equipment:
(i) Locomotives and locomotive engines we regulate under 40 CFR
part 92 or 1033.
(ii) Nonroad compression-ignition engines we regulate under 40 CFR
part 89 or 1039.
(iii) Marine compression-ignition engines we regulate under 40 CFR
part 94 or 1042.
(iv) Marine spark-ignition engines and vessels we regulate under 40
CFR part 91, 1045, or 1060. We refer to these as Marine SI engines.
(v) Nonroad spark-ignition engines above 19 kW we regulate under 40
CFR part 1048. We refer to these as Large SI engines.
(vi) Recreational vehicles we regulate under 40 CFR part 1051.
(vii) Nonroad spark-ignition engines and equipment at or below 19
kW we regulate under 40 CFR part 90, 1054, or 1060. We refer to these
as Small SI engines.
(3) The following stationary internal combustion engines:
(i) Stationary compression-ignition engines we certify under 40 CFR
part 60, subpart IIII.
(ii) Stationary spark-ignition engines we certify under 40 CFR part
60, subpart JJJJ.
(b) This part applies to applications for certification that we
receive on or after December 8, 2008. Earlier applications are subject
to the provisions of 40 CFR part 85, subpart Y, as that provision read
before December 8, 2008.
(c) Nothing in this part limits our authority to conduct testing or
to require you to conduct testing as provided in the Act, including our
authority to require you to conduct in-use testing under section 208 of
the Act (42 U.S.C. 7542).
(d) Paragraph (a) of this section identifies the parts of the CFR
that define emission standards and other requirements for particular
types of engines and vehicles. This part 1027 refers to each of these
other parts generically as the ``standard-setting part.'' For example,
40 CFR part 1051 is always the standard-setting part for recreational
vehicles. For some nonroad engines, we allow for certification related
to evaporative emissions separate from exhaust emissions. In this case,
40 CFR part 1060 is the standard-setting part for the equipment or fuel
system components you produce.
Sec. 1027.105 How much are the fees?
(a) Fees are determined based on the date we receive a complete
application for certification. Each reference to a year in this subpart
refers to the calendar year, unless otherwise specified. Paragraph (b)
of this section specifies baseline fees, which applied for certificates
received in 2005. For engine and vehicles not yet subject to standards
in 2005, these values represent the fees that apply initially based on
available information to characterize what the fees would have been in
2005. See paragraph (c) of this section for provisions describing how
we calculate fees for future years.
(b) The following baseline fees for each application for
certification:
(1) Except as specified in paragraph (b)(2) of this section for
Independent Commercial Importers, the following fees apply for motor
vehicles and motor vehicle engines:
------------------------------------------------------------------------
Category Certificate type Fee
------------------------------------------------------------------------
(i) Light-duty vehicles and trucks Federal............. $33,883
(ii) Light-duty vehicles and California-only..... 16,944
trucks.
(iii) Medium-duty passenger Federal............. 33,883
vehicles.
(iv) Medium-duty passenger California-only..... 16,944
vehicles.
(v) Highway motorcycle............ All................. 2,414
(vi) Heavy-duty highway engine.... Federal............. 21,578
(vii) Heavy-duty highway engine... California-only..... 826
(viii) Complete heavy-duty highway Federal............. 33,883
vehicles.
(ix) Complete heavy-duty highway California-only..... 16,944
vehicles.
[[Page 59185]]
(x) Heavy-duty vehicle............ Evap................ 826
------------------------------------------------------------------------
(2) A fee of $8,387 applies for Independent Commercial Importers
with respect to the following motor vehicles:
(i) Light-duty vehicles and light-duty trucks.
(ii) Medium-duty passenger vehicles.
(iii) Complete heavy-duty highway vehicles.
(3) The following fees apply for nonroad and stationary engines,
vehicles, equipment, and components:
------------------------------------------------------------------------
Category Certificate type Fee
------------------------------------------------------------------------
(i) Locomotives and locomotive All................. $826
engines.
(ii) Marine compression-ignition All, including Annex 826
engines and stationary VI.
compression-ignition engines with
per-cylinder displacement at or
above 10 liters.
(iii) Other nonroad compression- All................. 1,822
ignition engines and stationary
compression-ignition engines with
per-cylinder displacement below
10 liters.
(iv) Large SI engines............. All................. 826
(v) Stationary spark-ignition All................. 826
engines above 19 kW.
(vi) Marine SI engines and Small Exhaust only........ 826
SI engines.
(vii) Stationary spark-ignition Exhaust only........ 826
engines at or below 19 kW.
(viii) Recreational vehicles...... Exhaust (or combined 826
exhaust and evap).
(ix) Equipment and fuel system Evap (where separate 241
components associated with certification is
nonroad and stationary spark- required).
ignition engines.
------------------------------------------------------------------------
(c) We will calculate adjusted fees for later years based on
changes in the Consumer Price Index and the number of certificates. We
will announce adjusted fees for a given year by January 31 of the
preceding year.
(1) We will adjust the values specified in paragraph (b) of this
section for later years as follows:
(i) Use the fee identified in Sec. 1027.105(b)(3) through 2014 for
certification related to evaporative emissions from nonroad and
stationary engines when a separate fee applies for certification to
evaporative emission standards. Use the following equation starting
with 2015:
[GRAPHIC] [TIFF OMITTED] TR08OC08.086
Where:
Certificate FeeCY = Fee per certificate for a given year.
Op = operating costs are all of EPA's nonlabor costs for each
category's compliance program, including any fixed costs associated
with EPA's testing laboratory, as described in paragraph (d)(1) of
this section.
L = the labor costs, to be adjusted by the Consumer Price Index, as
described in paragraph (d)(1) of this section.
CPICY-2 = the Consumer Price Index for the month of
November two years before the applicable calendar year, as described
in paragraph (d)(2) of this section.
CPI2006 = 201.8. This is based on the October 2006 value
of the Consumer Price Index.
OH = 1.169. This is based on EPA overhead, which is applied to all
costs.
certMY-2 = the total number of certificates
issued for a fee category in the model year two years before the
calendar year for the applicable fees as described in paragraph
(d)(3) of this section.
certMY-3 = the total number of certificates
issued for a fee category in the model year three years before the
calendar year for the applicable fees as described in paragraph
(d)(3) of this section.
(ii) Use the following equation for all other certificates for 2006
and later:
[GRAPHIC] [TIFF OMITTED] TR08OC08.087
Where:
CPI2002 = 180.9. This is based on the December 2002 value
of the Consumer Price Index as described in paragraph (d)(2) of this
section.
(2) The fee for any year will remain at the previous year's amount
until the value calculated in paragraph (c)(1) of this section differs
by at least $50 from the amount specified for the previous year.
(d) Except as specified in Sec. 1027.110(a) for motor vehicles and
motor vehicle engines, we will use the following values to determine
adjusted fees using the equation in paragraph (c) of this section:
(1) The following values apply for operating costs and labor costs:
------------------------------------------------------------------------
Engine or Vehicle Category Op L
------------------------------------------------------------------------
(i) Light-duty, medium-duty passenger, $3,322,039 $2,548,110
and complete heavy-duty highway vehicle
certification..........................
[[Page 59186]]
(ii) Light-duty, medium-duty passenger, 2,858,223 2,184,331
and complete heavy-duty highway vehicle
in-use testing.........................
(iii) Independent Commercial Importers 344,824 264,980
identified in Sec. 1027.105(b)(2)....
(iv) Highway motorcycles................ 225,726 172,829
(v) Heavy-duty highway engines.......... 1,106,224 1,625,680
(vi) Nonroad compression-ignition 486,401 545,160
engines that are not locomotive or
marine engines, and stationary
compression-ignition engines with per-
cylinder displacement below 10 liters..
(vii) Evaporative certificates related 5,039 236,670
to nonroad and stationary engines......
(viii) All other........................ 177,425 548,081
------------------------------------------------------------------------
(2) The applicable Consumer Price Index is based on the values
published by the Bureau of Labor Statistics for all U.S. cities using
the ``U.S. city average'' area, ``all items,'' and ``not seasonally
adjusted'' numbers (see ftp://ftp.bls.gov/pub/special.requests/cpi/cpiai.txt). For example, we calculated the 2006 fees using the Consumer
Price Index for November 2004, which is 191.0.
(3) Fee categories for counting the number of certificates issued
are based on the grouping shown in paragraph (d)(1) of this section.
(e) The following example for calculating the 2006 complete federal
heavy duty highway vehicle fee illustrates the fee adjustment:
Op = $1,106,224
L = $1,625,680
CPI2002 = 180.9
CPI2004 = 191.0
cert 2004 = 131
cert2003 = 95
Fee06 = [$1,106,224 + $1,625,680 . (191.0/180.9)] .
1.169/[(131+95) . 0.5] = $29,200.88
Assessed Fee = $29,201
Sec. 1027.110 What special provisions apply for certification related
to motor vehicles?
(a) We will adjust fees for 2006 and later years for light-duty,
medium-duty passenger, and complete heavy-duty highway vehicles as
follows:
(1) California-only certificates. Calculate adjusted fees for
California-only certificates by applying the light-duty, medium-duty
passenger, and complete heavy-duty highway vehicle certification Op and
L values to the equation in Sec. 1027.105(c). The total number of
certificates issued will be the total number of California-only and
federal light-duty, medium-duty passenger, and complete heavy-duty
highway vehicle certificates issued during the appropriate model years.
(2) Federal certificates. Calculate adjusted fees for federal
certificates with the following three steps:
(i) Apply the light-duty, medium-duty passenger, and complete
heavy-duty highway vehicle certification Op and L values to the
equation in Sec. 1027.105(c) to determine the certification portion of
the light-duty fee. The total number of certificates issued will be the
total number of California-only and federal light-duty, medium-duty
passenger and complete heavy-duty highway vehicle certificates issued
during the appropriate model years.
(ii) Apply the light-duty, medium-duty passenger, and complete
heavy-duty highway vehicle in-use testing Op and L values to the
equation in Sec. 1027.105(c) to determine the in-use testing portion
of the fee. The total number of certificates issued will be the total
number of federal light-duty, medium-duty passenger, and complete
heavy-duty highway vehicle certificates issued during the appropriate
model years.
(iii) Add the certification and in-use testing portions determined
in paragraphs (a)(2)(i) and (ii) of this section to determine the total
light-duty, medium-duty passenger, and complete heavy-duty highway
vehicle fee for each federal certificate.
(b) For light-duty vehicles, light-duty trucks, medium-duty
passenger vehicles, highway motorcycles, and complete heavy-duty
highway vehicles subject to exhaust emission standards, the number of
certificates issued as specified in Sec. 1027.105(d)(3) is based only
on engine families with respect to exhaust emissions. A separate fee
applies for each evaporative family for heavy-duty engines.
(c) If you manufacture a heavy-duty vehicle that another company
has certified as an incomplete vehicle such that you exceed the maximum
fuel tank size specified by the original manufacturer in the applicable
certificate of conformity, you must submit a new application for
certification and certification fee for the vehicle.
Sec. 1027.115 What special provisions apply for certification related
to nonroad and stationary engines?
(a) For spark-ignition engines above 19 kW that we regulate under
40 CFR part 1048 and for all compression-ignition engines, the
applicable fee is based only on engine families with respect to exhaust
emissions.
(b) For manufacturers certifying recreational vehicles with respect
to both exhaust and evaporative emission standards, fees are determined
using one of the following approaches:
(1) If your engine family includes demonstration of compliance with
both exhaust and evaporative emission standards, the applicable fee is
based on certification related to the combined family. No separate fee
applies for certification with respect to evaporative emission
standards. These are all considered engine families complying with
exhaust emissions for determining the number of certificates for
calculating fees for later years.
(2) If you have separate families for demonstrating compliance with
exhaust and evaporative emission standards, a separate fee from the
appropriate fee category applies for each unique family. Also, the
number of certificates issued as specified in Sec. 1027.105(d)(3) is
based on a separate count of emission families for exhaust and
evaporative emissions for each respective fee category.
(c) For manufacturers certifying other spark-ignition engines or
equipment with respect to exhaust and evaporative emission standards, a
separate fee from the appropriate fee category applies for each unique
family. A single engine or piece of equipment may involve separate
emission families and certification fees for exhaust and evaporative
emissions. Also, the number of certificates issued as specified in
Sec. 1027.105(d)(3) is based on a separate count of emission families
for exhaust and evaporative emissions for each respective fee category.
(d) For any certification related to evaporative emissions from
engines, equipment, or components not covered by paragraph (a) through
(c) of this section, the fee applies for each certified product
independent of certification for exhaust emissions, as illustrated in
the following examples:
(1) A fuel tank certified to meet permeation and diurnal emission
standards would count as a single family for assessing the
certification fee and for calculating fee amounts for future years.
(2) If an equipment manufacturer applies for certification to
generate or use emission credits for fuel tanks and
[[Page 59187]]
fuel lines, each affected fuel-tank and fuel-line family would count as
a single family for assessing the certification fee and for calculating
fee amounts for future years. This fee applies whether or not the
equipment manufacturer is applying for certification to demonstrate
compliance with another emission standard, such as running losses.
(e) If you certify fuel system components under 40 CFR part 1060, a
single fee applies for each emission family even if those components
are used with different types of nonroad or stationary engines.
(f) If your application for certification relates to emission
standards that apply only in California, you must pay the same fee
identified for meeting EPA standards.
(g) For marine compression-ignition engines, if you apply for a
federal certificate and an Annex VI certificate for the same engine
family, a single fee applies for the engine family (see 40 CFR parts 94
and 1042).
(h) If you produce engines for multiple categories in a single
engine family, a single fee applies for the engine family. For example,
40 CFR 60.4210 allows you to produce stationary and nonroad
compression-ignition engines in a single engine family. If the
certification fee for the different types of engines is different, the
fee that applies for these engines is based on the emission standards
to which you certify the engine family. For example, if you certify
marine diesel engines to the standards that apply to land-based nonroad
diesel engines under 40 CFR 94.912, the certification fee is based on
the rate that applies for land-based nonroad diesel engines.
Sec. 1027.120 Can I qualify for reduced fees?
(a) Eligibility requirements. Both of the following conditions must
be met before you are eligible for a reduced fee:
(1) The certificate is to be used for sale of vehicles or engines
within the United States.
(2) The full fee for an application for certification for a model
year exceeds 1.0% of the aggregate projected retail sales price of all
vehicles or engines covered by the certificate.
(b) Initial reduced fee calculation. (1) If the conditions of
paragraph (a) of this section are met, the initial fee paid must be
$750 or 1.0% of the aggregate projected retail sales price of all the
vehicles or engines to be covered by the certificate, whichever is
greater.
(2) For vehicles or engines that are converted to operate on an
alternative fuel using as the basis for the conversion a vehicle or
engine that is covered by an existing certificate of conformity, the
cost basis used in this section must be the aggregate projected retail
value-added to the vehicle or engine by the conversion rather than the
full cost of the vehicle or engine. For this provision to apply, the
existing certificate must cover the same sales area and model year as
the requested certificate for the converted vehicle or engine.
(3) For remanufacturing systems, the cost basis used in this
section must be the aggregate projected retail cost of a complete
remanufacture, including the cost of the replacement components,
software, and assembly.
(4) For ICI certification applications, the cost basis of this
section must be the aggregate projected retail cost of the entire
vehicle(s) or engine(s), not just the value added by the conversion. If
the vehicles/engines covered by an ICI certificate are not being
offered for sale, the manufacturer shall use the fair retail market
value of the vehicles/engines as the retail sale price required in this
section. For an ICI application for certification, the retail sales
price (or fair retail market value) must be based on the applicable
National Automobile Dealer's Association (NADA) appraisal guide and/or
other evidence of the actual market value.
(5) The aggregate cost used in this section must be based on the
total projected sales of all vehicles and engines under a certificate,
including vehicles and engines modified under the modification and test
option in 40 CFR 85.1509 and 89.609. The projection of the number of
vehicles or engines to be covered by the certificate and their
projected retail selling price must be based on the latest information
available at the time of the fee payment.
(6) You may submit a reduced fee as described in this section if it
is accompanied by a calculation of the fee based on the number of
vehicles covered and the projected aggregate retail sales price as
specified on the fee filing form. Your reduced fee calculation shall be
deemed approved unless we determine that the criteria of this section
have not been met. We may make such a determination either before or
after issuing a certificate of conformity. If we determine that the
requirements of this section have not been met, we may deny future
reduced fee applications and require submission of the full fee payment
until you demonstrate to our satisfaction that your reduced fee
submissions are based on accurate data and that final fee payments are
made within 45 days of the end of the model year.
(7) If we deny your request for a reduced fee, you must send us the
appropriate fee within 30 days after we notify you.
(c) Revision of the number of vehicles or engines covered by the
certificate. (1) You must take both of the following steps if the
number of vehicles or engines to be produced or imported under the
certificate exceeds the number indicated on the certificate (including
a certificate under which modification and test vehicles are imported
under 40 CFR 85.1509 and 89.609):
(i) Request that we revise the certificate with a number that
indicates the new projection of the vehicles or engines to be covered
by the certificate. We must issue the revised certificate before the
additional number of vehicles or engines may be sold or finally
imported into the United States.
(ii) Submit payment of 1.0% of the aggregate projected retail sales
price of all the additional vehicles or engines.
(2) You must receive a revised certificate before the sale or final
importation of any vehicles or engines, including modification and test
vehicles, that are not originally included in the certificate issued
under paragraph (b) of this section, or as indicated in a revised
certificate issued under paragraph (c)(1) of this section. Such
vehicles that are sold or imported before we issue a revised
certificate are deemed to be not covered by a certificate of
conformity.
(d) Final reduced fee calculation and adjustment. (1) If the
initial fee payment is less than the final reduced fee, you must pay
the difference between the initial reduced fee and the final reduced
fee using the provisions of Sec. 1027.130. Calculate the final reduced
fee using the procedures of paragraph (c) of this section but using
actual production figures rather than projections and actual retail
sales value rather than projected retail sales value.
(2) You must pay the difference between the initial reduced fee and
the final reduced fee within 45 days of the end of the model year. The
total fees paid for a certificate may not exceed the applicable full
fee specified in Sec. 1027.105. We may void the applicable certificate
if you fail to make a complete payment within the specified period. We
may also refuse to grant reduced fee requests submitted under paragraph
(b)(5) of this section.
(3) If the initial fee payment exceeds the final reduced fee, you
may request a refund using the procedures of Sec. 1027.125.
(e) Records retention. You are subject to the applicable
requirements to maintain records under this chapter. If you fail to
maintain required records or
[[Page 59188]]
provide them to us, we may void the certificate associated with such
records. You must also record the basis you used to calculate the
projected sales and fair retail market value and the actual sales and
retail price for the vehicles and engines covered by each certificate
issued under this section. You must keep this information for at least
three years after we issue the certificate and provide it to us within
30 days of our request.
Sec. 1027.125 Can I get a refund?
(a) We will refund the total fee imposed under this part if you ask
for a refund after failing to get a certificate for any reason.
(b) If your actual sales or the actual retail prices in a given
year are less than you projected for calculating a reduced fee under
Sec. 1027.120, we will refund the appropriate portion of the fee. We
will also refund a portion of the initial payment if it exceeds the
final fee for the engines, vehicles, or equipment covered by the
certificate application.
(1) You are eligible for a partial refund related only to a
certificate used for the sale of engines, vehicles, or equipment under
that certificate in the United States.
(2) Include all the following in your request for a partial refund
of reduced fee payments:
(i) State that you sold engines, vehicles, or equipment under the
applicable certificate in the United States.
(ii) Identify the number of engines, vehicles, or equipment you
produced or imported under the certificate, and whether the engines,
vehicles, or equipment have been sold.
(iii) Identify the reduced fee that you paid under the applicable
certificate.
(iv) Identify the actual retail sales price for the engines,
vehicles, or equipment produced or imported under the certificate.
(v) Calculate the final value of the reduced fee using actual
production figures and retail prices.
(vi) Calculate the refund amount.
(c) We will approve your request to correct errors in the amount of
the fee.
(d) All refunds must be applied for within six months after the end
of the model year.
(e) Send refund and correction requests to the Fee Program
Specialist, U.S. Environmental Protection Agency, Vehicle Programs and
Compliance Division, 2000 Traverwood Dr., Ann Arbor, MI 48105, online
at www.Pay.gov, or as specified in guidance by the Administrator.
(f) You may request to have refund amounts applied to the amount
due on another application for certification.
Sec. 1027.130 How do I make a fee payment?
(a) Pay fees to the order of the Environmental Protection Agency in
U.S. dollars using any of the following methods: money order, bank
draft, certified check, corporate check, electronic funds transfer, any
method available for payment online at www.Pay.gov., or as specified in
EPA guidance.
(b) Send a completed fee filing form to the address designated on
the form for each fee payment or electronically at www.Pay.gov., or as
provided in EPA guidance. These forms are available on the Internet at
http://www.epa.gov/otaq/guidance.htm.
(c) You must pay the fee amount due before we will start to process
an application for certification.
(d) If we deny a reduced fee, you must pay the proper fee within 30
days after we notify you of our decision.
Sec. 1027.135 What provisions apply to a deficient filing?
(a) Any filing under this part is deficient if it is not
accompanied by a completed fee filing form and full payment of the
appropriate fee.
(b) A deficient filing will be rejected unless the completed form
and full payment are submitted within a time limit we specify. We will
not process an application for certification if the associated filing
is deficient.
Sec. 1027.140 What reporting and recordkeeping requirements apply
under this part?
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. The following
items illustrate the kind of reporting and recordkeeping we require for
engines, vehicles, and equipment regulated under this part:
(a) Filling out fee filing forms under Sec. 1027.130.
(b) Retaining fee records, including reduced fee documentation,
under Sec. 1027.120.
(c) Requesting refunds under Sec. 1027.125.
Sec. 1027.150 What definitions apply to this subpart?
The definitions in this section apply to this part. As used in this
part, all undefined terms have the meaning the Act or the standard-
setting part gives to them. The definitions follow:
Annex VI means MARPOL Annex VI, which is an annex to the
International Convention on the Prevention of Pollution from Ships,
1973, as modified by the protocol of 1978 relating thereto. This is an
international treaty regulating disposal of waste products from marine
vessels.
Application for Certification means a manufacturer's submission of
an application for certification.
California-only certificate is a certificate of conformity issued
by EPA showing compliance with emission standards established by
California.
Federal certificate is a certificate of conformity issued by EPA
showing compliance with EPA emission standards specified in one of the
standard-setting parts specified in Sec. 1027.101(a).
Light-duty means relating to light-duty vehicles and light-duty
trucks.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures an engine,
vehicle, vessel, or piece of equipment for sale in the United States or
otherwise introduces a new engine, vehicle, vessel, or piece of
equipment into commerce in the United States. This includes importers
who import such products for resale, but not dealers.
Total number of certificates issued means the number of
certificates for which fees have been paid. This term is not intended
to represent multiple certificates that are issued within a single
family or test group.
Void has the meaning given in 40 CFR 1068.30.
We (us, our) means the Administrator of the Environmental
Protection Agency and any authorized representatives.
Sec. 1027.155 What abbreviations apply to this subpart?
The following symbols, acronyms, and abbreviations apply to this
part:
CFR.............................. Code of Federal Regulations.
EPA.............................. U.S. Environmental Protection Agency.
Evap............................. Evaporative Emissions.
EVECP............................ Engine, vehicle, and equipment
compliance program.
ICI.............................. Independent Commercial Importer.
U.S.............................. United States.
PART 1033--CONTROL OF EMISSIONS FROM LOCOMOTIVES
0
62. The authority citation for part 1033 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart B--[Amended]
0
63. Section 1033.101 is amended by revising paragraph (b) to read as
follows:
Sec. 1033.101 Exhaust emission standards.
* * * * *
(b) Emission standards for switch locomotives. Exhaust emissions
from
[[Page 59189]]
your new locomotives may not exceed the applicable emission standards
in Table 2 to this section during the useful life of the locomotive.
(Note: Sec. 1033.901 defines locomotives to be ``new'' when originally
manufactured and when remanufactured.) Measure emissions using the
applicable test procedures described in subpart F of this part.
Table 2 to Sec. 1033.101--Switch Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
Standards (g/bhp-hr)
Year of original manufacture Tier of standards ---------------------------------------------------
NOX PM HC CO
----------------------------------------------------------------------------------------------------------------
1973-2001........................... Tier 0................ 11.8 0.26 2.10 8.0
2002-2004........................... Tier 1 a.............. 11.0 0.26 1.20 2.5
2005-2010........................... Tier 2 a.............. 8.1 b 0.13 0.60 2.4
2011-2014........................... Tier 3................ 5.0 0.10 0.60 2.4
2015 or later....................... Tier 4................ c 1.3 0.03 c 0.14 2.4
----------------------------------------------------------------------------------------------------------------
\a\ Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul
standards of the same tier.
\b\ The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013.
\c\ Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise
applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.
* * * * *
0
64. Section 1033.115 is amended by adding and reserving paragraph
(f)(2) and revising paragraph (g) to read as follows:
Sec. 1033.115 Other requirements.
* * * * *
(f) * * *
(2) [Reserved]
(g) Idle controls. All new locomotives must be equipped with
automatic engine stop/start as described in this paragraph (g). All new
locomotives must be designed to allow the engine(s) to be restarted at
least six times per day without causing engine damage that would affect
the expected interval between remanufacturing. Note that it is a
violation of 40 CFR 1068.101(b)(1) to circumvent the provisions of this
paragraph (g).
(1) Except as allowed by paragraph (g)(2) of this section, the
stop/start systems must shut off the main locomotive engine(s) after 30
minutes of idling (or less).
(2) Stop/start systems may restart or continue idling for the
following reasons:
(i) To prevent engine damage such as to prevent the engine coolant
from freezing.
(ii) To maintain air pressure for brakes or starter system, or to
recharge the locomotive battery.
(iii) To perform necessary maintenance.
(iv) To otherwise comply with federal regulations.
(3) You may ask to use alternate stop/start systems that will
achieve equivalent idle control.
(4) See Sec. 1033.201 for provisions that allow you to obtain a
separate certificate for idle controls.
(5) It is not considered circumvention to allow a locomotive to
idle to heat or cool the cab, provided such heating or cooling is
necessary.
* * * * *
0
65. Section 1033.120 is amended by revising paragraph (b) to read as
follows:
Sec. 1033.120 Emission-related warranty requirements.
* * * * *
(b) Warranty period. Except as specified in this paragraph, the
minimum warranty period is one-third of the useful life. Your emission-
related warranty must be valid for at least as long as the minimum
warranty periods listed in this paragraph (b) in MW-hrs of operation
(or miles for Tier 0 locomotives not equipped with MW-hr meters) and
years, whichever comes first. You may offer an emission-related
warranty more generous than we require. The emission-related warranty
for the locomotive may not be shorter than any published warranty you
offer without charge for the locomotive. Similarly, the emission-
related warranty for any component may not be shorter than any
published warranty you offer without charge for that component. If you
provide an extended warranty to individual owners for any components
covered in paragraph (c) of this section for an additional charge, your
emission-related warranty must cover those components for those owners
to the same degree. If the locomotive does not record MW-hrs, we base
the warranty periods in this paragraph (b) only on years. The warranty
period begins when the locomotive is placed into service, or back into
service after remanufacture.
* * * * *
0
66. Section 1033.135 is amended by revising paragraph (b)(2)(i) to read
as follows:
Sec. 1033.135 Labeling.
* * * * *
(b) * * *
(2) * * *
(i) The label must be permanent and legible and affixed to the
locomotive in a position in which it will remain readily visible.
Attach it to a locomotive chassis part necessary for normal operation
and not normally requiring replacement during the service life of the
locomotive. You may not attach this label to the engine or to any
equipment that is easily detached from the locomotive. Attach the label
so that it cannot be removed without destroying or defacing the label.
For Tier 0 and Tier 1 locomotives, the label may be made up of more
than one piece, as long as all pieces are permanently attached to the
locomotive.
* * * * *
0
67. Section 1033.150 is amended by revising paragraph (b) and adding
paragraph (m) to read as follows:
Sec. 1033.150 Interim provisions.
* * * * *
(b) Idle controls. A locomotive equipped with an automatic engine
stop/start system that was originally installed before January 1, 2009
and that conforms to the requirements of Sec. 1033.115(g) is deemed to
be covered by a certificate of conformity with respect to the
requirements of Sec. 1033.115(g). Note that the provisions of subpart
C of this part also allow you to apply for a conventional certificate
of conformity for such systems.
* * * * *
(m) Assigned deterioration factors. The provisions of this
paragraph (m) apply for Tier 0 and Tier 1 locomotives to the standards
of this part during model years 2008 or 2009. Remanufacturers
certifying such locomotives to the standards of this part during these
model years may use an assigned deterioration factor of 0.03 g/bhp-hr
for PM and an assigned deterioration factor of zero for other
[[Page 59190]]
pollutants. For purposes of determining compliance other than for
certification or production-line testing, calculate the applicable in-
use compliance limits for these locomotives by adjusting the applicable
PM standards/FELs upward by 0.03 g/bhp-hr.
Subpart C--[Amended]
Sec. 1033.205 [Amended]
0
68. Section 1033.205 is amended by removing and reserving paragraph
(b).
0
69. Section 1033.230 is amended by revising paragraph (f) to read as
follows:
Sec. 1033.230 Grouping locomotives into engine families.
* * * * *
(f) During the first six calendar years after a new tier of
standards becomes applicable, remanufactured engines/locomotives may be
included in the same engine family as freshly manufactured locomotives,
provided the same engines and emission controls are used for locomotive
models included in the engine family.
Subpart D--[Amended]
0
70. Section 1033.335 is amended by revising paragraph (g) introductory
text to read as follows:
Sec. 1033.335 Remanufactured locomotives: installation audit
requirements.
* * * * *
(g) Within 45 calendar days of the end of each quarter, the
remanufacturer must send the Designated Compliance Officer a report
which includes the following information:
* * * * *
Subpart F--[Amended]
0
71. Section 1033.510 is amended by revising the introductory text to
read as follows:
Sec. 1033.510 Auxiliary power units.
If your locomotive is equipped with an auxiliary power unit (APU)
that operates during an idle shutdown mode, you must account for the
APU's emissions rates as specified in this section, unless the APU is
part of an AESS system that was certified separately from the rest of
the locomotive. This section does not apply for auxiliary engines that
only provide hotel power.
* * * * *
0
72. Section 1033.515 is amended by revising paragraph (c)(5) and by
redesignating paragraphs (f) and (g) as paragraphs (d) and (e),
respectively, to read as follows.
Sec. 1033.515 Discrete-mode steady-state emission tests of
locomotives and locomotive engines.
* * * * *
(c) * * *
(5) Begin proportional sampling of PM emissions at the beginning of
each sampling period and terminate sampling within + 5 seconds of the
specified time in each test mode. If the PM sample is sufficiently
large, take one of the following actions consistent with good
engineering judgment:
(i) Extend the sampling period up to a maximum of 15 minutes.
(ii) Use three different dilution ratios for the modes: one for
both idle modes, one for dynamic brake through notch 5, and one for
notches 6 through 8.
* * * * *
0
73. Section 1033.530 is amended by revising paragraph (e) to read as
follows:
Sec. 1033.530 Duty cycles and calculations.
* * * * *
(e) Automated Start-Stop. For locomotive equipped with features
that shut the engine off after prolonged periods of idle, multiply the
measured idle mass emission rate over the idle portion of the
applicable test cycles by a factor equal to one minus the estimated
fraction reduction in idling time that will result in use from the
shutdown feature. Do not apply this factor to the weighted idle power.
Application of this adjustment is subject to our approval if the
fraction reduction in idling time that is estimated to result from the
shutdown feature is greater than 25 percent. This paragraph (e) does
not apply if the locomotive is (or will be) covered by a separate
certificate for idle control.
* * * * *
Subpart G--[Amended]
0
74. Section 1033.601 is amended by revising paragraphs (c)(1) and
(c)(3) to read as follows:
Sec. 1033.601 General compliance provisions.
* * * * *
(c) * * *
(1) The exemption provisions of 40 CFR 1068.240 (i.e., exemptions
for replacement engines) do not apply for domestic or imported
locomotives. (Note: You may introduce into commerce freshly
manufactured replacement engines under this part, provided the
locomotives into which they are installed are covered by a certificate
of conformity.)
* * * * *
(3) The exemption provisions of 40 CFR 1068.261 (i.e., exemptions
for delegated assembly) do not apply for domestic or imported
locomotives, except as specified in Sec. 1033.630.
* * * * *
0
75. Section 1033.630 is amended by revising paragraph (b) introductory
text to read as follows:
Sec. 1033.630 Staged assembly and delegated assembly exemptions.
* * * * *
(b) Delegated assembly. This paragraph (b) applies where the engine
manufacturer/remanufacturer does not complete assembly of the
locomotives and the engine is shipped after being manufactured or
remanufactured (partially or completely). The provisions of this
paragraph (b) apply differently depending on who holds the certificate
of conformity and the state of the engine when it is shipped. You may
request an exemption under this paragraph (b) in your application for
certification, or in a separate submission. If you include your request
in your application, your exemption is approved when we grant your
certificate. A manufacturer/remanufacturer may request an exemption
under 40 CFR 1068.261 instead of under this section.
* * * * *
0
76. Section 1033.640 is amended by revising paragraph (b) to read as
follows:
Sec. 1033.640 Provisions for repowered and refurbished locomotives.
* * * * *
(b) A single existing locomotive cannot be divided into parts and
combined with new parts to create more than one remanufactured
locomotive. However, any number of locomotives can be divided into
parts and combined with new parts to create more than one
remanufactured locomotive, provided the number of locomotives created
(remanufactured and freshly manufactured) does not exceed the number of
locomotives that were disassembled.
* * * * *
0
77. Section 1033.645 is amended by revising paragraph (a) to read as
follows:
Sec. 1033.645 Non-OEM component certification program.
* * * * *
(a) Applicability. This section applies only for components that
are commonly replaced during remanufacturing. It does not apply for
other types of components that are replaced during a locomotive's
useful life, but not typically replaced during remanufacture. Certified
components may be used for remanufacturing or other maintenance.
* * * * *
[[Page 59191]]
Subpart I--[Amended]
0
78. Section 1033.810 is amended by revising paragraph (c) introductory
text to read as follows:
Sec. 1033.810 In-use testing program.
* * * * *
(c) Test locomotive selection. Unless we specify a different
option, select test locomotives as specified in paragraph (c)(1) of
this section (Option 1). In no case may you exclude locomotives because
of visible smoke, a history of durability problems, or other evidence
of malmaintenance. You may test more locomotives than this section
requires.
* * * * *
Subpart J--[Amended]
0
79. Section 1033.901 is amended by revising paragraph (2)(ii) of the
definition for ``New'' to read as follows:
Sec. 1033.901 Definitions.
* * * * *
New, * * *
(2) * * *
(ii) Locomotives that are owned and operated by a small railroad
and that have never been certified (i.e., manufactured or
remanufactured into a certified configuration) are not considered to
become new when remanufactured. The provisions of paragraph (1) of this
definition apply for locomotives that have previously been
remanufactured into a certified configuration.
* * * * *
PART 1039--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD
COMPRESSION-IGNITION ENGINES
0
80. The authority citation for part 1039 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
81. Section 1039.5 is amended by revising paragraph (d) and adding
paragraph (e) to read as follows:
Sec. 1039.5 Which engines are excluded from this part's requirements?
* * * * *
(d) Hobby engines. Engines installed in reduced-scale models of
vehicles that are not capable of transporting a person are not subject
to the provisions of this part 1039.
(e) Engines used in recreational vehicles. Engines certified to
meet the requirements of 40 CFR part 1051 or are otherwise subject to
40 CFR part 1051 (for example, engines used in snowmobiles and all-
terrain vehicles) are not subject to the provisions of this part 1039.
Subpart B--[Amended]
0
82. Section 1039.102 is amended by revising paragraph (g)(4) to read as
follows:
Sec. 1039.102 What exhaust emission standards and phase-in allowances
apply for my engines in model year 2014 and earlier?
* * * * *
(g) * * *
(4) Special provisions for 37-56 kW engines. For engines at or
above 37 kW and below 56 kW from model years 2008 through 2012, you
must add information to the emission-related installation instructions
to clarify the equipment manufacturer's obligations under Sec.
1039.104(f).
0
83. Section 1039.125 is amended by revising paragraphs (a)(2)(i) and
(a)(3)(i) to read as follows:
Sec. 1039.125 What maintenance instructions must I give to buyers?
* * * * *
(a) * * *
(2) * * *
(i) For EGR-related filters and coolers, PCV valves, crankcase vent
filters, and fuel injector tips (cleaning only), the minimum interval
is 1,500 hours.
* * * * *
(3) * * *
(i) For EGR-related filters and coolers, PCV valves, crankcase vent
filters, and fuel injector tips (cleaning only), the minimum interval
is 1,500 hours.
* * * * *
0
84. Section 1039.135 is amended by revising paragraph (c)(4) to read as
follows:
Sec. 1039.135 How must I label and identify the engines I produce?
* * * * *
(c) * * *
(4) State the power category or subcategory from Sec. 1039.101 or
Sec. 1039.102 that determines the applicable emission standards for
the engine family. For engines at or above 37 kW and below 56 kW from
model years 2008 through 2012, and for engines less than 8 kW utilizing
the provision at Sec. 1039.101(c), you must state the applicable PM
standard for the engine family.
* * * * *
Subpart G--[Amended]
0
85. Section 1039.625 is amended as follows:
0
a. By revising paragraph (d)(1).
0
b. By revising paragraphs (e) introductory text, (e)(1), and (e)(3).
0
c. By revising paragraph (f)(4).
0
d. By revising paragraphs (g)(1) introductory text, (g)(1)(ii), and
(g)(1)(iv).
0
e. By revising paragraph (g)(2).
0
f. By revising paragraph (j).
0
g. By revising paragraph (m)(2) introductory text.
Sec. 1039.625 What requirements apply under the program for
equipment-manufacturer flexibility?
* * * * *
(d) * * *
(1) If you use the provisions of 40 CFR 1068.105(a) to use up your
inventories of engines not certified to new emission standards, do not
include these units in your count of equipment with exempted engines
under paragraph (b) of this section. However, you may include these
units in your count of total equipment you produce for the given year
for the percentage calculation in paragraph (b)(1) of this section.
* * * * *
(e) Standards. If you produce equipment with exempted engines under
this section, the engines must meet emission standards specified in
this paragraph (e). Note that we consider engines to be meeting
emission standards even if they are certified with a family emission
limit that is higher than the emission standard that would otherwise
apply.
(1) If you are using the provisions of paragraph (d)(4) of this
section, engines must meet the applicable Tier 1 or Tier 2 emission
standards described in Sec. 89.112.
* * * * *
(3) In all other cases, engines at or above 56 kW and at or below
560 kW must meet the appropriate Tier 3 standards described in 40 CFR
89.112. Engines below 56 kW and engines above 560 kW must meet the
appropriate Tier 2 standards described in 40 CFR 89.112.
(f) * * *
(4) An e-mail address and phone number to contact for further
information, or a Web site that includes this contact information.
* * * * *
(g) * * *
(1) Before you use the provisions of this section, send the
Designated Compliance Officer a written notice of your intent,
including:
* * * * *
(ii) The name, phone number and e-mail address of a person to
contact for more information.
* * * * *
(iv) The name and address of each company you expect to produce
engines
[[Page 59192]]
for the equipment you manufacture under this section.
* * * * *
(2) For each year that you use the provisions of this section, send
the Designated Compliance Officer a written report by March 31 of the
following year. Identify the following things in your report:
(i) The total count of units you sold in the preceding year for
each power category, based on actual U.S.-directed production
information.
(ii) The percentages of U.S.-directed production that correspond to
the number of units in each power category and the cumulative numbers
and percentages of units for all the units you have sold under this
section for each power category. You may omit the percentage figures if
you include in the report a statement that you will not be using the
percent-of-production allowances in paragraph (b)(1) of this section.
(iii) The manufacturer of the engine installed in the equipment you
produce under this section if this is different than you specified
under paragraph (g)(1)(iv) of this section.
* * * * *
(j) Provisions for engine manufacturers. As an engine manufacturer,
you may produce exempted engines as needed under this section. You do
not have to request this exemption for your engines, but you must have
written assurance from equipment manufacturers that they need a certain
number of exempted engines under this section. Send us an annual report
of the engines you produce under this section, as described in Sec.
1039.250(a). For engines produced under the provisions of paragraph
(a)(2) of this section, you must certify the engines under this part
1039. For all other exempt engines, the engines must meet the emission
standards in paragraph (e) of this section and you must meet all the
requirements of 40 CFR 1068.265. If you show under 40 CFR 1068.265(c)
that the engines are identical in all material respects to engines that
you have previously certified to one or more FELs above the standards
specified in paragraph (e) of this section, you must supply sufficient
credits for these engines. Calculate these credits under subpart H of
this part using the previously certified FELs and the alternate
standards. You must meet the labeling requirements in 40 CFR 89.110 or
Sec. 1039.135, as applicable, with the following exceptions:
(1) Add the following statement instead of the compliance statement
in 40 CFR 89.110(b)(10) or Sec. 1039.135(c)(12), as applicable:
THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625.
SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR THE
EQUIPMENT FLEXIBILITY PROVISIONS OF 40 CFR 1039.625 MAY BE A VIOLATION
OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(2) You may omit the family emission limits if they are below the
emission standards.
* * * * *
(m) * * *
(2) To apply for exemptions under this paragraph (m), send the
Designated Compliance Officer a written request as soon as possible
before you are in violation. In your request, include the following
information:
* * * * *
0
86. Section 1039.626 is amended as follows:
0
a. By revising paragraph (a)(2).
0
b. By revising paragraph (a)(9)(ii)(B).
0
c. By revising paragraph (a)(9)(iv).
0
d. By revising paragraph (b)(1) introductory text.
0
e. By revising paragraph (b)(2).
Sec. 1039.626 What special provisions apply to equipment imported
under the equipment-manufacturer flexibility program?
* * * * *
(a) * * *
(2) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.
* * * * *
(9) * * *
(ii) * * *
(B) Get us to approve a waiver from the bonding requirement if you
can show that you meet the asset thresholds described in 40 CFR
1054.690.
* * * * *
(iv) You will forfeit the proceeds of the bond posted under this
section if you need to satisfy any U.S. administrative settlement
agreement, administrative final order or judicial judgment against you
arising from your violation of this chapter, or violation of 18 U.S.C.
1001, 42 U.S.C. 7413(c)(2), or other applicable provisions of the Clean
Air Act.
* * * * *
(b) * * *
(1) Before you use the provisions of this section, send the
Designated Compliance Officer a written notice of your intent,
including:
* * * * *
(2) For each year that you use the provisions of this section, send
the Designated Compliance Officer a written report by March 31 of the
following year. Include in your report the total number of engines you
imported under this section in the preceding calendar year, broken down
by engine manufacturer and by equipment manufacturer.
Subpart I--[Amended]
0
87. Section 1039.801 is amended by revising the definition for
``Designated Compliance Officer'' to read as follows:
Sec. 1039.801 What definitions apply to this part?
* * * * *
Designated Compliance Officer means the Manager, Heavy-Duty and
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency,
1200 Pennsylvania Ave., NW., Washington, DC 20460.
* * * * *
PART 1042--CONTROL OF EMISSIONS FROM NEW AND IN-USE MARINE
COMPRESSION-IGNITION ENGINES AND VESSELS
0
88. The authority citation for part 1042 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
89. Section 1042.5 is amended by revising paragraph (b) to read as
follows:
Sec. 1042.5 Exclusions.
* * * * *
(b) Hobby engines. Engines installed in reduced-scale models of
vessels that are not capable of transporting a person are not subject
to the provisions of this part 1042.
Subpart B--[Amended]
0
90. Section 1042.101 is amended by revising Table 1 in paragraph (a)(3)
to read as follows:
Sec. 1042.101 Exhaust emission standards.
(a) * * *
(3) * * *
[[Page 59193]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.074
* * * * *
0
91. Section 1042.107 is revised to read as follows:
Sec. 1042.107 Evaporative emission standards.
(a) There are no evaporative emission standards for diesel-fueled
engines, or engines using other nonvolatile or nonliquid fuels (for
example, natural gas).
(b) If an engine uses a volatile liquid fuel, such as methanol, the
engine's fuel system and the vessel in which the engine is installed
must meet the evaporative emission requirements of 40 CFR part 1045
that apply with respect to spark-ignition engines. Manufacturers
subject to evaporative emission standards must meet the requirements of
40 CFR 1045.112 as described in 40 CFR part 1060 and do all the
following things in the application for certification:
(1) Describe how evaporative emissions are controlled.
(2) Present test data to show that fuel systems and vessels meet
the evaporative emission standards we specify in this section if you do
not use design-based certification under 40 CFR 1060.240. Show these
figures before and after applying deterioration factors, where
applicable.
0
92. Section 1042.115 is amended by revising paragraph (f)(1) to read as
follows:
Sec. 1042.115 Other requirements.
* * * * *
(f) * * *
(1) The conditions of concern were substantially included in the
applicable
[[Page 59194]]
duty-cycle test procedures described in subpart F of this part (the
portion during which emissions are measured).
* * * * *
0
93. Section 1042.145 is amended by revising Table 2 in paragraph (f) to
read as follows:
Sec. 1042.145 Interim provisions.
* * * * *
(f) * * *
Table 2 to Sec. 1042.145--Optional In-Use Adjustments for the First
Three Model Years of the Tier 4 Standards
------------------------------------------------------------------------
In-use adjustments (g/kW-hr)
-------------------------------
For model year For model year
Fraction of useful life already used 2017 and 2017 and
earlier Tier 4 earlier Tier 4
NOX standards PM standards
------------------------------------------------------------------------
0 < hours <= 50% of useful life......... 0.3 0.05
50 < hours <= 75% of useful life........ 0.4 0.05
hours > 75% of useful life.............. 0.5 0.05
------------------------------------------------------------------------
* * * * *
Subpart G--[Amended]
Sec. 1042.601 [Amended]
0
94. Section 1042.601 is amended by removing paragraph (g).
0
95. Section 1042.615 is amended by revising paragraph (a) introductory
text to read as follows:
Sec. 1042.615 Replacement engine exemption.
* * * * *
(a) This paragraph (a) applies instead of the provisions of 40 CFR
1068.240(b)(3). The prohibitions in 40 CFR 1068.101(a)(1) do not apply
to a new replacement engine if all the following conditions are met:
* * * * *
Subpart I--[Amended]
0
96. Section 1042.801 is amended by revising paragraph (f) to read as
follows:
Sec. 1042.801 General provisions.
* * * * *
(f) Remanufacturing systems that require a fuel change or use of a
fuel additive may be certified under this part. However, they are not
considered to be ``available'' with respect to triggering the
requirement for an engine to be covered by a certificate of conformity
under Sec. 1042.815. The following provisions apply:
(1) Only fuels and additives registered under 40 CFR part 79 may be
used under this paragraph (f).
(2) You must demonstrate in your application that the fuel or
additive will actually be used by operators, including a description of
how the vessels and dispensing tanks will be labeled. We may require
you to provide the labels to the operators.
(3) You must also describe analytical methods that can be used by
EPA or others to verify that fuel meets your specifications.
(4) You must provide clear instructions to the operators specifying
that they may only use the specified fuel/additive, label their vessels
and fuel dispensing tanks, and keep records of their use of the fuel/
additive in order for their engine to be covered by your certificate.
Use of the incorrect fuel (or fuel without the specified additive) or
any other failure to comply with the requirements of this paragraph is
a violation of 40 CFR 1068.101(b)(1).
* * * * *
0
97. Section 1042.836 is amended by revising paragraph (a) introductory
text to read as follows:
Sec. 1042.836 Marine certification of locomotive remanufacturing
systems.
* * * * *
(a) Include the following with your application for certification
under 40 CFR part 92 or 1033 (or as an amendment to your application):
* * * * *
0
98. A new part 1045 is added to subchapter U of chapter I to read as
follows:
PART 1045--CONTROL OF EMISSIONS FROM SPARK-IGNITION PROPULSION
MARINE ENGINES AND VESSELS
Subpart A--Overview and Applicability
Sec.
1045.1 Does this part apply for my products?
1045.2 Who is responsible for compliance?
1045.5 Which engines are excluded from this part's requirements?
1045.10 How is this part organized?
1045.15 Do any other CFR parts apply to me?
1045.20 What requirements apply to my vessels?
1045.25 How do the requirements related to evaporative emissions
apply to engines and their fuel systems?
1045.30 Submission of information.
Subpart B--Emission Standards and Related Requirements
1045.101 What exhaust emission standards and requirements must my
engines meet?
1045.103 What exhaust emission standards must my outboard and
personal watercraft engines meet?
1045.105 What exhaust emission standards must my sterndrive/inboard
engines meet?
1045.107 What are the not-to-exceed emission standards?
1045.110 How must my engines diagnose malfunctions?
1045.112 What are the standards for evaporative emissions?
1045.115 What other requirements apply?
1045.120 What emission-related warranty requirements apply to me?
1045.125 What maintenance instructions must I give to buyers?
1045.130 What installation instructions must I give to vessel
manufacturers?
1045.135 How must I label and identify the engines I produce?
1045.140 What is my engine's maximum engine power?
1045.145 Are there interim provisions that apply only for a limited
time?
Subpart C--Certifying Engine Families
1045.201 What are the general requirements for obtaining a
certificate of conformity?
1045.205 What must I include in my application?
1045.210 May I get preliminary approval before I complete my
application?
1045.220 How do I amend the maintenance instructions in my
application?
1045.225 How do I amend my application for certification to include
new or modified engines or change an FEL?
1045.230 How do I select engine families?
1045.235 What emission testing must I perform for my application for
a certificate of conformity?
1045.240 How do I demonstrate that my engine family complies with
exhaust emission standards?
1045.245 How do I determine deterioration factors from exhaust
durability testing?
[[Page 59195]]
1045.250 What records must I keep and what reports must I send to
EPA?
1045.255 What decisions may EPA make regarding my certificate of
conformity?
Subpart D--Testing Production-Line Engines
1045.301 When must I test my production-line engines?
1045.305 How must I prepare and test my production-line engines?
1045.310 How must I select engines for production-line testing?
1045.315 How do I know when my engine family fails the production-
line testing requirements?
1045.320 What happens if one of my production-line engines fails to
meet emission standards?
1045.325 What happens if an engine family fails the production-line
testing requirements?
1045.330 May I sell engines from an engine family with a suspended
certificate of conformity?
1045.335 How do I ask EPA to reinstate my suspended certificate?
1045.340 When may EPA revoke my certificate under this subpart and
how may I sell these engines again?
1045.345 What production-line testing records must I send to EPA?
1045.350 What records must I keep?
Subpart E--In-Use Testing
1045.401 What testing requirements apply to my engines that have
gone into service?
1045.405 How does this program work?
1045.410 How must I select, prepare, and test my in-use engines?
1045.415 What happens if in-use engines do not meet requirements?
1045.420 What in-use testing information must I report to EPA?
1045.425 What records must I keep?
Subpart F--Test Procedures
1045.501 How do I run a valid emission test?
1045.505 How do I test engines using discrete-mode or ramped-modal
duty cycles?
1045.515 What are the test procedures related to not-to-exceed
standards?
1045.520 What testing must I perform to establish deterioration
factors?
Subpart G--Special Compliance Provisions
1045.601 What compliance provisions apply to these engines?
1045.605 What provisions apply to engines already certified under
the motor vehicle or Large SI programs?
1045.610 What provisions apply to using engines already certified to
Small SI emission standards?
1045.620 What are the provisions for exempting engines used solely
for competition?
1045.625 What requirements apply under the Diurnal Transition
Program?
1045.630 What is the personal-use exemption.
1045.635 What special provisions apply for small-volume engine
manufacturers?
1045.640 What special provisions apply to branded engines?
1045.645 What special provisions apply for converting an engine to
use an alternate fuel?
1045.650 Do delegated-assembly provisions apply for marine engines?
1045.655 What special provisions apply for installing and removing
altitude kits?
1045.660 How do I certify outboard or personal watercraft engines
for use in jet boats?
Subpart H--Averaging, Banking, and Trading for Certification
1045.701 General provisions.
1045.705 How do I generate and calculate exhaust emission credits?
1045.706 How do I generate and calculate evaporative emission
credits?
1045.710 How do I average emission credits?
1045.715 How do I bank emission credits?
1045.720 How do I trade emission credits?
1045.725 What must I include in my application for certification?
1045.730 What ABT reports must I send to EPA?
1045.735 What records must I keep?
1045.745 What can happen if I do not comply with the provisions of
this subpart?
Subpart I--Definitions and Other Reference Information
1045.801 What definitions apply to this part?
1045.805 What symbols, acronyms, and abbreviations does this part
use?
1045.810 What materials does this part reference?
1045.815 What provisions apply to confidential information?
1045.820 How do I request a hearing?
1045.825 What reporting and recordkeeping requirements apply under
this part?
Appendix I to Part 1045--Summary of Previous Emission Standards
Appendix II to Part 1045--Duty Cycles for Propulsion Marine Engines
Authority: 42 U.S.C. 7401-7671q.
Subpart A--Overview and Applicability
Sec. 1045.1 Does this part apply for my products?
(a) Except as provided in Sec. 1045.5, the regulations in this
part 1045 apply as follows:
(1) The requirements of this part related to exhaust emissions
apply to new, spark-ignition propulsion marine engines beginning with
the 2010 model year.
(2) The requirements of this part related to evaporative emissions
apply to fuel lines and fuel tanks used with marine engines that use a
volatile liquid fuel (such as gasoline) as specified in 40 CFR part
1045.112. This includes fuel lines and fuel tanks used with auxiliary
marine engines. This also includes portable marine fuel tanks and
associated fuel lines.
(b) We specify optional standards for certifying sterndrive/inboard
engines before the 2010 model year in Sec. 1045.145(a). Engines
certified to these standards are subject to all the requirements of
this part as if these optional standards were mandatory.
(c) See 40 CFR part 91 for requirements that apply to outboard and
personal watercraft engines not yet subject to the requirements of this
part 1045.
(d) The provisions of Sec. Sec. 1045.620 and 1045.801 apply for
new engines used solely for competition beginning January 1, 2010.
Sec. 1045.2 Who is responsible for compliance?
The requirements and prohibitions of this part apply to
manufacturers of engines and fuel-system components as described in
Sec. 1045.1. The requirements of this part are generally addressed to
manufacturers subject to this part's requirements. The term ``you''
generally means the certifying manufacturer. For provisions related to
exhaust emissions, this generally means the engine manufacturer,
especially for issues related to certification (including production-
line testing, reporting, etc.). For provisions related to certification
with respect to evaporative emissions, this generally means the vessel
manufacturer. Vessel manufacturers must meet applicable requirements as
described in Sec. 1045.20. Engine manufacturers must meet requirements
related to evaporative emissions as described in Sec. 1045.25.
Sec. 1045.5 Which engines are excluded from this part's requirements?
(a) Auxiliary engines. The exhaust emission standards of this part
do not apply to auxiliary marine engines. See 40 CFR part 90, 1048, or
1054 for the exhaust emission standards that apply. Evaporative
emission standards apply as specified in Sec. 1045.112.
(b) Hobby engines and vessels. This part does not apply with
respect to reduced-scale models of vessels that are not capable of
transporting a person.
(c) Large natural gas engines. Propulsion marine engines powered by
natural gas with maximum engine power at or above 250 kW are deemed to
be compression-ignition engines. These engines are therefore subject to
all the requirements of 40 CFR part 1042 instead of this part even if
they would otherwise meet the definition of ``spark-ignition'' in Sec.
1045.801.
[[Page 59196]]
Sec. 1045.10 How is this part organized?
This part 1045 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of this part
1045 and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify engines under this part
1045. Note that Sec. 1045.145 discusses certain interim requirements
and compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part describes general provisions for testing
production-line engines.
(e) Subpart E of this part describes general provisions for testing
in-use engines.
(f) Subpart F of this part describes how to test your engines
(including references to other parts of the Code of Federal
Regulations).
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, vessel manufacturers, owners, operators, rebuilders, and
all others.
(h) Subpart H of this part describes how you may generate and use
exhaust and evaporative emission credits to certify your engines and
vessels.
(i) Subpart I of this part contains definitions and other reference
information.
Sec. 1045.15 Do any other CFR parts apply to me?
(a) Part 1060 of this chapter describes standards and procedures
that apply for controlling evaporative emissions from engines fueled by
gasoline or other volatile liquid fuels and the associated fuel
systems. See Sec. 1045.112 for information about how that part
applies.
(b) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions.
Subpart F of this part 1045 describes how to apply the provisions of
part 1065 of this chapter to determine whether engines meet the exhaust
emission standards in this part.
(c) The requirements and prohibitions of part 1068 of this chapter
apply to everyone, including anyone who manufactures, imports,
installs, owns, operates, or rebuilds any of the engines subject to
this part 1045, or vessels powered by these engines. Part 1068 of this
chapter describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers, vessel
manufacturers, and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain engines.
(4) Importing engines.
(5) Selective enforcement audits of your production.
(6) Defect reporting and recall.
(7) Procedures for hearings.
(d) Other parts of this chapter apply if referenced in this part
1045.
Sec. 1045.20 What requirements apply to my vessels?
(a) If you manufacture vessels with engines certified to the
exhaust emission standards in this part, your vessels must meet all
emission standards with the engine and fuel system installed.
(b) You may need to certify your vessels or fuel systems as
described in 40 CFR 1060.1 and 1060.601. If you produce vessels subject
to this part without obtaining a certificate, you must still meet the
requirements of 40 CFR 1060.101(e) and (f) and keep records as
described in 40 CFR 1060.210.
(c) You must identify and label vessels you produce under this
section consistent with the requirements of Sec. 1045.135 and 40 CFR
part 1060.
(d) You must follow all emission-related installation instructions
from the certifying manufacturers as described in Sec. 1045.130 and 40
CFR 1068.105. If you do not follow the installation instructions, we
may consider your vessel to be not covered by the certificates of
conformity. Introduction of such vessels into U.S. commerce violates 40
CFR 1068.101.
Sec. 1045.25 How do the requirements related to evaporative emissions
apply to engines and their fuel systems?
(a) Engine manufacturers must provide the installation instructions
required by Sec. 1045.130 to the ultimate purchasers of the engine.
These instructions may be combined with the maintenance instructions
required by Sec. 1045.125.
(b) Engines sold with attached fuel lines or installed fuel tanks
must be covered by the appropriate certificates of conformity issued
under 40 CFR part 1060.
(c) Fuel lines intended to be used with new engines and new
portable marine fuel tanks must be certified to the applicable
requirements of 40 CFR part 1060. Similarly, fuel tanks intended to be
used with new enignes must be certified to the applicable requirements
of 40 CFR part 1060.
(d) All persons installing engines certified under this part 1045
must follow the certifying manufacturer's emission-related installation
instructions (see Sec. 1045.130 and 40 CFR 1068.105).
Sec. 1045.30 Submission of information.
(a) This part includes various requirements to record data or other
information. Refer to Sec. 1045.825 and 40 CFR 1068.25 regarding
recordkeeping requirements. If recordkeeping requirements are not
specified, store these records in any format and on any media and keep
them readily available for one year after you send an associated
application for certification, or one year after you generate the data
if they do not support an application for certification. You must
promptly send us organized, written records in English if we ask for
them. We may review them at any time.
(b) The regulations in Sec. 1045.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1045.801).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
Subpart B--Emission Standards and Related Requirements
Sec. 1045.101 What exhaust emission standards and requirements must
my engines meet?
(a) You must show that your engines meet the following
requirements:
(1) Outboard and personal watercraft engines must meet the exhaust
emission standards specified in Sec. 1045.103.
(2) Sterndrive/inboard engines must meet the exhaust emission
standards specified in Sec. 1045.105. You may optionally meet these
standards earlier than we require, as specified in Sec. 1045.145(b).
(3) Sterndrive/inboard engines must meet the engine-diagnostic
requirements in Sec. 1045.110.
(4) All engines must meet the requirements in Sec. 1045.115.
(b) It is important that you read Sec. 1045.145 to determine if
there are other interim requirements or interim compliance provisions
that apply for a limited time.
[[Page 59197]]
Sec. 1045.103 What exhaust emission standards must my outboard and
personal watercraft engines meet?
(a) Duty-cycle emission standards. Starting in the 2010 model year,
exhaust emissions from your outboard and personal watercraft engines
may not exceed emission standards as follows:
(1) Measure emissions using the applicable steady-state test
procedures described in subpart F of this part.
(2) The exhaust emission standards from the following table apply:
Table 1 to Sec. 1045.103--Emission Standards for Outboard and Personal Watercraft Engines (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
Pollutant Power \1\ Emission standard
----------------------------------------------------------------------------------------------------------------
HC + NOX............................. P <= 4.3 kW............ 30.0
P > 4.3 kW............. 2.1 + 0.09 x (151 + 557/P\0.9\)
CO................................... P <= 40 kW............. 500 - 5.0 x P
P > 40 kW.............. 300
----------------------------------------------------------------------------------------------------------------
\1\ Power (P) = maximum engine power for the engine family, in kilowatts (kW).
(3) For engines whose standard depends on maximum engine power,
round the calculated HC+NOX emission standard to the nearest
0.1 g/kW-hr; round the calculated CO emission standard to the nearest
g/kW-hr. Determine maximum engine power for the engine family as
described in Sec. 1045.140.
(b) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program described in subpart H of this part for demonstrating
compliance with HC+NOX emission standards. For CO emissions,
you may generate or use emission credits for averaging as described in
subpart H of this part, but not for banking or trading. To generate or
use emission credits, you must specify a family emission limit for each
pollutant you include in the ABT program for each engine family. These
family emission limits serve as the emission standards for the engine
family with respect to all required testing instead of the standards
specified in this section. An engine family meets emission standards
even if its family emission limit is higher than the standard, as long
as you show that the whole averaging set of applicable engine families
meets the emission standards using emission credits and the engines
within the family meet the family emission limit. The following FEL
caps apply:
(1) For engines with maximum engine power at or below 4.3 kW, the
maximum value of the family emission limit for HC+NOX is
81.0 g/kW-hr. For all other engines, the maximum value of the family
emission limit for HC+NOX is defined by the following
formula, with results rounded to the nearest 0.1 g/kW-hr:
[GRAPHIC] [TIFF OMITTED] TR08OC08.088
(2) For engines with maximum engine power above 40 kW, the maximum
value of the family emission limit for CO is 450 g/kW-hr. For all other
engines, the maximum value is defined by the following formula, with
results rounded to the nearest g/kW-hr:
FELmax,CO = 650 - 5.0 x P
(c) Not-to-exceed emission standards. Exhaust emissions may not
exceed the not-to-exceed standards specified in Sec. 1045.107.
(d) Fuel types. The exhaust emission standards in this section
apply for engines using the fuel type on which the engines in the
engine family are designed to operate. You must meet the numerical
emission standards for hydrocarbons in this section based on the
following types of hydrocarbon emissions for engines powered by the
following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Other engines: THC emissions.
(e) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (c) of this section over the full
useful life as follows:
(1) For outboard engines, the minimum useful life is 350 hours of
engine operation or 10 years, whichever comes first.
(2) For personal watercraft engines, the minimum useful life is 350
hours of engine operation or 5 years, whichever comes first.
(3) You must specify a longer useful life in terms of hours for the
engine family if the average service life of your vehicles is longer
than the minimum value, as follows:
(i) Except as allowed by paragraph (e)(3)(ii) of this section, your
useful life (in hours) may not be less than either of the following:
(A) Your projected operating life from advertisements or other
marketing materials for any engines in the engine family.
(B) Your basic mechanical warranty for any engines in the engine
family.
(ii) Your useful life may be based on the average service life of
vehicles in the engine family if you show that the average service life
is less than the useful life required by paragraph (e)(3)(i) of this
section, but more than the minimum useful life (350 hours of engine
operation). In determining the actual average service life of vehicles
in an engine family, we will consider all available information and
analyses. Survey data is allowed but not required to make this showing.
(f) Applicability for testing. The duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec. 1045.505, including certification, production-line, and in-use
testing. The not-to-exceed standards apply for all testing performed
according to the procedures of subpart F of this part.
Sec. 1045.105 What exhaust emission standards must my sterndrive/
inboard engines meet?
(a) Duty-cycle emission standards. Starting in the 2010 model year,
exhaust emissions from your sterndrive/inboard engines may not exceed
emission standards as follows:
(1) Measure emissions using the applicable steady-state test
procedures described in subpart F of this part.
(2) For conventional sterndrive/inboard engines, the
HC+NOX emission standard is 5.0 g/kW-hr and the CO emission
standard is 75.0 g/kW-hr.
(3) The exhaust emission standards from the following table apply
for high-performance engines:
Table 1 to Sec. 1045.105--Emission Standards for High-Performance
Engines (g/kW-hr)
------------------------------------------------------------------------
Model year Power \1\ HC+NOX CO
------------------------------------------------------------------------
2010............................ P<= 485 kW...... 20.0 350
P> 485 kW....... 25.0 350
[[Page 59198]]
2011+........................... P<= 485 kW...... 16.0 350
P> 485 kW....... 22.0 350
------------------------------------------------------------------------
\1\ Power (P) = maximum engine power in kilowatts (kW).
(b) Averaging, banking, and trading. You may not generate or use
emission credits for high-performance engines. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program described in subpart H of this part for demonstrating
compliance with HC+NOX and CO emission standards for
conventional sterndrive-inboard engines. To generate or use emission
credits, you must specify a family emission limit for each pollutant
you include in the ABT program for each engine family. These family
emission limits serve as the emission standards for the engine family
with respect to all required testing instead of the standards specified
in this section. An engine family meets emission standards even if its
family emission limit is higher than the standard, as long as you show
that the whole averaging set of applicable engine families meets the
emission standards using emission credits and the engines within the
family meet the family emission limit. Family emission limits for
conventional sterndrive/inboard engines may not be higher than 16.0 g/
kW-hr for HC+NOX and 150 g/kW-hr for CO except as specified
in Sec. 1045.145(c).
(c) Not-to-exceed emission standards. Exhaust emissions may not
exceed the not-to-exceed standards specified in Sec. 1045.107 for
conventional sterndrive/inboard engines. These standards do not apply
for high-performance engines.
(d) Fuel types. The exhaust emission standards in this section
apply for engines using the fuel type on which the engines in the
engine family are designed to operate. You must meet the numerical
emission standards for hydrocarbons in this section based on the
following types of hydrocarbon emissions for engines powered by the
following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Other engines: THC emissions.
(e) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (c) of this section over their full
useful life, as follows:
(1) For high-performance engines with maximum engine power above
485 kW, the useful life is 50 hours of operation or 1 year, whichever
comes first. For high-performance engines with maximum engine power at
or below 485 kW, the useful life is 150 hours of operation or 3 years,
whichever comes first.
(2) For conventional sterndrive/inboard engines, the minimum useful
life is 480 hours of operation or ten years, whichever comes first.
However, you may request in your application for certification that we
approve a shorter useful life for an engine family. We may approve a
shorter useful life, in hours of engine operation but not in years, if
we determine that these engines will rarely operate longer than the
shorter useful life. If engines identical to those in the engine family
have already been produced and are in use, your demonstration must
include documentation from such in-use engines. In other cases, your
demonstration must include an engineering analysis of information
equivalent to such in-use data, such as data from research engines or
similar engine models that are already in production. Your
demonstration must also include any overhaul interval that you
recommend, any mechanical warranty that you offer for the engine or its
components, and any relevant customer design specifications. Your
demonstration may include any other relevant information. The useful
life value may not be shorter than any of the following:
(i) 150 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
(3) You must specify a longer useful life for conventional
sterndrive/inboard engines in terms of hours if the average service
life of engines from the engine family is longer than the minimum
useful life value, as follows:
(i) Except as allowed by paragraph (e)(3)(ii) of this section, your
useful life (in hours) may not be less than either of the following:
(A) Your projected operating life from advertisements or other
marketing materials for any engines in the engine family.
(B) Your basic mechanical warranty for any engines in the engine
family.
(ii) Your useful life may be based on the average service life of
engines in the engine family if you show that the average service life
is less than the useful life required by paragraph (e)(3)(i) of this
section, but more than the minimum useful life (480 hours of engine
operation). In determining the actual average service life of engines
in an engine family, we will consider all available information and
analyses. Survey data is allowed but not required to make this showing.
(f) Applicability for testing. The duty-cycle emission standards in
this section apply to all testing performed according to the procedures
in Sec. 1045.505, including certification, production-line, and in-use
testing. The not-to-exceed standards apply for all testing performed
according to the procedures of subpart F of this part.
Sec. 1045.107 What are the not-to-exceed emission standards?
Not-to-exceed emission standards apply as follows:
(a) Measure emissions using the not-to-exceed procedures in subpart
F of this part:
(b) Determine the not-to-exceed standard, rounded to the same
number of decimal places as the emission standard in Table 1 to this
section from the following equation:
Not-to-exceed standard = (STD) x (M)
Where:
STD = The standard specified in paragraph (a) of this section if you
certify without using ABT for that pollutant; or the FEL for that
pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant, as defined in paragraphs
(c) through (e) of this section.
(c) For engines equipped with a catalyst, use NTE multipliers from
the following table across the applicable zone specified in Sec.
1045.515:
Table 1 to Sec. 1045.107--NTE Multipliers for Catalyst-Equipped
Engines
------------------------------------------------------------------------
Pollutant Subzone 1 Subzone 2
------------------------------------------------------------------------
HC+NOX.......................................... 1.50 1.00
CO.............................................. N/A 1.00
------------------------------------------------------------------------
(d) For two-stroke engines not equipped with a catalyst, use an NTE
multiplier of 1.2 for HC+NOX and CO. Compare the weighted
value specified in Sec. 1045.515(c)(5) to the NTE standards specified
in paragraph (b) of this section.
(e) For engines not covered by paragraphs (c) and (d) of this
section, use the NTE multipliers from the following table across the
applicable zone specified in Sec. 1045.515:
[[Page 59199]]
Table 2 to Sec. 1045.107--NTE Multipliers for Four-Stroke Engines
without Catalysts
------------------------------------------------------------------------
Pollutant Subzone 1 Subzone 2
------------------------------------------------------------------------
HC+NOX.......................................... 1.40 1.60
CO.............................................. 1.50 1.50
------------------------------------------------------------------------
Sec. 1045.110 How must my engines diagnose malfunctions?
The following engine-diagnostic requirements apply for engines
equipped with three-way catalysts and closed-loop control of air-fuel
ratios:
(a) Equip your engines with a diagnostic system. Equip each engine
with a diagnostic system that will detect significant malfunctions in
its emission control system using one of the following protocols:
(1) If your emission control strategy depends on maintaining air-
fuel ratios at stoichiometry, an acceptable diagnostic design would
identify a malfunction whenever the air-fuel ratio does not cross
stoichiometry for one minute of intended closed-loop operation. You may
use other diagnostic strategies if we approve them in advance.
(2) If the protocol described in paragraph (a)(1) of this section
does not apply to your engine, you must use an alternative approach
that we approve in advance. Your alternative approach must generally
detect when the emission control system is not functioning properly.
(3) Diagnostic systems approved by the California Air Resources
Board for use with sterndrive/inboard engines fully satisfy the
requirements of this section.
(b) Use a malfunction indicator. The malfunction indicator must be
designed such that the operator can readily see or hear it; visible
signals may be any color except red. Visible malfunction indicators
must display ``Check Engine,'' ``Service Engine Soon,'' or a similar
message that we approve. The malfunction indicator must go on under
each of the following circumstances:
(1) When a malfunction occurs, as described in paragraph (a) of
this section.
(2) When the diagnostic system cannot send signals to meet the
requirement of paragraph (b)(1) of this section.
(3) When the engine's ignition is in the ``key-on'' position before
starting or cranking. The malfunction indicator should turn off after
engine starting if the system detects no malfunction.
(c) Control when the malfunction can turn off. If the malfunction
indicator goes on to show a malfunction, it must remain on during all
later engine operation until servicing corrects the malfunction. If the
engine is not serviced, but the malfunction does not recur for three
consecutive engine starts during which the malfunctioning system is
evaluated and found to be working properly, the malfunction indicator
may stay off during later engine operation.
(d) Store trouble codes in computer memory. Record and store in
computer memory any diagnostic trouble codes showing a malfunction that
should activate the malfunction indicator. The stored codes must
identify the malfunctioning system or component as uniquely as
possible. Make these codes available through the data link connector as
described in paragraph (g) of this section. You may store codes for
conditions that do not activate the malfunction indicator. The system
must store a separate code to show when the diagnostic system is
disabled (from malfunction or tampering).
(e) Make data, access codes, and devices accessible. Make all
required data accessible to us without any access codes or devices that
only you can supply. Ensure that anyone servicing your engine can read
and understand the diagnostic trouble codes stored in the onboard
computer with generic tools and information.
(f) Consider exceptions for certain conditions. Your diagnostic
systems may disregard trouble codes for the first three minutes after
engine starting. You may ask us to approve diagnostic-system designs
that disregard trouble codes under other conditions that would produce
an unreliable reading, damage systems or components, or cause other
safety risks.
(g) Follow standard references for formats, codes, and connections.
Follow conventions defined in SAE J1939-05 (incorporated by reference
in Sec. 1045.810) or ask us to approve using updated versions of (or
variations from) this standard.
Sec. 1045.112 What are the standards for evaporative emissions?
Fuel systems must meet the evaporative emission requirements of 40
CFR part 1060 as specified in this section. These standards apply over
a useful life period of five years for personal watercraft and ten
years for all other vessels and for portable marine fuel tanks.
(a) Fuel line permeation. Nonmetal fuel lines must meet the
permeation requirements specified in 40 CFR 1060.102 for EPA NRFL fuel
lines as described in this paragraph (a).
(1) Except as specified in paragraphs (a)(2) and (3) of this
section, the emission standard for fuel lines starts for vessels or
portable marine fuel tanks with a date of manufacture on or after
January 1, 2009.
(2) The emission standard for primer bulbs applies starting January
1, 2011.
(3) The emission standard for under-cowl fuel lines used with
outboard engines apply over a phase-in period as specified in this
paragraph (a)(3).
(i) Except as specified in paragraph (a)(3)(ii) of this section,
the phase-in period is based on total length of fuel lines as specified
in Table 1 to this section. For example, at least 30 percent of the
length of under-cowl fuel lines used on your full lineup of 2010 model
year outboard engines must meet the specified permeation standards. See
Sec. 1045.145(k) for administrative requirements related to this
phase-in.
Table 1 to Sec. 1045.112--phase-in Schedule for Under-Cowl Fuel Lines
on Outboard Engines
------------------------------------------------------------------------
Percentage
Model year phase-in
------------------------------------------------------------------------
2010....................................................... 30
2011....................................................... 60
2012-2014.................................................. 90
2015+...................................................... 100
------------------------------------------------------------------------
(ii) You may instead meet the permeation standards of this
paragraph (a) by complying with the specified standards with 100
percent of your under-cowl fuel lines across your full lineup of 2011
model year outboard engines. In this case, the requirements of this
part would not apply to under-cowl fuel lines before the 2011 model
year. To use this option, you must notify the Designated Compliance
Officer before December 31, 2009 of your intent to meet permeation
standards on all your under-cowl fuel lines in the 2011 model year.
(b) Tank permeation. Fuel tanks must meet the permeation
requirements specified in 40 CFR 1060.103. Portable marine fuel tanks
must meet permeation standards starting January 1, 2011. Fuel tanks for
personal watercraft must meet permeation standards starting in the 2011
model year. Other installed fuel tanks must meet permeation standards
starting in the 2012 model year. Vessel manufacturers may generate or
use emission credits to show compliance with the requirements of this
paragraph under the averaging, banking, and trading (ABT) program, as
described in subpart H of this part. Starting in the 2014 model year
for personal watercraft and in the 2015 model year for other
[[Page 59200]]
installed fuel tanks, family emission limits may not exceed 5.0 g/m\2\/
day if testing occurs at a nominal temperature of 28 [deg]C, or 8.3 g/
m\2\/day if testing occurs at a nominal temperature of 40 [deg]C. These
FEL caps do not apply to fuel caps that are certified separately to
meet permeation standards. Portable marine fuel tank manufacturers may
not generate or use emission credits under subpart H of this part.
(c) Running loss. The running loss requirements specified in 40 CFR
part 1060 do not apply.
(d) Diurnal emissions. Installed fuel tanks must meet the diurnal
emission requirements specified in 40 CFR 1060.105. Fuel tanks for
personal watercraft must meet diurnal emission standards starting in
the 2010 model year. Other installed fuel tanks must meet diurnal
emission standards for vessels produced on or after July 31, 2011,
except as allowed by Sec. 1045.625. Fuel tanks meeting the definition
of portable marine fuel tank in Sec. 1045.801 must comply with the
diurnal requirements specified in 40 CFR part 1060 starting January 1,
2010.
(e) Other requirements. The requirements of 40 CFR 1060.101(e) and
(f) apply to vessel manufacturers even if they do not obtain a
certificate.
(f) Engine manufacturers. To the extent that engine manufacturers
produce engines with fuel lines or fuel tanks, those fuel-system
components must meet the requirements specified in this section. The
timing of new standards is based on the date of manufacture of the
engine.
Sec. 1045.115 What other requirements apply?
The following requirements apply with respect to engines that are
required to meet the emission standards of this part:
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life.
(b) Torque broadcasting. Starting in the 2013 model year,
electronically controlled engines must broadcast their speed and output
shaft torque (in newton-meters). Engines may alternatively broadcast a
surrogate value for determining torque. Engines must broadcast engine
parameters such that they can be read with a remote device, or
broadcast them directly to their controller area networks. Your
broadcasting protocol must allow for valid measurements using the
field-testing procedures in 40 CFR part 1065, subpart J.
(c) EPA access to broadcast information. If we request it, you must
provide us any hardware or tools we would need to readily read,
interpret, and record all information broadcast by an engine's on-board
computers and electronic control modules. If you broadcast a surrogate
parameter for torque values, you must provide us what we need to
convert these into torque units. We will not ask for hardware or tools
if they are readily available commercially.
(d) Altitude adjustments. Engines must meet applicable emission
standards for valid tests conducted under the ambient conditions
specified in 40 CFR 1065.520. Engines must meet applicable emission
standards at all specified atmospheric pressures, except that for
atmospheric pressures below 94.0 kPa you may rely on an altitude kit
for all testing if you meet the requirements specified in Sec.
1054.205(s). If your rely on an altitude kit for certification, you
must identify in the owners manual the altitude range for which you
expect proper engine performance and emission control with and without
the altitude kit; you must also state in the owners manual that
operating the engine with the wrong engine configuration at a given
altitude may increase its emissions and decrease fuel efficiency and
performance.
(e) Adjustable parameters. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing, including certification testing, production-line testing, or
in-use testing.
(f) Prohibited controls. You may not design your engines with
emission-control devices, systems, or elements of design that cause or
contribute to an unreasonable risk to public health, welfare, or safety
while operating. For example, this would apply if the engine emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
(g) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission control device that
reduces the effectiveness of emission controls under conditions that
the engine may reasonably be expected to encounter during normal
operation and use. This does not apply for altitude kits installed or
removed consistent with Sec. 1045.655. This also does not apply to
auxiliary emission control devices you identify in your application for
certification if any of the following is true:
(1) The conditions of concern were substantially included in the
applicable duty-cycle test procedures described in subpart F of this
part.
(2) You show your design is necessary to prevent engine (or vessel)
damage or accidents. For example, you may design your engine to include
emergency operating modes (sometimes known as limp-home operation) that
would allow a vessel to return to land in the event of a malfunction
even if such operating modes result in higher emissions.
(3) The reduced effectiveness applies only to starting the engine.
Sec. 1045.120 What emission-related warranty requirements apply to
me?
(a) General requirements. You must warrant to the ultimate
purchaser and each subsequent purchaser that the new engine, including
all parts of its emission control system, meets two conditions:
(1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
(2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
(b) Warranty period. Your emission-related warranty must be valid
during the periods specified in this paragraph (b). You may offer an
emission-related warranty more generous than we require. The emission-
related warranty for an engine may not be shorter than any published
warranty you offer without charge for that engine. Similarly, the
emission-related warranty for any component may not be shorter than any
published warranty you offer without charge for that component. If an
engine has no hour meter, we base the warranty periods in this
paragraph (b) only on the engine's age (in years). The warranty period
begins when the engine is placed into service.
(1) The minimum warranty period for outboard engines is 175 hours
of engine operation or 5 years, whichever comes first. The minimum
warranty period for personal watercraft engines is 175 hours of engine
operation or 30 months, whichever comes first.
(2) The minimum warranty period for sterndrive/inboard engines is
shown in the following table:
[[Page 59201]]
Table 1 to Sec. 1045.120 --Warranty Periods for Sterndrive/Inboard
Engines \1\
------------------------------------------------------------------------
Electronic
Engine type components Mechanical components
------------------------------------------------------------------------
Conventional................. 3 years/480 3 years/480 hours.
hours.
High-performance with maximum 3 years/480 3 years/150 hours.
engine power at or below 485 hours.
kW.
High-performance with maximum 3 years/480 1 year/50 hours.
engine power above 485 kW. hours.
------------------------------------------------------------------------
\1\ The warranty period expires after the specified time period or
number of operating hours, whichever comes first.
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including components listed in 40 CFR part 1068,
Appendix I, and components from any other system you develop to control
emissions. The emission-related warranty covers these components even
if another company produces the component. Your emission-related
warranty does not cover components whose failure would not increase an
engine's emissions of any regulated pollutant.
(d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.
Sec. 1045.125 What maintenance instructions must I give to buyers?
Give the ultimate purchaser of each new engine written instructions
for properly maintaining and using the engine, including the emission
control system as described in this section. The maintenance
instructions also apply to service accumulation on your emission-data
engines as described in Sec. 1045.245 and in 40 CFR part 1065.
(a) Critical emission-related maintenance. Critical emission-
related maintenance includes any adjustment, cleaning, repair, or
replacement of critical emission-related components. This may also
include additional emission-related maintenance that you determine is
critical if we approve it in advance. You may schedule critical
emission-related maintenance on these components if you meet the
following conditions:
(1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use engines. We will accept
scheduled maintenance as reasonably likely to occur if you satisfy any
of the following conditions:
(i) You present data showing that any lack of maintenance that
increases emissions also unacceptably degrades the engine's
performance.
(ii) You present survey data showing that at least 80 percent of
engines in the field get the maintenance you specify at the recommended
intervals.
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
(iv) You otherwise show us that the maintenance is reasonably
likely to be done at the recommended intervals.
(2) You may not schedule critical emission-related maintenance
within the useful life period for aftertreatment devices, pulse-air
valves, fuel injectors, oxygen sensors, electronic control units,
superchargers, or turbochargers, except as specified in paragraph (b)
or (c) of this section.
(b) Recommended additional maintenance. You may recommend any
additional amount of maintenance on the components listed in paragraph
(a) of this section, as long as you state clearly that these
maintenance steps are not necessary to keep the emission-related
warranty valid. If operators do the maintenance specified in paragraph
(a) of this section, but not the recommended additional maintenance,
this does not allow you to disqualify those engines from in-use testing
or deny a warranty claim. Do not take these maintenance steps during
service accumulation on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are
addressing.
(d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (i.e., maintenance that is neither
explicitly identified as critical emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-related maintenance generally includes changing spark plugs,
re-seating valves, or any other emission-related maintenance on the
components we specify in 40 CFR part 1068, Appendix I that is not
covered in paragraph (a) of this section. You must state in the owners
manual that these steps are not necessary to keep the emission-related
warranty valid. If operators fail to do this maintenance, this does not
allow you to disqualify those engines from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps
during service accumulation on your emission-data engines.
(e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also take these inspection or
maintenance steps during service accumulation on your emission-data
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems, and adjusting idle speed,
governor, engine bolt torque, valve lash, or injector lash. You may
perform this nonemission-related maintenance on emission-data engines
at the least frequent intervals that you recommend to the ultimate
purchaser (but not the intervals recommended for severe service).
(f) Source of parts and repairs. State clearly on the first page of
your written maintenance instructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission control
devices and systems. Your instructions may not require components or
service identified by brand, trade, or corporate name. Also, do not
directly or indirectly condition your warranty on a requirement that
the engine be serviced by your franchised dealers or any other service
establishments with which you have a commercial relationship. You may
disregard the requirements in this paragraph (f) if you do one of two
things:
(1) Provide a component or service without charge under the
purchase agreement.
[[Page 59202]]
(2) Get us to waive this prohibition in the public's interest by
convincing us the engine will work properly only with the identified
component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following
criteria:
(1) Each affected component was not in general use on similar
engines before the applicable dates shown in paragraph (5) of the
definition of new propulsion marine engine in Sec. 1045.801.
(2) The primary function of each affected component is to reduce
emissions.
(3) The cost of the scheduled maintenance is more than 2 percent of
the price of the engine.
(4) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the engine's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.
Sec. 1045.130 What installation instructions must I give to vessel
manufacturers?
(a) If you sell an engine for someone else to install in a vessel,
give the engine installer instructions for installing it consistent
with the requirements of this part. Include all information necessary
to ensure that an engine will be installed in its certified
configuration.
(b) Make sure the instructions have the following information:
(1) Include the heading: ``Emission-related installation
instructions''.
(2) State: ``Failing to follow these instructions when installing a
certified engine in a vessel violates federal law (40 CFR 1068.105(b)),
subject to fines or other penalties as described in the Clean Air
Act.''
(3) Describe the instructions needed to properly install the
exhaust system and any other components. Include instructions
consistent with the requirements of Sec. 1045.205(u) related to in-use
measurement and the requirements of Sec. 1045.655 related to altitude
kits.
(4) Describe the steps needed to control evaporative emissions as
described in Sec. 1045.112. This will generally require notification
that the installer and/or vessel manufacturer must meet the
requirements of Sec. 1045.112 and 40 CFR part 1060.
(5) Describe any necessary steps for installing the diagnostic
system described in Sec. 1045.110.
(6) Describe any limits on the range of applications needed to
ensure that the engine operates consistently with your application for
certification. For example, if your engines are certified only for
personal watercraft, tell vessel manufacturers not to install the
engines in vessels longer than 4.0 meters.
(7) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. For example, this may include specified
limits for catalyst systems, such as exhaust backpressure, catalyst
location, and temperature profiles during engine operation.
(8) State: ``If you install the engine in a way that makes the
engine's emission control information label hard to read during normal
engine maintenance, you must place a duplicate label on the vessel, as
described in 40 CFR 1068.105.''
(c) You do not need installation instructions for engines you
install in your own vessels.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation
requirements.
Sec. 1045.135 How must I label and identify the engines I produce?
The provisions of this section apply to engine manufacturers.
(a) Assign each engine a unique identification number and
permanently affix, engrave, or stamp it on the engine in a legible way.
(b) At the time of manufacture, affix a permanent and legible label
identifying each engine. The label must be--
(1) Attached in one piece so it is not removable without being
destroyed or defaced.
(2) Secured to a part of the engine needed for normal operation and
not normally requiring replacement.
(3) Durable and readable for the engine's entire life.
(4) Written in English.
(c) The label must--
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the provisions of Sec. 1045.640.
(3) Include EPA's standardized designation for the engine family
(and subfamily, where applicable).
(4) State the engine's displacement (in liters) and maximum engine
power (in kW); however, you may omit the displacement from the label if
all the engines in the engine family have the same per-cylinder
displacement and total displacement.
(5) State the date of manufacture [DAY (optional), MONTH, and
YEAR]; however, you may omit this from the label if you stamp, engrave,
or otherwise permanently identify it elsewhere on the engine, in which
case you must also describe in your application for certification where
you will identify the date on the engine.
(6) State the FELs to which the engines are certified (in g/kW-hr)
if certification depends on the ABT provisions of subpart H of this
part.
(7) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
(8) List specifications and adjustments for engine tuneups;
however, you may omit this information from the label if there is not
enough room for it and you put it in the owners manual instead.
(9) Identify the fuel type and any requirements for fuel and
lubricants; however, you may omit this information from the label if
there is not enough room for it and you put it in the owners manual
instead.
(10) State: ``THIS MARINE ENGINE COMPLIES WITH U.S. EPA EXHAUST
REGULATIONS FOR [MODEL YEAR].''
(11) If your durability demonstration for sterndrive/inboard
engines is limited to fresh water, state: ``THIS ENGINE IS NOT INTENDED
FOR USE IN SALTWATER.''
(d) You may add information to the emission control information
label as follows:
(1) You may identify other emission standards that the engine meets
or does not meet (such as California standards). You may include this
information by adding it to the statement we specify or by including a
separate statement.
(2) You may add other information to ensure that the engine will be
properly maintained and used.
(3) You may add appropriate features to prevent counterfeit labels.
For example, you may include the engine's unique identification number
on the label.
(e) You may ask us to approve modified labeling requirements in
this part 1045 if you show that it is necessary or appropriate. We will
approve your request if your alternate label is consistent with the
requirements of this part.
(f) If you obscure the engine label while installing the engine in
the vessel
[[Page 59203]]
such that the label cannot be read during normal maintenance, you must
place a duplicate label on the vessel. If others install your engine in
their vessels in a way that obscures the engine label, we require them
to add a duplicate label on the vessel (see 40 CFR 1068.105); in that
case, give them the number of duplicate labels they request and keep
the following records for at least five years:
(1) Written documentation of the request from the vessel
manufacturer.
(2) The number of duplicate labels you send for each engine family
and the date you sent them.
Sec. 1045.140 What is my engine's maximum engine power?
(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest whole kilowatt.
(b) The nominal power curve of an engine configuration is the
relationship between maximum available engine brake power and engine
speed for an engine, using the mapping procedures of 40 CFR part 1065,
based on the manufacturer's design and production specifications for
the engine. This information may also be expressed by a torque curve
that relates maximum available engine torque with engine speed.
(c) The nominal power curve must be within the range of the actual
power curves of production engines considering normal production
variability. If after production begins it is determined that your
nominal power curve does not represent production engines, we may
require you to amend your application for certification under Sec.
1045.225.
(d) Maximum engine power for an engine family is generally the
weighted average value of maximum engine power of each engine
configuration within the engine family based on your total U.S.-
directed production volume of engines you produce from the engine
family. However, alternative approaches for defining an engine family's
maximum engine power apply in the following circumstances:
(1) For outboard or personal watercraft engines for which you
neither generate nor use emission credits, you may identify the
greatest value for maximum engine power from all the different
configurations within the engine family to determine the appropriate
emission standard under Sec. 1045.103.
(2) For high-performance engines, you must use the smallest value
for maximum engine power from all the different configurations within
the engine family to determine the standards and other requirements
that apply under this subpart B.
Sec. 1045.145 Are there interim provisions that apply only for a
limited time?
The provisions in this section apply instead of other provisions in
this part. This section describes how and when these interim provisions
apply.
(a) Small-volume engine manufacturers. Special provisions apply to
you for sterndrive/inboard engines if you are a small-volume engine
manufacturer subject to the requirements of this part. Contact us
before January 1, 2010 if you intend to use the provisions of this
paragraph (a). You may delay complying with emission standards and
other requirements that would otherwise apply until the 2011 model year
for conventional sterndrive/inboard engines and until the 2013 model
year for high-performance engines. Add a permanent label to a readily
visible part of each engine exempted under this paragraph (a). This
label must include at least the following items:
(1) The label heading ``EMISSION CONTROL INFORMATION''.
(2) Your corporate name and trademark.
(3) Engine displacement (in liters), rated power, and model year of
the engine or whom to contact for further information.
(4) The following statement: ``THIS ENGINE IS EXEMPT UNDER 40 CFR
1045.145(a) FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''
(b) Early banking. You may generate exhaust emission credits for
conventional sterndrive/inboard engines before the 2010 model year (or
before the 2011 model year for small-volume engine manufacturers) as
follows:
(1) You must begin actual production of early-compliant engines by
September 1, 2009 (or before September 1, 2010 for small-volume engine
manufacturers).
(2) You may not generate emission credits under this paragraph (b)
with engines you produce after December 31, 2009 (or December 31, 2010
for small-volume engine manufacturers).
(3) Early-compliant engines must be certified to the standards and
requirements for conventional sterndrive/inboard engines under this
part 1045, with all family emission limits at or below the specified
emission standards.
(4) Calculate emission credits by setting STD equal to 16 g/kW-hr
for HC+NOX and 150 g/kW-hr for CO (see Sec. 1045.705).
(5) Small-volume engine manufacturers may calculate emission
credits using a multiplier based on the number of model years before
the 2011 model year. The multipliers are 1.25 for one year early, 1.5
for two years early, and 2.0 for three years early. For example,
multiply your calculated emission credits generated from compliant 2009
model year engines by 1.5.
(6) You may not use the provisions of this paragraph (b) to
generate emission credits for engines whose point of first retail sale
is in California.
(7) HC+NOX or CO credits you generate under this
paragraph (b) may not be used after the 2012 model year (or the 2013
model year for small-volume engine manufacturers).
(c) Assigned emission factors. Through the 2013 model year, small-
volume engine manufacturers may establish emission levels for
certification without testing for conventional four-stroke sterndrive/
inboard engines by selecting a family emission limit of 22.0 g/kW-hr
for HC+NOX emissions and 150 g/kW-hr for CO emissions. Note
that you must use emission credits under the provisions of subpart H of
this part to show that you meet applicable requirements if you use
these family emission limits. Also, if you use these family emission
limits, you must use them for both HC+NOX and CO emissions.
(d) Early compliance with evaporative emission standards. You may
sell or install fuel tanks that do not meet the specified permeation
standards without violating the prohibition in 40 CFR 1068.101(a)(1) if
you earn evaporative emission allowances, as follows:
(1) You may earn an evaporative emission allowance from one fuel
tank certified to EPA's evaporative emission standards by producing it
before EPA's evaporative emission standards start to apply. You may use
this evaporative emission allowance by selling one fuel tank that does
not meet the specified permeation emission standards. For example, you
can earn an evaporative emission allowance by selling a low-permeation
fuel tank for personal watercraft before the 2011 model year, in which
case you could sell a high-permeation fuel tank for a personal
watercraft in 2011. You must meet all the other requirements related to
evaporative emissions that apply for fuel tanks covered by an EPA
certificate of conformity.
[[Page 59204]]
(2) You must add a label to exempted fuel tanks you produce under
this paragraph (d) with the following statement: ``EXEMPT FROM EMISSION
STANDARDS UNDER 40 CFR 1045.145(d)''.
(3) Evaporative emission allowances you earn under this paragraph
(d) from portable marine fuel tanks may be used only for other portable
marine fuel tanks. Similarly, evaporative emission allowances from
personal watercraft fuel tanks may be used only for personal watercraft
fuel tanks and evaporative emission allowances from other installed
fuel tanks may be used only for other installed fuel tanks.
(4) You may not use the allowances you generate under this
paragraph (d) for portable marine fuel tanks and personal watercraft
fuel tanks in 2014 or later model years. Similarly, you may not use the
allowances you generate under this paragraph (d) for other installed
fuel tanks in 2015 or later model years.
(5) Send the Designated Compliance Officer the following
information for each year in which you use the provisions of this
paragraph (d):
(i) Send us a report within 45 days after the end of the model year
describing how many pieces of equipment you produced in the preceding
model year that generate allowances. You may combine this with the
reports specified in Sec. 1045.250(a) if applicable.
(ii) Describe the number of equipment using allowances under this
paragraph (d) in your end-of-year reports and final reports after the
end of the model year as described in Sec. 1045.730(a). If you do not
participate in averaging, banking, and trading program, send this
information separately within 90 days after the end of the model year.
(e) Useful life for evaporative emission standards. A useful life
period of two years applies for fuel tanks certified to meet the
permeation emission standards in Sec. 1045.112(b) in 2013 and earlier
model years. However, for fuel tanks with a family emission limit above
or below the specified emission standard, calculate emission credits
under Sec. 1045.706 based on the useful life values specified in Sec.
1045.112.
(f) Delayed FEL caps for stand-up personal watercraft. The FEL caps
specified in Sec. 1045.103(b) do not apply in the 2010 and 2011 model
years for personal watercraft that are designed for operation from a
standing position.
(g) Delayed compliance with not-to-exceed emission standards. The
not-to-exceed standards specified in Sec. 1045.107 do not apply in the
2010 through 2012 model years for engine families that are certified
based on carryover emission data from the 2009 model year. This
includes models that were certified only in California, as long as no
new testing is otherwise required to get a new certificate.
(h) Carryover of California ARB emission data. The provisions of 40
CFR 1065.10(c)(5) allow for the use of emission data generated for the
California Air Resources Board as the basis for EPA certification. For
sterndrive/inboard engines certified in California before the 2010
model year, you may use such emission data as the basis for meeting the
standards of Sec. 1045.105, as long as you meet the conditions
specified in Sec. 1045.235(d).
(i) Hardship for obsolete engines. We have made the determination
under 40 CFR 1068.255 that secondary engine manufacturers may use the
hardship exemption to sell uncertified 4.3-liter and 8.1-liter engines
from General Motors in the 2010 model year. These engines are exempt
without request. You must label the engines as specified in 40 CFR
1068.255(b).
(j) Adjusted NTE subzones for noncatalyzed four-stroke engines. For
supercharged four-stroke outboard engines above 150 kW without
catalysts, you may divide the NTE zone specified in Sec.
1045.515(c)(6) based on a speed cutpoint of 70 percent of maximum test
speed instead of 50 percent of maximum test speed through the 2014
model year.
(k) Averaging for under-cowl fuel lines. Section 1045.112 specifies
phased-in standards for under-cowl fuel lines for 2010 through 2014
model years, subject to the following provisions:
(1) You must comply with these requirements based on total lengths
of compliant and noncompliant fuel lines. For each model year,
calculate the percentage of compliant under-cowl fuel line by adding up
the length of under-cowl fuel line certified to meet the applicable
permeation standards and dividing this sum by the total length of
under-cowl fuel line from all your outboard engines. You may count a
fuel line as compliant only if you certify that its emission levels
will be at or below the specified standard throughout the useful life.
(2) In your application for certification for each outboard engine
family, identify the part numbers, descriptions, and locations of all
the compliant fuel lines. You must include a drawing of any fuel lines
in addition to the description if that is necessary for us to find
which fuel lines you intend to be certified. Your descriptions must
include the lengths of compliant and noncompliant fuel lines for each
engine, including aggregated lengths for the whole set of fuel lines
used on an engine. If the engine family includes noncompliant fuel
lines, you must also include a statement that you will have enough
compliant fuel lines to meet the phase-in requirements and provide
detailed calculations to support your statement.
(3) Send the Designated Compliance Officer end-of-year reports and
final reports after the end of each model year that you use
noncompliant fuel lines as described in Sec. 1045.730(a). Include the
production volumes with a point of retail sale in the United States, as
described in Sec. Sec. 1045.701(j). State your production volumes in
terms of total engine sales by model and in terms of total lengths of
compliant and noncompliant fuel lines. If a single engine family
includes configurations with different lengths of compliant or
noncompliant fuel lines, count each configuration separately. If you
changed your designs during the model year in a way that affects these
compliance calculations, identify the actual production volumes
associated with each unique design.
(4) Keep a copy of the reports we require in this paragraph (k)
until December 31, 2022 as described in Sec. 1045.735(b). We may
require you to keep additional records or to send us relevant
information not required by this paragraph (k), as allowed under the
Clean Air Act.
(5) Label your compliant low-permeation fuel lines as specified in
Sec. 1060.137. Any fuel line observed without a complete
identification as specified in Sec. 1060.137 will be considered
noncompliant. In addition, for each model year in which you use
noncompliant fuel lines, you must include one of the following
statements on the engine label described in Sec. 1045.135:
(i) ``LOW-PERM/HIGH-PERM = [x/y]'', where x is the percentage of
low-permeation under-cowl fuel line and y is the percentage of high-
permeation under-cowl fuel line (x and y must sum to 100).
(ii) ``LOW-PERM = [x mm]; HIGH-PERM = [y mm]'', where x is the
length of low-permeation under-cowl fuel line and y is the length of
high-permeation under-cowl fuel line, in mm.
(l) [Reserved]
(m) Delayed labeling for fuel lines. You may omit fuel-line
labeling requirements specified in 40 CFR part 1060 in the 2009 model
year.
(n) Continued use of 40 CFR part 91 test procedures. You may
continue to use the test procedures in 40 CFR part
[[Page 59205]]
91 instead of those in subpart F of this part for 2010 through 2012
model year outboard and personal watercraft engines. This applies for
certification, production-line, and in-use testing. You may continue to
use test data based on the test procedures in 40 CFR part 91 for engine
families in 2013 and later model years, provided that we allow you to
use carryover emission data under 40 CFR 1045.235(d) for your engine
family. You may also use the test procedures in 40 CFR part 91 for
production-line testing with any engine family whose certification is
based on testing with those procedures.
Subpart C--Certifying Engine Families
Sec. 1045.201 What are the general requirements for obtaining a
certificate of conformity?
Engine manufacturers must certify their engines with respect to the
exhaust emission standards in this part. Manufacturers of engines,
equipment, or fuel-system components may need to certify their products
with respect to evaporative emission standards as described in 40 CFR
1060.1 and 1060.601. The following general requirements apply for
obtaining a certificate of conformity:
(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date but it is not valid for any
production after December 31 of the model year for which it is issued.
No certificate will be issued after December 31 of the model year.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1045.255).
(c) We may ask you to include less information than we specify in
this subpart as long as you maintain all the information required by
Sec. 1045.250.
(d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and
sign the application.
(f) See Sec. 1045.255 for provisions describing how we will
process your application.
(g) We may require you to deliver your test engines to a facility
we designate for our testing (see Sec. 1045.235(c)).
Sec. 1045.205 What must I include in my application?
This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1045.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, all-
season gasoline). List each distinguishable engine configuration in the
engine family. For each engine configuration, list the maximum engine
power and the range of values for maximum engine power resulting from
production tolerances, as described in Sec. 1045.140. Describe why
your engines qualify as high-performance engines, if applicable.
(b) Explain how the emission control systems operate. Describe in
detail all system components for controlling exhaust emissions,
including all auxiliary emission control devices (AECDs) and all fuel-
system components you will install on any production or test engine.
Identify the part number of each component you describe. For this
paragraph (b), treat as separate AECDs any devices that modulate or
activate differently from each other. Include sufficient detail to
allow us to evaluate whether the AECDs are consistent with the defeat
device prohibition of Sec. 1045.115.
(c) Explain how the engine diagnostic system works, if applicable,
describing especially the engine conditions (with the corresponding
diagnostic trouble codes) that cause the malfunction indicator to go
on. Propose the conditions under which the diagnostic system should
disregard trouble codes, as described in Sec. 1045.110(f).
(d) Describe the engines you selected for testing and the reasons
for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used.
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
(g) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
(h) Identify the engine family's useful life.
(i) Include the maintenance and warranty instructions you will give
to the ultimate purchaser of each new engine (see Sec. Sec. 1045.120
and 1045.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a vessel (see Sec.
1045.130).
(k) Describe your emission control information label (see Sec.
1045.135).
(l) Identify the emission standards or FELs to which you are
certifying engines in the engine family.
(m) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1045.245). Present any emission test
data you used for this.
(n) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.
(o) Present emission data to show that you meet emission standards,
as follows:
(1) Present emission data by mode for hydrocarbons (such as THC or
THCE, as applicable), NOX, and CO on an emission-data engine
to show your engines meet the duty-cycle emission standards we specify
in Sec. Sec. 1045.103(a) and 1045.105(a). Show weighted emission
figures before and after applying deterioration factors for each
engine. If we specify more than one grade of any fuel type (for
example, low-temperature and all-season gasoline), you need to submit
test data only for one grade, unless the regulations of this part
specify otherwise for your engine.
(2) Note that Sec. Sec. 1045.235 and 1045.245 allow you to submit
an application in certain cases without new emission data.
(p) State that all the engines in the engine family comply with the
not-to-exceed emission standards we specify in subpart B of this part
for all normal operation and use when tested as specified in Sec.
1045.515, if applicable. Describe any relevant testing, engineering
analysis, or other information in sufficient detail to support your
statement.
(q) Report all test results, including those from invalid tests,
whether or not they were conducted according to the test procedures of
subpart F of this part. If you measure CO2, report those emission
levels (in g/kW-hr). We may ask you to send other information to
confirm that your tests were valid under the requirements of this part
and 40 CFR parts 1060 and 1065.
(r) Describe all adjustable operating parameters (see Sec.
1045.115(e)), including production tolerances. Include the following in
your description of each parameter:
(1) The nominal or recommended setting.
[[Page 59206]]
(2) The intended physically adjustable range.
(3) The limits or stops used to establish adjustable ranges.
(4) Information showing why the limits, stops, or other means of
inhibiting adjustment are effective in preventing adjustment of
parameters on in-use engines to settings outside your intended
physically adjustable ranges.
(s) Describe how your engines comply with emission standards at
varying atmospheric pressures. Include a description of altitude kits
you design to comply with the requirements of Sec. 1045.115(d).
Identify the part number of each component you describe. Identify the
altitude range for which you expect proper engine performance and
emission control with and without the altitude kit. State that your
engines will comply with applicable emission standards throughout the
useful life with the altitude kit installed according to your
instructions. Describe any relevant testing, engineering analysis, or
other information in sufficient detail to support your statement. In
addition, describe your plan for making information and parts available
such that you would reasonably expect that altitude kits would be
widely used in the high-altitude counties specified in 40 CFR part
1068, Appendix III. For example, engine owners should have ready access
to information describing when an altitude kit is needed and how to
obtain this service. Similarly, parts and service information should be
available to qualified service facilities in addition to authorized
service centers if that is needed for owners to have such altitude kits
installed locally.
(t) Provide the information needed to read, record, and interpret
all the information broadcast by an engine's onboard computers and
electronic control units. State that, upon request, you will give us
any hardware, software, or tools we would need to do this. If you
broadcast a surrogate parameter for torque values, you must provide us
what we need to convert these into torque units. You may reference any
appropriate publicly released standards that define conventions for
these messages and parameters. Format your information consistent with
publicly released standards.
(u) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines are installed in vessels and placed in service.
Show how to sample exhaust emissions in a way that prevents diluting
the exhaust sample with ambient air.
(v) Unconditionally certify that all the engines in the engine
family comply with the requirements of this part, other referenced
parts of the CFR, and the Clean Air Act.
(w) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes
if they are substantially different than actual production volumes in
earlier years for similar models.
(x) Include the information required by other subparts of this
part. For example, include the information required by Sec. 1045.725
if you participate in the ABT program.
(y) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(z) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.
(aa) For imported engines, identify the following:
(1) The port(s) at which you have imported engines over the
previous 12 months.
(2) The names and addresses of the agents you have authorized to
import your engines.
(3) The location of a test facility in the United States where you
can test your engines if we select them for testing under a selective
enforcement audit, as specified in 40 CFR part 1068, subpart E.
Sec. 1045.210 May I get preliminary approval before I complete my
application?
If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission
control devices, deterioration factors, testing for service
accumulation, maintenance, and compliance with not-to-exceed standards.
Decisions made under this section are considered to be preliminary
approval, subject to final review and approval. We will generally not
reverse a decision where we have given you preliminary approval, unless
we find new information supporting a different decision. If you request
preliminary approval related to the upcoming model year or the model
year after that, we will make the appropriate determinations as soon as
practicable. We will generally not provide preliminary approval related
to a future model year more than two years ahead of time.
Sec. 1045.220 How do I amend the maintenance instructions in my
application?
You may amend your emission-related maintenance instructions after
you submit your application for certification as long as the amended
instructions remain consistent with the provisions of Sec. 1045.125.
You must send the Designated Compliance Officer a written request to
amend your application for certification for an engine family if you
want to change the emission-related maintenance instructions in a way
that could affect emissions. In your request, describe the proposed
changes to the maintenance instructions. If operators follow the
original maintenance instructions rather than the newly specified
maintenance, this does not allow you to disqualify those engines from
in-use testing or deny a warranty claim.
(a) If you are decreasing, replacing, or eliminating any specified
maintenance, you may distribute the new maintenance instructions to
your customers 30 days after we receive your request, unless we
disapprove your request. This would generally include replacing one
maintenance step with another. We may approve a shorter time or waive
this requirement.
(b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions
anytime after you send your request.
(c) You need not request approval if you are making only minor
corrections (such as correcting typographical mistakes), clarifying
your maintenance instructions, or changing instructions for maintenance
unrelated to emission control. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).
Sec. 1045.225 How do I amend my application for certification to
include new or modified engines or change an FEL?
Before we issue you a certificate of conformity, you may amend your
application to include new or modified engine configurations, subject
to the provisions of this section. After we have issued your
certificate of conformity, you may send us an amended application
requesting that we include new or modified engine configurations within
the scope of the certificate, subject to the provisions of this
section. You must amend your application if any changes occur with
respect to any information included in your application.
(a) You must amend your application before you take any of the
following actions:
[[Page 59207]]
(1) Add an engine configuration to an engine family. In this case,
the engine configuration added must be consistent with other engine
configurations in the engine family with respect to the criteria listed
in Sec. 1045.230.
(2) Change an engine configuration already included in an engine
family in a way that may affect emissions, or change any of the
components you described in your application for certification. This
includes production and design changes that may affect emissions any
time during the engine's lifetime.
(3) Modify an FEL for an engine family as described in paragraph
(f) of this section.
(b) To amend your application for certification, send the
Designated Compliance Officer the following information:
(1) Describe in detail the addition or change in the engine model
or configuration you intend to make.
(2) Include engineering evaluations or data showing that the
amended engine family complies with all applicable requirements. You
may do this by showing that the original emission-data engine is still
appropriate for showing that the amended family complies with all
applicable requirements.
(3) If the original emission-data engine for the engine family is
not appropriate to show compliance for the new or modified engine
configuration, include new test data showing that the new or modified
engine configuration meets the requirements of this part.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your newly added or modified engine. You may ask for
a hearing if we deny your request (see Sec. 1045.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify you to cease production of the engines and
may require you to recall the engines at no expense to the owner.
Choosing to produce engines under this paragraph (e) is deemed to be
consent to recall all engines that we determine do not meet applicable
emission standards or other requirements and to remedy the
nonconformity at no expense to the owner. If you do not provide
information required under paragraph (c) of this section within 30 days
after we request it, you must stop producing the new or modified
engines.
(f) You may ask us to approve a change to your FEL in certain cases
after the start of production. The changed FEL may not apply to engines
you have already introduced into U.S. commerce, except as described in
this paragraph (f). If we approve a changed FEL after the start of
production, you must include the new FEL on the emission control
information label for all engines produced after the change. You may
ask us to approve a change to your FEL in the following cases:
(1) You may ask to raise your FEL for your engine family at any
time. In your request, you must show that you will still be able to
meet the emission standards as specified in subparts B and H of this
part. If you amend your application by submitting new test data to
include a newly added or modified engine, as described in paragraph
(b)(3) of this section, use the appropriate FELs with corresponding
production volumes to calculate emission credits for the model year, as
described in subpart H of this part. In all other circumstances, you
must use the higher FEL for the entire family to calculate emission
credits under subpart H of this part.
(2) You may ask to lower the FEL for your engine family only if you
have test data from production engines showing that emissions are below
the proposed lower FEL. The lower FEL applies only to engines you
produce after we approve the new FEL. Use the appropriate FELs with
corresponding production volumes to calculate emission credits for the
model year, as described in subpart H of this part.
Sec. 1045.230 How do I select engine families?
(a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout their useful life as described in this
section. Your engine family is limited to a single model year.
(b) Group engines into the same engine family if they are the same
in all the following aspects:
(1) The combustion cycle and fuel. See paragraph (e) of this
section for special provisions that apply for dual-fuel engines.
(2) Method of air aspiration (for example, turbocharged vs.
naturally aspirated).
(3) The number, location, volume, and composition of catalytic
converters.
(4) The number, arrangement, and approximate bore diameter of
cylinders.
(5) Method of control for engine operation, other than governing
(i.e., mechanical or electronic).
(6) The numerical level of the applicable emission standards. For
example, an engine family may not include engines certified to
different family emission limits, though you may change family emission
limits without recertifying as specified in Sec. 1045.225.
(c) You may subdivide a group of engines that is identical under
paragraph (b) of this section into different engine families if you
show the expected emission characteristics are different during the
useful life.
(d) You may group engines that are not identical with respect to
the things listed in paragraph (b) of this section into the same engine
family, as follows:
(1) In unusual circumstances, you may group such engines into the
same engine family if you show that their emission characteristics
during the useful life will be similar.
(2) If you are a small-volume engine manufacturer, you may group
all your high-performance engines into a single engine family.
(3) The provisions of this paragraph (e) do not exempt any engines
from meeting all the emission standards and requirements in subpart B
of this part.
(e) You may certify dual-fuel or flexible-fuel engines in a single
engine family. You may include dedicated-fuel versions of this same
engine model in the same engine family, as long as they are identical
to the engine configuration with respect to that fuel type for the
dual-fuel or flexible-fuel version of the engine. For example, if you
produce an engine that can alternately run on gasoline and natural gas,
you can include the gasoline-only and natural gas-only versions of the
engine in the same engine family as the dual-fuel engine if engine
operation on each fuel type is identical with or without installation
of components for operating on the other fuel.
Sec. 1045.235 What emission testing must I perform for my application
for a certificate of conformity?
This section describes the emission testing you must perform to
show compliance with the emission standards in Sec. Sec. 1045.103 and
1045.105. See Sec. 1045.205(p) regarding emission testing related to
the not-to-exceed standards. See Sec. Sec. 1045.240 and 1045.245 and
40 CFR part 1065, subpart E, regarding service accumulation before
emission testing.
(a) Select an emission-data engine from each engine family for
testing as
[[Page 59208]]
described in 40 CFR 1065.401. Select the engine with a configuration
that is most likely to exceed the exhaust emission standards, using
good engineering judgment. Consider the emission levels of all exhaust
constituents over the full useful life of the engine when operated in a
vessel.
(b) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part. In the case of dual-fuel
engines, measure emissions when operating with each type of fuel for
which you intend to certify the engine. In the case of flexible-fuel
engines, measure emissions when operating with the fuel mixture that is
most likely to cause the engine to exceed the applicable
HC+NOX emission standard, though you may ask us to exclude
fuel mixtures that you can show are not likely to occur in use.
(c) We may measure emissions from any of your emission-data engines
or other engines from the engine family, as follows:
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the engine to a test facility
we designate. The engine you provide must include appropriate
manifolds, aftertreatment devices, electronic control units, and other
emission-related components not normally attached directly to the
engine block. If we do the testing at your plant, you must schedule it
as soon as possible and make available the instruments, personnel, and
equipment we need.
(2) If we measure emissions on one of your engines, the results of
that testing become the official emission results for the engine.
Unless we later invalidate these data, we may decide not to consider
your data in determining if your engine family meets applicable
requirements.
(3) We may set the adjustable parameters of your engine to any
point within the physically adjustable ranges (see Sec. 1045.115(e)).
(4) We may calibrate your engine within normal production
tolerances for anything we do not consider an adjustable parameter. For
example, this would apply where we determine that an engine parameter
is not an adjustable parameter (as defined in Sec. 1045.801) but that
it is subject to production variability.
(d) You may ask to use carryover emission data from a previous
model year instead of doing new tests, but only if all the following
are true:
(1) The engine family from the previous model year differs from the
current engine family only with respect to model year or other
characteristics unrelated to emissions.
(2) The emission-data engine from the previous model year remains
the appropriate emission-data engine under paragraph (b) of this
section.
(3) The data show that the emission-data engine would meet all the
requirements that apply to the engine family covered by the application
for certification. For engines originally tested under the provisions
of 40 CFR part 91, you may consider those test procedures to be
equivalent to the procedures we specify in subpart F of this part.
(e) We may require you to test another engine of the same or
different configuration in addition to the engine(s) tested under
paragraph (b) of this section.
(f) If you use an alternate test procedure under 40 CFR 1065.10 and
later testing shows that such testing does not produce results that are
equivalent to the procedures specified in subpart F of this part, we
may reject data you generated using the alternate procedure.
Sec. 1045.240 How do I demonstrate that my engine family complies
with exhaust emission standards?
(a) For purposes of certification, your engine family is considered
in compliance with the duty-cycle emission standards in Sec. 1045.103
or Sec. 1045.105 if all emission-data engines representing that family
have test results showing deteriorated emission levels at or below
these standards. This includes all test points over the course of the
durability demonstration. Note that your FELs are considered to be the
applicable emission standards with which you must comply if you
participate in the ABT program in subpart H of this part.
(b) Your engine family is deemed not to comply if any emission-data
engine representing that family has test results showing a deteriorated
emission level for any pollutant that is above an applicable emission
standard. Similarly, your engine family is deemed not to comply if any
emission-data engine representing that family has test results showing
any emission level above the applicable not-to-exceed emission standard
for any pollutant. The provisions of this paragraph (b) apply for all
test points over the course of the durability demonstration.
(c) Determine a deterioration factor to compare emission levels
from the emission-data engine with the applicable emission standards.
Section 1045.245 specifies how to test engines to develop deterioration
factors that represent the expected deterioration in emissions over
your engines' full useful life. Your deterioration factors must take
into account any available data from in-use testing with similar
engines. You may ask us to give you an assigned deterioration factor
for your high-performance engines. Small-volume engine manufacturers
may use assigned deterioration factors that we establish for any engine
families certified under this part. Apply deterioration factors as
follows:
(1) Additive deterioration factor for exhaust emissions. For
engines that do not use aftertreatment technology, use an additive
deterioration factor for exhaust emissions. An additive deterioration
factor is the difference between exhaust emissions at the end of useful
life and exhaust emissions at the low-hour test point. Adjust the
official emission results for each tested engine at the selected test
point by adding the factor to the measured emissions. If the
deterioration factor is less than zero, use zero. Additive
deterioration factors must be specified to one more decimal place than
the emission standard.
(2) Multiplicative deterioration factor for exhaust emissions. For
engines that use aftertreatment technology, such as catalytic
converters, use a multiplicative deterioration factor for exhaust
emissions. A multiplicative deterioration factor is the ratio of
exhaust emissions at the end of useful life to exhaust emissions at the
low-hour test point. Adjust the official emission results for each
tested engine at the selected test point by multiplying the measured
emissions by the deterioration factor. If the deterioration factor is
less than one, use one. Multiplicative deterioration factors must be
specified to one more significant figure than the emission standard.
(d) Collect emission data using measurements to one more decimal
place than the applicable standard. Apply the deterioration factor to
the official emission result, as described in paragraph (c) of this
section, then round the adjusted figure to the same number of decimal
places as the emission standard. Compare the rounded emission levels to
the emission standard for each emission-data engine. In the case of
HC+NOX standards, add the official emission results and
apply the deterioration factor to the sum of the pollutants before
rounding. However, if your deterioration factors are based on emission
measurements that do not cover the vehicle's full useful life, apply
the deterioration factor to each pollutant and then add the results
before rounding.
[[Page 59209]]
Sec. 1045.245 How do I determine deterioration factors from exhaust
durability testing?
This section describes how to determine deterioration factors,
either with pre-existing test data or with new emission measurements.
(a) You may ask us to approve deterioration factors for an engine
family based on emission measurements from similar engines if you have
already given us these data for certifying the other engines in the
same or earlier model years. Use good engineering judgment to decide
whether the two engines are similar.
(b) If you are unable to determine deterioration factors for an
engine family under paragraph (a) of this section, select engines,
subsystems, or components for testing. Determine deterioration factors
based on service accumulation and related testing. Include
consideration of wear and other causes of deterioration expected under
typical consumer use, including exposure to saltwater if applicable.
Determine deterioration factors as follows:
(1) You must measure emissions from the emission-data engine at a
low-hour test point and the end of the useful life. You may also test
at evenly spaced intermediate points. Collect emission data using
measurements to one more decimal place than the emission standard.
(2) Operate the engine over a representative duty cycle for a
period at least as long as the useful life (in hours). You may operate
the engine continuously. You may also use an engine installed in a
vessel to accumulate service hours instead of running the engine only
in the laboratory.
(3) In the case of dual-fuel or flexible-fuel engines, you may
accumulate service hours on a single emission-data engine using the
type or mixture of fuel expected to have the highest combustion and
exhaust temperatures. For dual-fuel engines, you must measure emissions
on each fuel type at each test point.
(4) You may perform maintenance on emission-data engines as
described in Sec. 1045.125 and 40 CFR part 1065, subpart E.
(5) If you measure emissions at only two points to calculate your
deterioration factor, base your calculations on a linear relationship
connecting these two data points for each pollutant. If you measure
emissions at three or more points, use a linear least-squares fit of
your test data for each pollutant to calculate your deterioration
factor.
(6) If you test more than one engine to establish deterioration
factors, calculate the deterioration factor for each engine and average
the deterioration factors from all the engines before rounding.
(7) Use good engineering judgment for all aspects of the effort to
establish deterioration factors under this paragraph (b).
(8) You may use other testing methods to determine deterioration
factors, consistent with good engineering judgment, as long as we
approve those methods in advance.
(c) Include the following information in your application for
certification:
(1) If you determine your deterioration factors based on test data
from a different engine family, explain why this is appropriate and
include all the emission measurements on which you base the
deterioration factor.
(2) If you do testing to determine deterioration factors, describe
the form and extent of service accumulation, including the method you
use to accumulate hours.
Sec. 1045.250 What records must I keep and what reports must I send
to EPA?
(a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec. 1045.345.
In addition, within 45 days after the end of the model year, you must
send us a report describing information about engines you produced
during the model year as follows:
(1) State the total production volume for each engine family that
is not subject to reporting under Sec. 1045.345.
(2) State the total production volume for any engine family for
which you produce engines after completing the reports required in
Sec. 1045.345.
(3) For production volumes you report under this paragraph (a),
identify whether or not the figures include California sales. Include a
separate count of production volumes for California sales if those
figures are available.
(b) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send
us.
(2) Any of the information we specify in Sec. 1045.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data engine. For each
engine, describe all of the following:
(i) The emission-data engine's construction, including its origin
and buildup, steps you took to ensure that it represents production
engines, any components you built specially for it, and all the
components you include in your application for certification.
(ii) How you accumulated engine operating hours (service
accumulation), including the dates and the number of hours accumulated.
(iii) All maintenance, including modifications, parts changes, and
other service, and the dates and reasons for the maintenance.
(iv) All your emission tests, including documentation on routine
and standard tests, as specified in part 40 CFR part 1065, and the date
and purpose of each test.
(v) All tests to diagnose engine or emission control performance,
giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each engine family divided by assembly
plant.
(5) Keep a list of engine identification numbers for all the
engines you produce under each certificate of conformity.
(c) Keep data from routine emission tests (such as test cell
temperatures and relative humidity readings) for one year after we
issue the associated certificate of conformity. Keep all other
information specified in this section for eight years after we issue
your certificate.
(d) Store these records in any format and on any media as long as
you can promptly send us organized, written records in English if we
ask for them. You must keep these records readily available. We may
review them at any time.
Sec. 1045.255 What decisions may EPA make regarding my certificate of
conformity?
(a) If we determine your application is complete and shows that the
engine family meets all the requirements of this part and the Clean Air
Act, we will issue a certificate of conformity for your engine family
for that model year. We may make the approval subject to additional
conditions.
(b) We may deny your application for certification if we determine
that your engine family fails to comply with emission standards or
other requirements of this part or the Clean Air Act. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements.
(2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent).
[[Page 59210]]
(3) Render inaccurate any test data.
(4) Deny us from completing authorized activities (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
(6) Fail to supply requested information or amend your application
to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the
Clean Air Act or this part.
(d) We may void your certificate if you do not keep the records we
require or do not give us information as required under this part or
the Clean Air Act.
(e) We may void your certificate if we find that you intentionally
submitted false or incomplete information.
(f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec. 1045.820).
Subpart D--Testing Production-line Engines
Sec. 1045.301 When must I test my production-line engines?
(a) If you produce engines that are subject to the requirements of
this part, you must test them as described in this subpart, except as
follows:
(1) Small-volume engine manufacturers may omit testing under this
subpart.
(2) We may exempt engine families with a projected U.S.-directed
production volume below 150 units from routine testing under this
subpart. Request this exemption in your application for certification
and include your basis for projecting a production volume below 150
units. We will approve your request if we agree that you have made
good-faith estimates of your production volumes. Your exemption is
approved when we grant your certificate. You must promptly notify us if
your actual production exceeds 150 units during the model year. If you
exceed the production limit or if there is evidence of a nonconformity,
we may require you to test production-line engines under this subpart,
or under 40 CFR part 1068, subpart E, even if we have approved an
exemption under this paragraph (a)(2).
(3) The requirements of this subpart do not apply to sterndrive/
inboard engines.
(b) We may suspend or revoke your certificate of conformity for
certain engine families if your production-line engines do not meet the
requirements of this part or you do not fulfill your obligations under
this subpart (see Sec. Sec. 1045.325 and 1045.340).
(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not
affect our ability to do selective enforcement audits, as described in
40 CFR part 1068. Individual engines in families that pass these
production-line testing requirements must also conform to all
applicable regulations of this part and 40 CFR part 1068.
(d) You may use alternate programs for testing production-line
engines in the following circumstances:
(1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the
otherwise applicable requirements in 40 CFR part 1065 for laboratory
testing, to demonstrate compliance with duty-cycle emission standards
if you double the minimum sampling rate specified in Sec. 1045.310(b).
Use measured test results to determine whether engines comply with
applicable standards without applying a measurement allowance. This
alternate program does not require prior approval but we may disallow
use of this option where we determine that use of field-grade equipment
would prevent you from being able to demonstrate that your engines are
being produced to conform to the specifications in your application for
certification.
(2) You may ask to use another alternate program for testing
production-line engines. In your request, you must show us that the
alternate program gives equal assurance that your products meet the
requirements of this part. We may waive some or all of this subpart's
requirements if we approve your alternate approach. For example, in
certain circumstances you may be able to give us equal assurance that
your products meet the requirements of this part by using less rigorous
measurement methods if you offset that by increasing the number of test
engines.
(e) If you certify an engine family with carryover emission data,
as described in Sec. 1045.235(d), and these equivalent engine families
consistently pass the production-line testing requirements over the
preceding two-year period, you may ask for a reduced testing rate for
further production-line testing for that family. The minimum testing
rate is one engine per engine family. If we reduce your testing rate,
we may limit our approval to any number of model years. In determining
whether to approve your request, we may consider the number of engines
that have failed the emission tests.
(f) We may ask you to make a reasonable number of production-line
engines available for a reasonable time so we can test or inspect them
for compliance with the requirements of this part.
Sec. 1045.305 How must I prepare and test my production-line engines?
This section describes how to prepare and test production-line
engines. You must assemble the test engine in a way that represents the
assembly procedures for other engines in the engine family. You must
ask us to approve any deviations from your normal assembly procedures
for other production engines in the engine family.
(a) Test procedures. Test your production-line engines using the
applicable testing procedures in subpart F of this part to show you
meet the duty-cycle emission standards in subpart B of this part. The
not-to-exceed standards apply for this testing, but you need not do
additional testing to show that production-line engines meet the not-
to-exceed standards.
(b) Modifying a test engine. Once an engine is selected for testing
(see Sec. 1045.310), you may adjust, repair, prepare, or modify it or
check its emissions only if one of the following is true:
(1) You document the need for doing so in your procedures for
assembling and inspecting all your production engines and make the
action routine for all the engines in the engine family.
(2) This subpart otherwise specifically allows your action.
(3) We approve your action in advance.
(c) Engine malfunction. If an engine malfunction prevents further
emission testing, ask us to approve your decision to either repair the
engine or delete it from the test sequence.
(d) Setting adjustable parameters. Before any test, we may require
you to adjust any adjustable parameter to any setting within its
physically adjustable range.
(1) We may require you to adjust idle speed outside the physically
adjustable range as needed, but only until the engine has stabilized
emission levels (see paragraph (e) of this section). We may ask you for
information needed to establish an alternate minimum idle speed.
(2) We may specify adjustments within the physically adjustable
range
[[Page 59211]]
by considering their effect on emission levels. We may also consider
how likely it is that someone will make such an adjustment with in-use
engines.
(e) Stabilizing emission levels. You may operate the engine to
stabilize the emission levels before you test production-line engines.
Using good engineering judgment, operate your engines in a way that
represents the way production engines will be used. You may operate
each engine for no more than the greater of two periods:
(1) 12 hours.
(2) The number of hours you operated your emission-data engine for
certifying the engine family (see 40 CFR part 1065, subpart E, or the
applicable regulations governing how you should prepare your test
engine).
(f) Damage during shipment. If shipping an engine to a remote
facility for production-line testing makes necessary an adjustment or
repair, you must wait until after the initial emission test to do this
work. We may waive this requirement if the test would be impossible or
unsafe or if it would permanently damage the engine. Report to us in
your written report under Sec. 1045.345 all adjustments or repairs you
make on test engines before each test.
(g) Retesting after invalid tests. You may retest an engine if you
determine an emission test is invalid under subpart F of this part.
Explain in your written report reasons for invalidating any test and
the emission results from all tests. If we determine that you
improperly invalidated a test, we may require you to ask for our
approval for future testing before substituting results of the new
tests for invalid ones.
Sec. 1045.310 How must I select engines for production-line testing?
(a) Test engines from each engine family as described in this
section based on test periods, as follows:
(1) For engine families with projected U.S.-directed production
volume of at least 1,600, the test periods are consecutive quarters (3
months). However, if your annual production period is less than 12
months long, you may take the following alternative approach to define
quarterly test periods:
(i) If your annual production period is 120 days or less, the whole
model year constitutes a single test period.
(ii) If your annual production period is 121 to 210 days, divide
the annual production period evenly into two test periods.
(iii) If your annual production period is 211 to 300 days, divide
the annual production period evenly into three test periods.
(iv) If your annual production period is 301 days or longer, divide
the annual production period evenly into four test periods.
(2) For engine families with projected U.S.-directed production
volume below 1,600, the whole model year constitutes a single test
period.
(b) Early in each test period, randomly select and test an engine
from the end of the assembly line for each engine family.
(1) In the first test period for newly certified engines, randomly
select and test one more engine. Then, calculate the required sample
size for the model year as described in paragraph (c) of this section.
(2) In later test periods of the same model year, combine the new
test result with all previous testing in the model year. Then,
calculate the required sample size for the model year as described in
paragraph (c) of this section.
(3) In the first test period for engine families relying on
previously submitted test data, combine the new test result with the
last test result from the previous model year. Then, calculate the
required sample size for the model year as described in paragraph (c)
of this section. Use the last test result from the previous model year
only for this first calculation. For all subsequent calculations, use
only results from the current model year.
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC+NOX and CO. The
required sample size is the greater of these calculated values. Use the
following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.089
Where:
N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the
number of tests completed, n, as specified in the table in paragraph
(c)(1) of this section. It defines 95% confidence intervals for a
one-tail distribution.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of
this section).
x = Mean of emission test results of the sample.
STD = Emission standard (or family emission limit, if applicable).
(1) Determine the 95% confidence coefficient, t95, from
the following table:
------------------------------------------------------------------------
n t95 n t95 n t95
------------------------------------------------------------------------
2 6.31 12 1.80 22 1.72
3 2.92 13 1.78 23 1.72
4 2.35 14 1.77 24 1.71
5 2.13 15 1.76 25 1.71
6 2.02 16 1.75 26 1.71
7 1.94 17 1.75 27 1.71
8 1.90 18 1.74 28 1.70
9 1.86 19 1.73 29 1.70
10 1.83 20 1.73 30+ 1.70
11 1.81 21 1.72 .......... ..........
------------------------------------------------------------------------
(2) Calculate the standard deviation, [sigma], for the test sample
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR08OC08.090
Where:
Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.
(d) Use final deteriorated test results to calculate the variables
in the equations in paragraph (c) of this section (see Sec.
1045.315(a)(2)).
(e) After each new test, recalculate the required sample size using
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
(f) Distribute the remaining engine tests evenly throughout the
rest of the year. You may need to adjust your schedule for selecting
engines if the required sample size changes. If your scheduled
quarterly testing for the remainder of the model year is sufficient
[[Page 59212]]
to meet the calculated sample size, you may wait until the next quarter
to do additional testing. Continue to randomly select engines from each
engine family.
(g) Continue testing until one of the following things happens:
(1) After completing the minimum number of tests required in
paragraph (b) of this section, the number of tests completed in an
engine family, n, is greater than the required sample size, N, and the
sample mean, x, is less than or equal to the emission standard. For
example, if N = 5.1 after the fifth test, the sample-size calculation
does not allow you to stop testing.
(2) The engine family does not comply according to Sec. 1045.315.
(3) You test 30 engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number. Do not count an engine under this paragraph (g)(4) if it fails
to meet an applicable emission standard.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for
one pollutant but not another, you must continue measuring emission
levels of all pollutants for any additional tests required under this
section. However, you need not continue making the calculations
specified in this subpart for the pollutant for which testing is not
required. This paragraph (h) does not affect the number of tests
required under this section, the required calculations in Sec.
1045.315, or the remedial steps required under Sec. 1045.320.
(i) You may elect to test more randomly chosen engines than we
require under this section. Include these engines in the sample-size
calculations.
Sec. 1045.315 How do I know when my engine family fails the
production-line testing requirements?
This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family
basis. See Sec. 1045.320 for the requirements that apply to individual
engines that fail a production-line test.
(a) Calculate your test results as follows:
(1) Initial and final test results. Calculate and round the test
results for each engine. If you do several tests on an engine,
calculate the initial results for each test, then add all the test
results together and divide by the number of tests. Round this final
calculated value for the final test results on that engine.
(2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec.
1045.240(c)).
(3) Round deteriorated test results. Round the results to the
number of decimal places in the emission standard expressed to one more
decimal place.
(b) Construct the following CumSum Equation for each engine family
for HC+NOX and CO emissions:
Ci = Max [0 or Ci-1 + Xi- (STD + 0.25
x [sigma])]
Where:
Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test,
the CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual
engine.
STD = Emission standard (or family emission limit, if applicable).
(c) Use final deteriorated test results to calculate the variables
in the equation in paragraph (b) of this section (see Sec.
1045.315(a)).
(d) After each new test, recalculate the CumSum statistic.
(e) If you test more than the required number of engines, include
the results from these additional tests in the CumSum Equation.
(f) After each test, compare the current CumSum statistic, Ci, to
the recalculated Action Limit, H, defined as H = 5.0 x [sigma].
(g) If the CumSum statistic exceeds the Action Limit in two
consecutive tests, the engine family fails the production-line testing
requirements of this subpart. Tell us within ten working days if this
happens. You may request to amend the application for certification to
raise the FEL of the entire engine family as described in Sec.
1045.225(f).
(h) If you amend the application for certification for an engine
family under Sec. 1045.225, do not change any previous calculations of
sample size or CumSum statistics for the model year.
Sec. 1045.320 What happens if one of my production-line engines fails
to meet emission standards?
(a) If you have a production-line engine with final deteriorated
test results exceeding one or more emission standards (see Sec.
1045.315(a)), the certificate of conformity is automatically suspended
for that failing engine. You must take the following actions before
your certificate of conformity can cover that engine:
(1) Correct the problem and retest the engine to show it complies
with all emission standards.
(2) Include the test results and describe the remedy for each
engine in the written report required under Sec. 1045.345.
(b) You may request to amend the application for certification to
raise the FEL of the entire engine family at this point (see Sec.
1045.225).
Sec. 1045.325 What happens if an engine family fails the production-
line testing requirements?
(a) We may suspend your certificate of conformity for an engine
family if it fails under Sec. 1045.315. The suspension may apply to
all facilities producing engines from an engine family even if you find
noncompliant engines only at one facility.
(b) We will tell you in writing if we suspend your certificate in
whole or in part. We will not suspend a certificate until at least 15
days after the engine family fails. The suspension is effective when
you receive our notice.
(c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec. 1045.820). If we agree
before a hearing occurs that we used erroneous information in deciding
to suspend the certificate, we will reinstate the certificate.
(d) Section 1045.335 specifies steps you must take to remedy the
cause of the engine family's production-line failure. All the engines
you have produced since the end of the last test period are presumed
noncompliant and should be addressed in your proposed remedy. We may
require you to apply the remedy to engines produced earlier if we
determine that the cause of the failure is likely to have affected the
earlier engines.
(e) You may request to amend the application for certification to
raise the FEL of the engine family before or after we suspend your
certificate as described in Sec. 1045.225(f). We will approve your
request if the failure is not caused by a defect and it is clear that
you used good engineering judgment in establishing the original FEL.
Sec. 1045.330 May I sell engines from an engine family with a
suspended certificate of conformity?
You may sell engines that you produce after we suspend the engine
family's certificate of conformity under Sec. 1045.315 only if one of
the following occurs:
(a) You test each engine you produce and show it complies with
emission standards that apply.
(b) We conditionally reinstate the certificate for the engine
family. We may do so if you agree to recall all the affected engines
and remedy any
[[Page 59213]]
noncompliance at no expense to the owner if later testing shows that
the engine family still does not comply.
Sec. 1045.335 How do I ask EPA to reinstate my suspended certificate?
(a) Send us a written report asking us to reinstate your suspended
certificate. In your report, identify the reason for noncompliance,
propose a remedy for the engine family, and commit to a date for
carrying it out. In your proposed remedy include any quality control
measures you propose to keep the problem from happening again.
(b) Give us data from production-line testing that shows the
remedied engine family complies with all the emission standards that
apply.
Sec. 1045.340 When may EPA revoke my certificate under this subpart
and how may I sell these engines again?
(a) We may revoke your certificate for an engine family in the
following cases:
(1) You do not meet the reporting requirements.
(2) Your engine family fails to comply with the requirements of
this subpart and your proposed remedy to address a suspended
certificate under Sec. 1045.335 is inadequate to solve the problem or
requires you to change the engine's design or emission control system.
(b) To sell engines from an engine family with a revoked
certificate of conformity, you must modify the engine family and then
show it complies with the requirements of this part.
(1) If we determine your proposed design change may not control
emissions for the engine's full useful life, we will tell you within
five working days after receiving your report. In this case we will
decide whether production-line testing will be enough for us to
evaluate the change or whether you need to do more testing.
(2) Unless we require more testing, you may show compliance by
testing production-line engines as described in this subpart.
(3) We will issue a new or updated certificate of conformity when
you have met these requirements.
Sec. 1045.345 What production-line testing records must I send to
EPA?
(a) Within 45 days of the end of each test period, send us a report
with the following information:
(1) Describe any facility used to test production-line engines and
state its location.
(2) State the total U.S.-directed production volume and number of
tests for each engine family.
(3) Describe how you randomly selected engines.
(4) Describe each test engine, including the engine family's
identification and the engine's model year, build date, model number,
identification number, and number of hours of operation before testing.
(5) Identify how you accumulated hours of operation on the engines
and describe the procedure and schedule you used.
(6) Provide the test number; the date, time and duration of
testing; test procedure; all initial test results; final test results;
and final deteriorated test results for all tests. Provide the emission
results for all measured pollutants. Include information for both valid
and invalid tests and the reason for any invalidation.
(7) Describe completely and justify any nonroutine adjustment,
modification, repair, preparation, maintenance, or test for the test
engine if you did not report it separately under this subpart. Include
the results of any emission measurements, regardless of the procedure
or type of engine.
(8) Provide the CumSum analysis required in Sec. 1045.315 and the
sample-size calculation required in Sec. 1045.310 for each engine
family.
(9) Report on each failed engine as described in Sec. 1045.320.
(10) State the date the test period ended for each engine family.
(b) We may ask you to add information to your written report so we
can determine whether your new engines conform with the requirements of
this subpart. We may also ask you to send less information.
(c) An authorized representative of your company must sign the
following statement:
We submit this report under sections 208 and 213 of the Clean Air
Act. Our production-line testing conformed completely with the
requirements of 40 CFR part 1045. We have not changed production
processes or quality-control procedures for test engines in a way that
might affect emission controls. All the information in this report is
true and accurate to the best of my knowledge. I know of the penalties
for violating the Clean Air Act and the regulations. (Authorized
Company Representative).
(d) Send electronic reports of production-line testing to the
Designated Compliance Officer using an approved information format. If
you want to use a different format, send us a written request with
justification for a waiver.
(e) We will send copies of your reports to anyone from the public
who asks for them. Section 1045.815 describes how we treat information
you consider confidential.
Sec. 1045.350 What records must I keep?
(a) Organize and maintain your records as described in this
section. We may review your records at any time.
(b) Keep paper or electronic records of your production-line
testing for eight years after you complete all the testing required for
an engine family in a model year.
(c) Keep a copy of the written reports described in Sec. 1045.345.
(d) Keep the following additional records:
(1) A description of all test equipment for each test cell that you
can use to test production-line engines.
(2) The names of supervisors involved in each test.
(3) The name of anyone who authorizes adjusting, repairing,
preparing, or modifying a test engine and the names of all supervisors
who oversee this work.
(4) If you shipped the engine for testing, the date you shipped it,
the associated storage or port facility, and the date the engine
arrived at the testing facility.
(5) Any records related to your production-line tests that are not
in the written report.
(6) A brief description of any significant events during testing
not otherwise described in the written report or in this section.
(7) Any information specified in Sec. 1045.345 that you do not
include in your written reports.
(e) If we ask, you must give us a more detailed description of
projected or actual production figures for an engine family. We may ask
you to divide your production figures by maximum engine power,
displacement, fuel type, or assembly plant (if you produce engines at
more than one plant).
(f) Keep records of the engine identification number for each
engine you produce under each certificate of conformity. You may
identify these numbers as a range. Give us these records within 30 days
if we ask for them.
(g) We may ask you to keep or send other information necessary to
implement this subpart.
Subpart E--In-Use Testing
Sec. 1045.401 What testing requirements apply to my engines that have
gone into service?
(a) We may perform in-use testing of any engines subject to the
standards of this part. If you produce outboard or personal watercraft
engines that are subject to the requirements of this part, you must
test them as described in this subpart. The testing requirements
[[Page 59214]]
described in this subpart do not apply to sterndrive/inboard engines.
This generally involves testing engines in the field or removing them
for measurement in a laboratory.
(b) We may approve an alternate plan for showing that in-use
engines comply with the requirements of this part if one of the
following is true:
(1) You produce 200 or fewer engines per year in the selected
engine family.
(2) You identify a unique aspect of your engine applications that
keeps you from doing the required in-use testing.
(c) We may void your certificate of conformity for an engine family
if you do not meet your obligations under this part.
(d) Independent of your responsibility to test in-use engines, we
may choose at any time to do our own testing of your in-use engines.
(e) If in-use testing shows that engines fail to meet emission
standards or other requirements of this part, we may pursue a recall or
other remedy as allowed by the Clean Air Act (see Sec. 1045.415).
Sec. 1045.405 How does this program work?
(a) You must test in-use engines for exhaust emissions from the
families we select. We may select up to 25 percent of your engine
families in any model year--or one engine family if you have three or
fewer families. When we select an engine family for testing, we may
specify that you preferentially test engines based on the type of
vessel. In addition, we may identify specific modes of operation or
sampling times. You may choose to test additional engine families that
we do not select.
(b) The provisions of this paragraph (b) describe how test families
are selected, depending on when we receive the application for
certification.
(1) If we receive the application by December 31 of a given
calendar year for the following model year (for example, by December
31, 2009 for model year 2010), we would expect to select engine
families for testing by February 28 of the model year. If we have not
completed the selection of engine families by February 28, you may
select your own engine families for in-use testing. In this case, you
must make your selections and notify us which engine families you have
selected by March 31. You should consider the following factors in
selecting engine families, in priority order:
(i) Select an engine family that has not recently been tested in an
in-use testing regimen (and passed) under the provisions of this
subpart. This should generally involve engine families that have not
been selected in the previous two model years. If design changes have
required new testing for certification, we would consider that this
engine family has not been selected for in-use testing.
(ii) Select an engine family if we have approved an alternative
approach to establishing a deterioration factor under Sec.
1045.245(b)(8).
(iii) Select the engine family with the highest projected U.S.-
directed production volume.
(2) If we receive an application for a given model year after
December 31 of the previous calendar year, you must conduct in-use
testing with that engine family without regard to the limitations
specified in paragraph (a) of this section, unless we waive this
requirement. We will generally waive testing under this paragraph
(b)(2) only for small-volume engine manufacturers or in the case where
similar testing was recently completed for a related engine family.
(c) Send us an in-use testing plan for engine families selected for
testing. Complete the testing within 24 calendar months after we
approve your plan. Send us the in-use testing plan according to the
following deadlines:
(1) Within 12 calendar months after we direct you to test a
particular engine family.
(2) By February 28 of the following year if you select engine
families for testing under paragraph (b)(1) of this section.
(3) Within 12 calendar months after we approve certification for
engine families subject to the requirements of paragraph (b)(2) of this
section.
(d) You may need to test engines from more than one model year at a
given time.
(e) In appropriate extreme and unusual circumstances that are
clearly outside your control and could not have been avoided by the
exercise of prudence, diligence, and due care, we may waive the in-use
testing requirement for an engine family. For example, if your test
fleet is destroyed by severe weather during service accumulation and we
agree that completion of testing is not possible, we would generally
waive testing requirements for that engine family.
Sec. 1045.410 How must I select, prepare, and test my in-use engines?
(a) You may make arrangements to select representative test engines
from your own fleet or from other independent sources.
(b) For the selected engine families, select engines that you or
your customers have--
(1) Operated for at least 50 percent of the engine family's useful
life (see Sec. 1045.103(e));
(2) Not maintained or used in an abnormal way; and
(3) Documented in terms of total hours of operation, maintenance,
operating conditions, and storage.
(c) Use the following methods to determine the number of engines
you must test in each engine family:
(1) Test at least two engines if you produce 2,000 or fewer engines
in the model year from all engine families, or if you produce 500 or
fewer engines from the selected engine family. Otherwise, test at least
four engines.
(2) If you successfully complete an in-use test program on an
engine family and later certify an equivalent engine family with
carryover emission data, as described in Sec. 1045.235(d)(1), then
test at least one engine instead of the testing rates in paragraph
(c)(1) of this section.
(3) If you test the minimum required number of engines and all
comply fully with emission standards, you may stop testing.
(4) For each engine that fails any applicable emission standard,
test two more. Regardless of measured emission levels, you do not have
to test more than ten engines in an engine family. You may do more
tests than we require.
(5) You may concede that the engine family does not comply before
testing a total of ten engines.
(6) In appropriate extreme and unusual circumstances that could not
have been avoided by the exercise of prudence, diligence, and due care,
we may waive the in-use testing requirement for an engine family.
(d) You may do minimal maintenance to set components of a test
engine to specifications for anything we do not consider an adjustable
parameter (see Sec. 1045.205(r)). Limit maintenance to what is in the
owner's instructions for engines with that amount of service and age.
Document all maintenance and adjustments.
(e) You may do repeat measurements with a test engine; however, you
must conduct the same number of tests on each engine.
(f) For a test program on an engine family, choose one of the
following methods to test your engines:
(1) Remove the selected engines for testing in a laboratory. Use
the applicable procedures in subpart F of this part to show compliance
with the duty-cycle standards in Sec. 1045.103(a) or Sec.
1045.105(a). We may direct you to measure emissions on the dynamometer
using the test procedures in Sec. 1045.515 to show compliance with the
not-to-exceed standards in Sec. 1045.107.
[[Page 59215]]
(2) Test the selected engines while they remain installed in the
vessel. Use the procedures in Sec. 1045.515. Measure emissions during
normal operation of the vessel to show compliance with the not-to-
exceed standards in Sec. 1045.107. We may direct you to include
specific areas of normal operation.
(g) You may ask us to waive parts of the prescribed test procedures
if they are not necessary to determine in-use compliance.
(h) Calculate the average emission levels for an engine family from
the results for the set of tested engines. Round them to the number of
decimal places in the emission standards expressed to one more decimal
place.
Sec. 1045.415 What happens if in-use engines do not meet
requirements?
(a) Determine the reason each in-use engine exceeds the emission
standards.
(b) If the average emission levels calculated in Sec. 1045.410(h)
exceed any of the emission standards that apply, notify us within
fifteen days of completing testing on this family. Otherwise follow the
reporting instructions in Sec. 1045.420.
(c) We will consider failure rates, average emission levels, and
any defects--among other things--to decide on taking remedial action
under this subpart (see 40 CFR 1068.505). We may consider the results
from any voluntary additional testing you perform. We may also consider
information related to testing from other engine families showing that
you designed them to exceed the minimum requirements for controlling
emissions. We may order a recall before or after you complete testing
of an engine family if we determine a substantial number of engines do
not conform to section 213 of the Clean Air Act or to this part. The
scope of the recall may include other engine families in the same or
different model years if the cause of the problem identified in
paragraph (a) of this section applies more broadly than the tested
engine family, as allowed by the Clean Air Act.
(d) If in-use testing reveals a design or manufacturing defect that
prevents engines from meeting the requirements of this part, you must
correct the defect as soon as possible for any future production for
engines in every family affected by the defect. See 40 CFR 1068.501 for
additional requirements related to defect reporting.
(e) You may voluntarily recall an engine family for emission
failures, as described in 40 CFR 1068.535, unless we have ordered a
recall for that family under 40 CFR 1068.505.
(f) You have the right to a hearing before we order you to recall
your engines or implement an alternative remedy (see Sec. 1045.820).
Sec. 1045.420 What in-use testing information must I report to EPA?
(a) In a report to us within three months after you finish testing
an engine family, do all the following:
(1) Identify the engine family, model, serial number, and date of
manufacture.
(2) [Reserved]
(3) Describe the specific reasons for disqualifying any engines for
not being properly maintained or used.
(4) For each engine selected for testing, include the following
information:
(i) Estimate the hours each engine was used before testing.
(ii) Describe all maintenance, adjustments, modifications, and
repairs to each test engine.
(5) State the date and time of each test attempt.
(6) Include the results of all emission testing, including
incomplete or invalidated tests, if any.
(b) Send electronic reports of in-use testing to the Designated
Compliance Officer using an approved information format. If you want to
use a different format, send us a written request with justification
for a waiver.
(c) We will send copies of your reports to anyone from the public
who asks for them. See Sec. 1045.815 for information on how we treat
information you consider confidential.
(d) We may ask for more information.
Sec. 1045.425 What records must I keep?
(a) Organize and maintain your records as described in this
section. We may review your records at any time, so it is important to
keep required information readily available.
(b) Keep paper records of your in-use testing for one full year
after you complete all the testing required for an engine family in a
model year. You may use any additional storage formats or media if you
like.
(c) Keep a copy of the written reports described in Sec. 1045.420.
(d) Keep any additional records related to the procurement process.
Subpart F--Test Procedures
Sec. 1045.501 How do I run a valid emission test?
(a) Applicability. This subpart is addressed to you as a
manufacturer but it applies equally to anyone who does testing for you,
and to us when we perform testing to determine if your engines meet
emission standards.
(b) General requirements. Use the equipment and procedures for
spark-ignition engines in 40 CFR part 1065 to determine whether engines
meet the duty-cycle emission standards in Sec. Sec. 1045.103 and
1045.105. Measure the emissions of all regulated pollutants as
specified in 40 CFR part 1065. Use the applicable duty cycles specified
in Sec. 1045.505. Section 1045.515 describes the supplemental
procedures for evaluating whether engines meet the not-to-exceed
emission standards in Sec. 1045.107.
(c) Fuels. Use the fuels and lubricants specified in 40 CFR part
1065, subpart H, for all the testing we require in this part, except as
specified in Sec. 1045.515. Use gasoline meeting the specifications
described in 40 CFR 1065.710 for general testing. For service
accumulation, use the test fuel or any commercially available fuel that
is representative of the fuel that in-use engines will use. You may
alternatively use gasoline blended with ethanol as follows:
(1) You may use the ethanol-blended fuel for certifying engines
under this part without our advance approval. If you use the blended
fuel for certifying a given engine family, you may also use it for
production-line testing or any other testing you perform for that
engine family under this part. If you use the blended fuel for
certifying a given engine family, we may use the blended fuel or the
specified gasoline test fuel with that engine family.
(2) The blended fuel must consist of a mix of gasoline meeting the
specifications described in 40 CFR 1065.710 for general testing and
fuel-grade ethanol meeting the specifications described in 40 CFR
1060.501(c) such that the blended fuel has 10.0+1.0 percent ethanol by
volume. You may also use ethanol with a higher or lower purity if you
show us that it will not affect your ability to demonstrate compliance
with the applicable emission standards. You do not need to measure the
ethanol concentration of such blended fuels and may instead calculate
the blended composition by assuming that the ethanol is pure and mixes
perfectly with the base fuel.
(d) Laboratory conditions. Ambient conditions for duty-cycle
testing must be within ranges specified in 40 CFR 1065.520, subject to
the provisions of Sec. 1045.115(d). Emissions may not be corrected for
the effects of test temperature or pressure. Humidity levels must
represent actual in-use humidity levels; however, you may correct
emissions for humidity as specified in 40 CFR 1065.670.
(e) Engine stabilization. Instead of the provisions of 40 CFR
1065.405, you may consider emission levels stable without
[[Page 59216]]
measurement after 12 hours of engine operation.
(f) Maximum test speed. Instead of the provisions of 40 CFR
1065.510(f), you may declare a value of maximum test speed for
laboratory testing that is within 500 rpm of the corresponding measured
value for maximum test speed.
(g) Special and alternate procedures. If you are unable to run the
duty cycle specified in this part for your engine (such as with
constant-speed engines), use an alternate test cycle that will result
in a cycle-weighted emission measurement equivalent to the expected
average in-use emissions. This cycle must be approved under 40 CFR
1065.10. You may use other special or alternate procedures to the
extent we allow them under 40 CFR 1065.10.
(h) Laboratory testing with portable analyzers. You may use field-
grade equipment for any laboratory testing with high-performance
engines, as specified in 40 CFR 1065.901(b), without requesting
approval.
Sec. 1045.505 How do I test engines using discrete-mode or ramped-
modal duty cycles?
(a) This section describes how to test engines under steady-state
conditions. We allow you to perform tests with either discrete-mode or
ramped-modal sampling. You must use the modal testing method for
certification and all other testing you perform for an engine family.
If we test your engines to confirm that they meet emission standards,
we will use the modal testing method you select for your own testing.
If you submit certification test data collected with both discrete-mode
and ramped-modal testing (either in your original application or in an
amendment to your application), either method may be used for
subsequent testing. We may also perform other testing as allowed by the
Clean Air Act. Conduct duty-cycle testing as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle
using the weighting factors specified for each mode. In each mode,
operate the engine for at least 5 minutes, then sample emissions for at
least 1 minute. Calculate cycle statistics and compare with the
established criteria as specified in 40 CFR 1065.514 to confirm that
the test is valid.
(2) For ramped-modal testing, start sampling at the beginning of
the first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient
testing as specified in 40 CFR part 1065.
(b) Measure emissions by testing the engine on a dynamometer to
determine whether it meets the emission standards in Sec. Sec.
1045.103(a) and 1045.105(a). Use the 5-mode duty cycle or the
corresponding ramped-modal cycle described in Appendix I of this part.
(c) During idle mode, operate the engine at its warm idle speed as
described in 40 CFR 1065.510; this may involve a nonzero torque setting
if that represents in-use operation.
(d) For full-load operating modes, operate the engine at wide-open
throttle.
(e) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.
Sec. 1045.515 What are the test procedures related to not-to-exceed
standards?
(a) This section describes the procedures to determine whether your
engines meet the not-to-exceed emission standards in Sec. 1045.107.
These procedures may include any normal engine operation and ambient
conditions that the engines may experience in use. Paragraphs (b) and
(c) of this section define the limits of what we will consider normal
engine operation and ambient conditions. Use the test procedures we
specify in Sec. 1045.501, except for the provisions we specify in this
section. Measure emissions with one of the following procedures:
(1) Remove the selected engines for testing in a laboratory. You
may use an engine dynamometer to simulate normal operation, as
described in this section.
(2) Test the selected engines while they remain installed on a
vessel. In 40 CFR part 1065, subpart J, we describe the equipment and
sampling methods for testing engines in the field. Use fuel meeting the
specifications of 40 CFR part 1065, subpart H, or a fuel typical of
what you would expect the engine to use in service.
(b) Engine testing may occur under a range of ambient conditions as
follows:
(1) Engine testing may occur under the following ranges of ambient
conditions without correcting measured emission levels:
(i) Barometric pressure must be between 94.0 and 103.325 kPa.
(ii) Ambient air temperature must be between 13 and 35 [deg]C.
(iii) Ambient water temperature must be between 5 and 27 [deg]C.
(iv) Any ambient humidity level.
(2) Engine testing may occur outside the conditions described in
paragraph (b)(1) of this section, as long as measured values are
corrected to be equivalent to the nearest end of the specified range
using good engineering practice.
(c) An engine's emissions may not exceed the NTE standards in Sec.
1045.107 under the following ranges of engine operation:
(1) The sampling period may not begin until the engine has reached
stable operating temperatures. For example, this would exclude engine
operation after starting until the thermostat starts modulating coolant
temperature. The sampling period may also not include engine starting.
For testing under paragraphs (c)(4) and (6) of this section, the NTE
standards apply for any continuous sampling period of at least 30
seconds.
(2) Engine operation during the emission sampling period may
include any nominally steady-state combination of speeds and loads
within the applicable zone defined by segments on an engine's power vs.
speed map specified in paragraphs (c)(3) through (6) of this section,
except as follows:
(i) You may request that we specify a narrower zone, as long as the
modified zone includes all points where your engines are expected to
normally operate in use, but not including any points at which engine
speed is below 40 percent of maximum test speed or engine load is below
25.3 percent of maximum torque at maximum test speed. However, we may
perform valid tests at any speeds and loads within the zones specified
in paragraphs (c)(3) through (6) of this section that we observe with
in-use engines. The engine must comply with emission standards at all
such speeds and loads unless we determine that one of following
criteria are true:
(A) Such speeds and loads occur very infrequently. This
determination may consider whether the operation would be expected to
result in damage to the engine or vessel or be inherently unsafe.
(B) Such speeds and loads result from the engine being installed in
a manner that is not consistent with your emission-related installation
instructions.
(ii) You must notify us if you design your engines for normal in-
use operation outside the specified zone. If we learn that normal in-
use operation for your engines includes other speeds and loads, we may
specify a broader zone, as long as the modified zone is limited to
normal in-use operation for speeds greater than 40 percent of maximum
test speed and loads greater than 25.3 percent of maximum torque at
maximum test speed.
(3) The NTE zone for testing engines under this section is defined
by the following segments on an engine's torque vs. speed map, as
illustrated in Figures 1 through 3 of this section:
[[Page 59217]]
(i) Speed at or above 40 percent of maximum test speed.
(ii) Speeds and torques below the line defined by the following
equation:
Normalized torque = 1.5 x normalized speed-0.16
(iii) Speeds and torques at or below the engine's mapped torque
values.
(iv) Speeds at or below 100 percent of maximum test speed, except
as specified in paragraph (c)(5) of this section.
(v) Speeds and torques above the line defined by the following
equation:
Normalized torque = (normalized speed)\1.5\-0.08
(vi) Torques at or above 25.3 percent of maximum torque at maximum
test speed, except as specified in paragraph (c)(5) of this section.
(4) For engines equipped with a catalyst, the NTE zone described in
paragraph (c)(3) of this section is divided into the following subzones
for determining the applicable NTE standards, as illustrated in Figure
1 of this section:
(i) Subzone 1 includes all operation in the NTE zone characterized
by speeds and torques above the line represented by the following
equation:
(percent torque) = 1.2-0.5 x (percent speed)
(ii) Subzone 2 includes all operation in the NTE zone not included
in Subzone 1.
[GRAPHIC] [TIFF OMITTED] TR08OC08.075
(5) For two-stroke engines not equipped with a catalyst, the NTE
zone described in paragraph (c)(3) of this section is divided into
subzones for testing to determine compliance with the applicable NTE
standards. Measure emissions to get an NTE result by collecting
emissions at five points as described in this paragraph (c)(5).
Calculate a weighted test result for these emission measurements using
the weighting factors from Appendix I of this part for the
corresponding modal result (similar to discrete-mode testing for
certification). Test engines over the following modes corresponding to
the certification duty cycle:
(i) Mode 1: Operate the engine at wide open throttle. For
laboratory testing, this may involve any torque value between the
boundaries specified in paragraph (c)(3) of this section.
(ii) Mode 2: Operate the engine at a nominal speed that is 80
percent of maximum test speed at any torque value between the
boundaries specified in paragraph (c)(3) of this section.
(iii) Mode 3: Operate the engine at a nominal speed that is 60
percent of maximum test speed at any torque value between the
boundaries specified in paragraph (c)(3) of this section.
(iv) Mode 4: Operate the engine at a nominal speed that is 40
percent of maximum test speed at any torque value between the
boundaries specified in paragraphs (c)(3)(ii) and (v) of this section.
(v) Mode 5: Operate the engine at idle.
[[Page 59218]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.076
(6) For any engines not covered by paragraphs (c)(4) and (5) of
this section, the NTE zone described in paragraph (c)(3) of this
section is divided into the following subzones for determining the
applicable NTE standards, as illustrated in Figure 2 of this section:
(i) Subzone 1 includes all operation in the NTE zone at speeds
above 50 percent of maximum test speed.
(ii) Subzone 2 includes all operation in the NTE zone not included
in Subzone 1.
[[Page 59219]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.077
Sec. 1045.520 What testing must I perform to establish deterioration
factors?
Sections 1045.240 and 1045.245 describe the required methods for
testing to establish deterioration factors for an engine family.
Subpart G--Special Compliance Provisions
Sec. 1045.601 What compliance provisions apply to these engines?
Engine and vessel manufacturers, as well as owners, operators, and
rebuilders of engines subject to the requirements of this part, and all
other persons, must observe the provisions of this part, the
requirements and prohibitions in 40 CFR part 1068, and the provisions
of the Clean Air Act.
Sec. 1045.605 What provisions apply to engines already certified
under the motor vehicle or Large SI programs?
(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce new propulsion marine engines into U.S.
commerce if they are already certified to the requirements that apply
to spark-ignition engines under 40 CFR parts 85 and 86 or part 1048 for
the appropriate model year. If you comply with all the provisions of
this section, we consider the certificate issued under 40 CFR part 86
or 1048 for each engine to also be a valid certificate of conformity
under this part 1045 for its model year, without a separate application
for certification under the requirements of this part 1045.
(b) Vessel-manufacturer provisions. If you are not an engine
manufacturer, you may produce vessels using motor vehicle engines or
nonroad spark-ignition engines under this section as long as you meet
all the requirements and conditions specified in paragraph (d) of this
section. If you modify the engine in any of the ways described in
paragraph (d)(2) of this section, we will consider you a manufacturer
of a new propulsion marine engine. Such engine modifications prevent
you from using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted
under this section must meet all the applicable requirements from 40
CFR parts 85 and 86, or part 1048. This applies to engine
manufacturers, vessel manufacturers who use these engines, and all
other persons as if these engines were used in applications other than
for installation as propulsion marine engines. The prohibited acts of
40 CFR 1068.101(a)(1) apply to these new engines and vessels; however,
we consider the certificate issued under 40 CFR part 86 or 1048 for
each engine to also be a valid certificate of conformity under this
part 1045 for its model year. If we make a determination that these
engines do not conform to the regulations during their useful life, we
may require you to recall them under 40 CFR part 86 or 1068.
(d) Specific requirements. If you are an engine or vessel
manufacturer and meet all the following criteria and requirements
regarding your new propulsion marine engine, the engine is eligible for
an exemption under this section:
(1) Your engine must be covered by a valid certificate of
conformity issued under 40 CFR part 86 or 1048.
(2) You must not make any changes to the certified engine that
could reasonably be expected to increase its exhaust emissions for any
pollutant, or its evaporative emissions. For example, if you make any
of the following
[[Page 59220]]
changes to one of these engines, you do not qualify for this exemption:
(i) Change any fuel-system or evaporative-system parameters from
the certified configuration (this does not apply to refueling
controls).
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the marine engine cooling system so that
temperatures or heat rejection rates are outside the original engine
manufacturer's specified ranges.
(3) You must show that fewer than 10 percent of the engine family's
total sales in the United States are used in marine applications. This
includes engines used in any application without regard to which
company manufactures the vessel or equipment. Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(4) You must ensure that the engine has the label we require under
40 CFR part 86 or 1048.
(5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
vessel. In the supplemental label, do the following:
(i) Include the heading: ``MARINE ENGINE EMISSION CONTROL
INFORMATION''.
(ii) Include your full corporate name and trademark. You may
instead include the full corporate name and trademark of another
company you choose to designate.
(iii) State: ``THIS ENGINE WAS ADAPTED FOR MARINE USE WITHOUT
AFFECTING ITS EMISSION CONTROLS.''
(iv) If the modified engine is certified as a motor vehicle engine,
also state: ``THE EMISSION CONTROL SYSTEM DEPENDS ON THE USE OF FUEL
MEETING SPECIFICATIONS THAT APPLY FOR MOTOR VEHICLE APPLICATIONS.
OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF FEDERAL
LAW.''
(v) State the date you finished modifying the engine (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible
after the engine is installed in the vessel or, if the vessel obscures
the engine's emission control information label, the vessel
manufacturer must attach duplicate labels, as described in 40 CFR
1068.105.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the engine or vessel models you expect to produce under
this exemption in the coming year and describe your basis for meeting
the sales restrictions of paragraph (d)(3) of this section.
(iii) State: ``We produce each listed [engine or vessel] model
without making any changes that could increase its certified emission
levels, as described in 40 CFR 1045.605.''
(e) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 1045 and the
certificate issued under 40 CFR part 86 or 1048 will not be deemed to
also be a certificate issued under this part 1045. Introducing these
engines into U.S. commerce without a valid exemption or certificate of
conformity under this part violates the prohibitions in 40 CFR
1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on one of the duty cycles specified in subpart F of this part.
(g) Participation in averaging, banking and trading. Engines
adapted for marine use under this section may not generate or use
emission credits under this part 1045. These engines may generate
credits under the ABT provisions in 40 CFR part 86. These engines must
use emission credits under 40 CFR part 86 if they are certified to an
FEL above a standard that applies under 40 CFR part 86.
Sec. 1045.610 What provisions apply to using engines already
certified to Small SI emission standards?
This section applies to marine engines that are identical to land-
based engines certified under 40 CFR part 90 or 1054. See Sec.
1045.605 for provisions that apply to marine engines that are certified
under other programs.
(a) If an engine meets all the following criteria, it is exempt
from the requirements of this part:
(1) The engine must be in an engine family that has a valid
certificate of conformity showing that it meets emission standards for
nonhandheld engines under 40 CFR part 90 or 1054 for the appropriate
model year.
(2) You must show that fewer than 5 percent of the engine family's
total sales in the United States are used in marine applications. This
includes engines used in any application without regard to which
company manufactures the vessel or equipment.
Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(b) The only requirements or prohibitions from this part that apply
to an engine that meets the criteria in paragraph (a) of this section
are in this section.
(c) Engines exempted under this section are subject to all the
requirements affecting engines under 40 CFR part 90 or 1054. The
requirements and restrictions of 40 CFR part 90 or 1054 apply to anyone
manufacturing these engines, anyone manufacturing equipment that uses
these engines, and all other persons in the same manner as if these
engines were not used as propulsion marine engines.
(d) You may use the provisions of Sec. 1045.605 in addition to the
provisions of this section for engines certified under 40 CFR part
1054. Where Sec. 1045.605 references 40 CFR parts 85, 86, and/or 1048,
apply the applicable provisions of 40 CFR part 1054 instead. Include
the engines you sell under this section in your demonstration that you
meet the sales limit in Sec. 1045.605(d)(3).
Sec. 1045.620 What are the provisions for exempting engines used
solely for competition?
The provisions of this section apply for new engines and vessels
built on or after January 1, 2010.
(a) We may grant you an exemption from the standards and
requirements of this part for a new engine on the grounds that it is to
be used solely for competition. The requirements of this part, other
than those in this section, do not apply to engines that we exempt for
use solely for competition.
(b) We will exempt engines that we determine will be used solely
for competition. The basis of our determination is described in
paragraphs (c) and (d) of this section. Exemptions granted under this
section are good for only one model year and you must request renewal
for each subsequent model year. We will not approve your renewal
request if we determine the engine will not be used solely for
competition.
(c) Engines meeting all the following criteria are considered to be
used solely for competition:
[[Page 59221]]
(1) Neither the engine nor any vessels containing the engine may be
displayed for sale in any public dealership or otherwise offered for
sale to the general public. Note that this does not preclude display of
these engines as long as they are not available for sale to the general
public.
(2) Sale of the vessel in which the engine is installed must be
limited to professional racing teams, professional racers, or other
qualified racers. For replacement engines, the sale of the engine
itself must be limited to professional racing teams, professional
racers, other qualified racers, or to the original vessel manufacturer.
(3) The engine and the vessel in which it is installed must have
performance characteristics that are substantially superior to
noncompetitive models.
(4) The engines are intended for use only as specified in paragraph
(e) of this section.
(d) You may ask us to approve an exemption for engines not meeting
the criteria listed in paragraph (c) of this section as long as you
have clear and convincing evidence that the engines will be used solely
for competition.
(e) Engines are considered to be used solely for competition only
if their use is limited to competition events sanctioned by the U.S.
Coast Guard or another public organization with authorizing permits for
participating competitors. Operation of such engines may include only
racing events, trials to qualify for racing events, and practice
associated with racing events. Authorized attempts to set speed records
are also considered racing events. Engines will not be considered to be
used solely for competition if they are ever used for any recreational
or other noncompetitive purpose. Use of exempt engines in any
recreational events, such as poker runs and lobsterboat races, is a
violation of 40 CFR 1068.101(b)(4).
(f) You must permanently label engines exempted under this section
to clearly indicate that they are to be used only for competition.
Failure to properly label an engine will void the exemption for that
engine.
(g) If we request it, you must provide us any information we need
to determine whether the engines are used solely for competition. This
would include documentation regarding the number of engines and the
ultimate purchaser of each engine as well as any documentation showing
a vessel manufacturer's request for an exempted engine. Keep these
records for five years.
Sec. 1045.625 What requirements apply under the Diurnal Transition
Program?
The provisions of this section allow vessel manufacturers to
produce a certain number of vessels with installed fuel tanks that do
not meet the diurnal emission standards specified in Sec. 1045.112(d)
and 40 CFR 1060.105. The provisions of this section do not apply for
portable marine fuel tanks, personal watercraft, or outboard engines
with under-cowl fuel tanks. Vessels you produce under this section are
exempt from the prohibitions in 40 CFR 1068.101(a)(1) with respect to
diurnal emissions, subject to the provisions of this section.
(a) General. If you are a vessel manufacturer, you may introduce
into U.S. commerce limited numbers of exempted vessels under this
section. You may use the exemptions in this section only if you have
primary responsibility for designing and manufacturing vessels and your
manufacturing procedures include installing some engines in these
vessels. Consider all U.S.-directed vessel sales in showing that you
meet the requirements of this section, including those from any parent
or subsidiary companies and those from any other companies you license
to produce vessels for you. These provisions are available for vessels
you produce during the periods specified in paragraph (b) of this
section.
(b) Allowances. You may choose one of the following options to
produce exempted vessels under this section:
(1) Percent-of-production allowances. You may produce up to 50
percent of your vessels from July 31, 2011 through July 31, 2012 that
are exempt from the diurnal emission standards. Calculate this
percentage based on your total U.S.-directed production volume.
(2) Small-volume allowances. Small-volume vessel manufacturers may
produce up to 1200 vessels from July 31, 2011 through July 31, 2013
that are exempt from the diurnal emission standards.
(c) Vessel labeling. You must add a permanent label, written
legibly in English, to a readily visible part of each exempted vessel
you produce under this section. You may combine this with the label
required under 40 CFR 1060.135. This label must include at least the
following items:
(1) The label heading ``EMISSION CONTROL INFORMATION''.
(2) Your corporate name and trademark.
(3) The vessel's date of manufacture.
(4) The following statement: ``THIS VESSEL IS EXEMPT FROM DIURNAL
STANDARDS UNDER 40 CFR 1045.625.''
(d) Notification and reporting. You must notify us of your intent
to use the provisions of this section and send us an annual report to
verify that you are not exceeding the allowances, as follows:
(1) Before you produce vessels that are exempt under this section,
send the Designated Compliance Officer a written notice of your intent
with the following information:
(i) Identify your company's name and address, and your parent
company's name and address, if applicable.
(ii) Identify the name, e-mail address, and phone number of a
person to contact for further information.
(iii) Identify the name and address of the company you expect to
produce the fuel tanks you will be using for the vessels exempted under
this section.
(iv) If you qualify as a small-volume vessel manufacturer, state
whether you will comply under paragraph (b)(1) or (b)(2) of this
section.
(v) Include your production figures for the period from July 31,
2009 through July 31, 2010, including figures broken down by model.
(2) Send the Designated Compliance Officer a written report by
December 31, 2012. If you are a small-volume manufacturer using the
provisions of paragraph (b)(2) of this section to produce exempted
vessels after July 31, 2012, send us a second report by December 31,
2013. These reports must include the total number of vessels and the
number of exempted vessels you sold in the preceding year for each
model, based on actual U.S.-directed production information. You may
omit the count of compliant vessels if you include in the report a
statement that you are not using the percent-of-production allowances
in paragraph (b)(1) of this section. If you initially comply using the
percent-of-production allowances in paragraph (b)(1) of this section,
you may not use the small-volume allowances in paragraph (b)(2) of this
section for later production.
(3) If you send your initial notification under paragraph (d)(1) of
this section after the specified deadline, we may approve your use of
allowances under this section. In your request, describe why you were
unable to meet the deadline. We will not approve your request if the
delay could have been avoided with reasonable care and discretion.
(e) Recordkeeping. Keep the following records of all exempted
vessels you produce under this section:
[[Page 59222]]
(1) The model number, serial number, and the date of manufacture
for each vessel.
(2) The total number or percentage of exempted vessels as described
in paragraph (b) of this section and all documentation supporting your
calculation.
(3) The notifications and reports we require under paragraph (d) of
this section.
(f) Provisions for fuel tank manufacturers. As a fuel tank
manufacturer, you may produce fuel tanks as needed for vessel
manufacturers under this section without our prior approval. These fuel
tanks are exempt from the diurnal emission standards. Note that this
diurnal exemption does not affect the requirements related to
permeation emissions specified in Sec. 1045.112. You must have written
assurance from vessel manufacturers that they need a certain number of
exempted fuel tanks under this section. You must keep records of the
number of exempted fuel tanks you sell to each vessel manufacturer.
(g) Enforcement. Producing more exempted vessels than we allow
under this section violates the prohibitions in 40 CFR 1068.101(a)(1).
Vessel manufacturers and fuel tank manufacturers must keep the records
we require under this section until at least December 31, 2017 and give
them to us if we ask for them (see 40 CFR 1068.101(a)(2)).
Sec. 1045.630 What is the personal-use exemption.
This section applies to individuals who manufacture recreational
vessels for personal use with used engines. If you and your vessel meet
all the conditions of this section, the vessel and its engine are
considered to be exempt from the standards and requirements of this
part that apply to new engines, including standards and requirements
related to evaporative emissions. For example, you are not required to
use certified fuel system components or otherwise obtain certificates
of conformity showing that the vessel meets evaporative emission
standards, and you do not need to install a certified engine.
(a) The vessel may not be manufactured from a previously certified
vessel, nor may it be manufactured from a partially complete vessel
that is equivalent to a certified vessel. The vessel must be
manufactured primarily from unassembled components, but may incorporate
some preassembled components. For example, fully preassembled steering
assemblies may be used. You may also power the vessel with an engine
that was previously used in a highway or land-based nonroad
application.
(b) The vessel may not be sold within five years after the date of
final assembly.
(c) No individual may manufacture more than one vessel in any five-
year period under this exemption.
(d) You may not use the vessel in any revenue-generating service or
for any other commercial purpose. For example, this exemption does not
apply for vessels used in commercial fishing or charter service.
(e) This exemption may not be used to circumvent the requirements
of this part or the requirements of the Clean Air Act. For example,
this exemption would not cover a case in which a person sells an almost
completely assembled vessel to another person, who would then complete
the assembly. This would be considered equivalent to the sale of the
complete new vessel. This section also does not allow engine
manufacturers to produce new engines that are exempt from emission
standards and it does not provide an exemption from the prohibition
against tampering with certified engines.
Sec. 1045.635 What special provisions apply for small-volume engine
manufacturers?
This section describes how we apply the special provisions in this
part for small-volume engine manufacturers.
(a) Special provisions apply for certain small-volume engine
manufacturers, as illustrated by the following examples:
(1) Additional lead time and other provisions related to the
transition to new emission standards. See Sec. 1045.145.
(2) More flexible arrangements for creating engine families for
high-performance engines. See Sec. 1045.230.
(3) Assigned deterioration factors. See Sec. 1045.240.
(4) Waived requirements for production-line testing. See Sec.
1045.301.
(5) Additional special provisions apply for small-volume engine and
vessel manufacturers. For example, see Sec. 1045.625 and 40 CFR
1068.250.
(b) If you use any of the provisions of this part that apply
specifically to small-volume engine manufacturers and we find that you
do not qualify to use these provisions, we may consider you to be in
violation of the requirements that apply for companies that are not
small-volume engine manufacturers. If your number of employees grows to
the point that you no longer qualify as a small-volume engine
manufacturer, we will work with you to determine a reasonable schedule
for complying with additional requirements that apply. For example, if
you no longer qualify as a small-volume engine manufacturer shortly
before you certify your engines for the next model year, we might allow
you to use assigned deterioration factors for one more model year.
Sec. 1045.640 What special provisions apply to branded engines?
The following provisions apply if you identify the name and
trademark of another company instead of your own on your emission
control information label, as provided by Sec. 1045.135(c)(2):
(a) You must have a contractual agreement with the other company
that obligates that company to take the following steps:
(1) Meet the emission warranty requirements that apply under Sec.
1045.120. This may involve a separate agreement involving reimbursement
of warranty-related expenses.
(2) Report all warranty-related information to the certificate
holder.
(b) In your application for certification, identify the company
whose trademark you will use.
(c) You remain responsible for meeting all the requirements of this
chapter, including warranty and defect-reporting provisions.
Sec. 1045.645 What special provisions apply for converting an engine
to use an alternate fuel?
A certificate of conformity is no longer valid for an engine if the
engine is modified such that it is not in a configuration covered by
the certificate. This section applies if such modifications are done to
convert the engine to run on a different fuel type. Such engines may
need to be recertified as specified in this section if the certificate
is no longer valid for that engine.
(a) Converting a certified new engine to run on a different fuel
type violates 40 CFR 1068.101(a)(1) if the modified engine is not
covered by a certificate of conformity.
(b) Converting a certified engine that is not new to run on a
different fuel type violates 40 CFR 1068.101(b)(1) if the modified
engine is not covered by a certificate of conformity. We may specify
alternate certification provisions consistent with the requirements of
this part. For example, you may certify the modified engine for a
partial useful life. For example, if the engine is modified halfway
through its original useful life period, you may generally certify the
engine based on completing the original useful life period; or if the
engine is modified after the original useful life period is past, you
may generally certify
[[Page 59223]]
the engine based on testing that does not involve further durability
demonstration.
(c) Engines may be certified using the certification procedures for
new engines as specified in this part or using the certification
procedures for aftermarket parts as specified in 40 CFR part 85,
subpart V. Unless the original engine manufacturer continues to be
responsible for the engine as specified in paragraph (d) of this
section, you must remove the original engine manufacturer's emission
control information label if you recertify the engine.
(d) The original manufacturer is not responsible for operation of
modified engines in configurations resulting from modifications
performed by others. In cases where the modification allows an engine
to be operated in either its original configuration or a modified
configuration, the original manufacturer remains responsible for
operation of the modified engine in its original configuration.
(e) Entities producing conversion kits may obtain certificates of
conformity for the converted engines. Such entities are engine
manufacturers for purposes of this part.
Sec. 1045.650 Do delegated-assembly provisions apply for marine
engines?
The provisions of 40 CFR 1068.261 related to delegated final
assembly do not apply for marine spark-ignition engines certified under
this part 1045. This means that for engines requiring exhaust
aftertreatment (such as catalysts), the engine manufacturers must
either install the aftertreatment on the engine before introducing it
into U.S. commerce or ship the aftertreatment along with the engine.
Sec. 1045.655 What special provisions apply for installing and
removing altitude kits?
An action for the purpose of installing or modifying altitude kits
and performing other changes to compensate for changing altitude is not
considered a prohibited act under 40 CFR 1068.101(b) as long as as it
is done consistent with the manufacturer's instructions.
Sec. 1045.660 How do I certify outboard or personal watercraft
engines for use in jet boats?
(a) This section describes how to certify outboard or personal
watercraft engines for use in jet boats. To be certified under this
section, the jet boat engines must be identical in all physical
respects to the corresponding outboard or personal watercraft engines,
but may differ slightly with respect to engine calibrations.
(b) The outboard or personal watercraft engines must meet all the
applicable requirements for outboard or personal watercraft engines.
Jet boat engines certified under this section must meet all the
applicable requirements for sterndrive/inboard engines.
(c) The jet boat engines must be in an engine family separate from
the corresponding outboard or personal watercraft engines.
(d) Jet boat engine families may use emission credits from outboard
or personal watercraft engine families, as described in Sec.
1045.701(d).
(e) Jet-boat engines certified under the provisions of this section
must meet emission standards over the same useful-life period that
applies to the corresponding outboard or personal watercraft engine
family, as described in Sec. 1045.103(e).
Subpart H--Averaging, Banking, and Trading for Certification
Sec. 1045.701 General provisions.
(a) You may average, bank, and trade (ABT) emission credits for
purposes of certification as described in this subpart to show
compliance with the standards of this part. This applies for engines
with respect to exhaust emissions and for vessels with respect to
evaporative emissions. Participation in this program is voluntary.
(b) The definitions of subpart I of this part apply to this
subpart. The following definitions also apply:
(1) Actual emission credits means emission credits you have
generated that we have verified by reviewing your final report.
(2) Averaging set means a set of engines (or vessels) in which
emission credits may be exchanged only with other engines (or vessels)
in the same averaging set.
(3) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
(4) Buyer means the entity that receives emission credits as a
result of a trade.
(5) Family means engine family for exhaust credits or emission
family for evaporative credits.
(6) Reserved emission credits means emission credits you have
generated that we have not yet verified by reviewing your final report.
(7) Seller means the entity that provides emission credits during a
trade.
(8) Standard means the emission standard that applies under subpart
B of this part for engines or fuel-system components not participating
in the ABT program of this subpart.
(9) Trade means to exchange emission credits, either as a buyer or
seller.
(c) You may not average or exchange banked or traded exhaust
credits with evaporative credits, or vice versa. Evaporative credits
generated by any vessels under this part may be used by any vessels
under this part. Exhaust credits may be exchanged only within an
averaging set. Except as specified in paragraph (d) of this section,
the following criteria define the applicable exhaust averaging sets:
(1) Sterndrive/inboard engines.
(2) Outboard and personal watercraft engines.
(d) Sterndrive/inboard engines certified under Sec. 1045.660 for
jet boats may use HC+NOX and CO exhaust credits generated
from outboard and personal watercraft engines, as long as the credit-
using engine is the same model as an engine model from an outboard or
personal watercraft family. These emission credits may be used for
averaging, but not for banking or trading. The FEL caps for such jet
boat families are the HC+NOX and CO standard for outboard
and personal watercraft engines. U.S.-directed sales from jet boat
engines using the provisions of this paragraph (d) may not be greater
than the U.S.-directed sales of the same engine model for outboard or
personal watercraft engines.
(e) You may not generate evaporative credits based on permeation
measurements from metal fuel tanks or portable marine fuel tanks.
(f) You may not use emission credits generated under this subpart
to offset any emissions that exceed an FEL or standard. This applies
for all testing, including certification testing, in-use testing,
selective enforcement audits, and other production-line testing.
However, if exhaust emissions from an engine exceed an exhaust FEL or
standard (for example, during a selective enforcement audit), you may
use emission credits to recertify the family with a higher FEL that
applies only to future production.
(g) Emission credits may be used in the model year they are
generated (averaging) and in future model years (banking), except that
CO emission credits for outboard and personal watercraft engines may
not be banked or traded.
(h) You may increase or decrease an exhaust FEL during the model
year by amending your application for certification under Sec.
1045.225.
(i) Engine and vessel manufacturers certifying with respect to
evaporative emissions may use emission credits to demonstrate
compliance under this subpart. Component manufacturers may
[[Page 59224]]
establish FELs for their certified products, but they may not generate
or use emission credits under this subpart.
(j) In your application for certification, base your showing of
compliance on projected production volumes for engines or vessels
intended for sale in the United States. As described in Sec. 1045.730,
compliance with the requirements of this subpart is determined at the
end of the model year based on actual production volumes for engines or
vessels intended for sale in the United States. Do not include any of
the following engines or vessels to calculate emission credits:
(1) Engines or vessels exempted under subpart G of this part or
under 40 CFR part 1068.
(2) Engines or vessels intended for export.
(3) Engines or vessels that are subject to state emission standards
for that model year. However, this restriction does not apply if we
determine that the state standards and requirements are equivalent to
those of this part and that products sold in such a state will not
generate credits under the state program. For example, you may not
include engines or vessels certified for California if California has
more stringent emission standards for these products or if your
products generate or use emission credits under the California program.
(4) Engines or vessels not subject to the requirements of this
part, such as those excluded under Sec. 1054.5.
(5) Any other engines or vessels where we indicate elsewhere in
this part 1054 that they are not to be included in the calculations of
this subpart.
Sec. 1045.705 How do I generate and calculate exhaust emission
credits?
The provisions of this section apply for calculating exhaust
emission credits for HC+NOX or CO. You may generate exhaust
emission credits only if you are a certifying engine manufacturer.
(a) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission
standard. Calculate positive emission credits for a family that has an
FEL below the standard. Calculate negative emission credits for a
family that has an FEL above the standard. Sum your positive and
negative credits for the model year before rounding. Round the sum of
emission credits to the nearest kilogram (kg) using consistent units
throughout the following equation:
Emission credits (kg) = (STD-FEL) x (Volume) x (Power) x (UL) x (LF) x
(10-3)
Where:
STD = the emission standard, in g/kW-hr.
FEL = the family emission limit for the family, in g/kW-hr.
Volume = the number of engines eligible to participate in the
averaging, banking, and trading program within the given family
during the model year, as described in Sec. 1045.701(j).
Power = maximum engine power for the family, in kilowatts (see Sec.
1045.140).
UL = The useful life for the given family.
LF = load factor. Use 0.207. We may specify a different load factor
if we approve the use of special test procedures for an family under
40 CFR 1065.10(c)(2), consistent with good engineering judgment.
(b) [Reserved]
Sec. 1045.706 How do I generate and calculate evaporative emission
credits?
The provisions of this section apply for calculating evaporative
emission credits. This applies only for fuel tank permeation. You may
generate credits only if you are a certifying vessel manufacturer. This
may include outboard engine manufacturers if they install under-cowl
fuel tanks.
(a) For each participating vessel, calculate positive or negative
emission credits relative to the otherwise applicable emission
standard. Calculate positive emission credits for a family that has an
FEL below the standard. Calculate negative emission credits for a
family that has an FEL above the standard. Sum your positive and
negative credits for the model year before rounding. Round the sum of
emission credits to the nearest kilogram (kg) using consistent units
throughout the following equation:
Emission credits (kg) = (STD-FEL) x (Total Area) x (UL) x (AF) x (365)
x (10-3)
Where:
STD = the emission standard, in g/m2/day.
FEL = the family emission limit for the family, in g/m2/
day, as described in paragraph (b) of this section.
Total Area = The combined internal surface area of all fuel tanks in
the family, in m2.
UL = 5 years, which represents the useful life for the given family.
AF = adjustment factor. Use 1.0 for fuel tank testing performed at
28 [deg]C and 0.60 for testing performed at 40 [deg]C.
(b) For calculating credits under paragraph (a) of this section,
the emission standard and FEL must both be based on test measurements
at the same temperature (28 [deg] or 40 [deg]C). Determine the FEL for
calculating emission credits (relative to testing at 28 [deg]C) as
follows:
(1) To use an FEL below 5.0 g/m2/day, it must be based
on emission measurements.
(2) The provisions of this paragraph (b)(2) apply for all emission
families with FELs at or above 5.0 g/m2/day. To calculate
emission credits for such emission families, you must choose from one
of the following options and apply it to all your emission families
with FELs at or above 5.0 g/m2/day:
(i) Option 1: Establish all your FELs based on emission
measurements. This may include measurements from a certifying fuel tank
manufacturer.
(ii) Option 2: Use an assigned FEL of 10.4 g/m2/day.
This would apply without regard to whether any of these emission
families have measured emission levels below 10.4 g/m2/day.
If any of your fuel tanks were otherwise certified (by you or the fuel
tank manufacturer) with an FEL between 5.0 and 10.4 g/m2/
day, the assigned FEL of 10.4 g/m2/day applies only for
emission credit calculations.
Sec. 1045.710 How do I average emission credits?
(a) Averaging is the exchange of emission credits among your
families. You may average emission credits only within the same
averaging set.
(b) You may certify one or more families to an FEL above the
emission standard, subject to the FEL caps and other provisions in
subpart B of this part, if you show in your application for
certification that your projected balance of all emission-credit
transactions in that model year is greater than or equal to zero.
(c) If you certify a family to an FEL that exceeds the otherwise
applicable standard, you must obtain enough emission credits to offset
the family's deficit by the due date for the final report required in
Sec. 1045.730. The emission credits used to address the deficit may
come from your other families that generate emission credits in the
same model year, from emission credits you have banked, or from
emission credits you obtain through trading.
Sec. 1045.715 How do I bank emission credits?
(a) Banking is the retention of emission credits by the
manufacturer generating the emission credits for use in future model
years for averaging or trading. You may use banked emission credits
only within the averaging set in which they were generated, except as
described in this subpart.
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1045.730. During the model year and
before the due date for the final report, you may designate your
reserved emission credits for averaging or trading.
(c) Reserved credits become actual emission credits when you submit
your
[[Page 59225]]
final report. However, we may revoke these emission credits if we are
unable to verify them after reviewing your reports or auditing your
records.
Sec. 1045.720 How do I trade emission credits?
(a) Trading is the exchange of emission credits between
manufacturers. You may use traded emission credits for averaging,
banking, or further trading transactions. Traded emission credits may
be used only within the averaging set in which they were generated,
except as described in this subpart.
(b) You may trade actual emission credits as described in this
subpart. You may also trade reserved emission credits, but we may
revoke these emission credits based on our review of your records or
reports or those of the company with which you traded emission credits.
You may trade banked credits within an averaging set to any certifying
engine or vessel manufacturer.
(c) If a negative emission credit balance results from a
transaction, both the buyer and seller are liable, except in cases we
deem to involve fraud. See Sec. 1045.255(e) for cases involving fraud.
We may void the certificates of all families participating in a trade
that results in a manufacturer having a negative balance of emission
credits. See Sec. 1045.745.
Sec. 1045.725 What must I include in my application for
certification?
(a) You must declare in your application for certification your
intent to use the provisions of this subpart for each family that will
be certified using the ABT program. You must also declare the FELs you
select for the family for each pollutant for which you are using the
ABT program. Your FELs must comply with the specifications of subpart B
of this part, including the FEL caps. FELs must be expressed to the
same number of decimal places as the emission standard.
(b) Include the following in your application for certification:
(1) A statement that, to the best of your belief, you will not have
a negative balance of emission credits for any averaging set when all
emission credits are calculated at the end of the year.
(2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. We may require you
to include similar calculations from your other engine families to
demonstrate that you will be able to avoid a negative credit balance
for the model year. If you project negative emission credits for a
family, state the source of positive emission credits you expect to use
to offset the negative emission credits.
Sec. 1045.730 What ABT reports must I send to EPA?
(a) If any of your families are certified using the ABT provisions
of this subpart, you must send an end-of-year report within 90 days
after the end of the model year and a final report within 270 days
after the end of the model year. We may waive the requirement to send
the end-of year report as long as you send the final report on time.
(b) Your end-of-year and final reports must include the following
information for each family participating in the ABT program:
(1) Family designation.
(2) The emission standards that would otherwise apply to the
family.
(3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the engine identification number for the first engine
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits under each FEL.
(4) The projected and actual production volumes for the model year
with a point of retail sale in the United States, as described in Sec.
1045.701(j). For fuel tanks, state the production volume in terms of
total surface area and production volume for each tank configuration
and state the total surface area for the emission family. If you
changed an FEL during the model year, identify the actual production
volume associated with each FEL.
(5) Maximum engine power for each engine configuration, and your
declared value of maximum engine power for the engine family (see Sec.
1045.140).
(6) Useful life.
(7) Calculated positive or negative emission credits for the whole
family. Identify any emission credits that you traded, as described in
paragraph (d)(1) of this section.
(c) Your end-of-year and final reports must include the following
additional information:
(1) Show that your net balance of emission credits from all your
participating families in each averaging set in the applicable model
year is not negative.
(2) State whether you will retain any emission credits for banking.
(3) State that the report's contents are accurate.
(d) If you trade emission credits, you must send us a report within
90 days after the transaction, as follows:
(1) As the seller, you must include the following information in
your report:
(i) The corporate names of the buyer and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) The families that generated emission credits for the trade,
including the number of emission credits from each family.
(2) As the buyer, you must include the following information in
your report:
(i) The corporate names of the seller and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply to each family (if
known).
(e) Send your reports electronically to the Designated Compliance
Officer using an approved information format. If you want to use a
different format, send us a written request with justification for a
waiver.
(f) Correct errors in your end-of-year report or final report as
follows:
(1) You may correct any errors in your end-of-year report when you
prepare the final report as long as you send us the final report by the
time it is due.
(2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decreased your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that
are determined more than 270 days after the end of the model year. If
you report a negative balance of emission credits, we may disallow
corrections under this paragraph (f)(2).
(3) If you or we determine anytime that errors mistakenly increased
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.
Sec. 1045.735 What records must I keep?
(a) You must organize and maintain your records as described in
this section. We may review your records at any time.
(b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for any engines or vessel if you do not keep all the
records required under this section. You must therefore keep these
records to continue to bank valid credits. Store these records in any
format and on any media as long as you can promptly send us organized,
written records in English if we ask for them. You must keep these
records readily available. We may review them at any time.
(c) Keep a copy of the reports we require in Sec. Sec. 1045.725
and 1045.730.
[[Page 59226]]
(d) Keep records of the engine identification number for each
engine or vessel you produce that generates or uses emission credits
under the ABT program. You may identify these numbers as a range.
(e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with
the Clean Air Act.
Sec. 1045.745 What can happen if I do not comply with the provisions
of this subpart?
(a) For each family participating in the ABT program, the
certificate of conformity is conditional upon full compliance with the
provisions of this subpart during and after the model year. You are
responsible to establish to our satisfaction that you fully comply with
applicable requirements. We may void the certificate of conformity for
a family if you fail to comply with any provisions of this subpart.
(b) You may certify your family to an FEL above an emission
standard based on a projection that you will have enough emission
credits to offset the deficit for the family. However, we may void the
certificate of conformity if you cannot show in your final report that
you have enough actual emission credits to offset a deficit for any
pollutant in a family.
(c) We may void the certificate of conformity for a family if you
fail to keep records, send reports, or give us information we request.
(d) You may ask for a hearing if we void your certificate under
this section (see Sec. 1045.820).
Subpart I--Definitions and Other Reference Information
Sec. 1045.801 What definitions apply to this part?
The following definitions apply to this part. The definitions apply
to all subparts unless we note otherwise. All undefined terms have the
meaning the Clean Air Act gives to them. The definitions follow:
Adjustable parameter means any device, system, or element of design
that someone can adjust (including those which are difficult to access)
and that, if adjusted, may affect emissions or engine performance
during emission testing or normal in-use operation. This includes, but
is not limited to, parameters related to injection timing and fueling
rate. You may ask us to exclude a parameter that is difficult to access
if it cannot be adjusted to affect emissions without significantly
degrading engine performance, or if you otherwise show us that it will
not be adjusted in a way that affects emissions during in-use
operation.
Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted
downstream of the exhaust valve (or exhaust port) whose design function
is to decrease emissions in the engine exhaust before it is exhausted
to the environment. Exhaust-gas recirculation (EGR), turbochargers, and
oxygen sensors are not aftertreatment.
Alcohol-fueled engine means an engine that is designed to run using
an alcohol fuel. For purposes of this definition, alcohol fuels do not
include fuels with a nominal alcohol content below 25 percent by
volume.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
Applicable emission standard or applicable standard means an
emission standard to which an engine (or vessel) is subject.
Additionally, if an engine (or vessel) has been or is being certified
to another standard or FEL, applicable emission standard means the FEL
or other standard to which the engine (or vessel) has been or is being
certified. This definition does not apply to subpart H of this part.
Auxiliary emission control device means any element of design that
senses temperature, motive speed, engine RPM, transmission gear, or any
other parameter for the purpose of activating, modulating, delaying, or
deactivating the operation of any part of the emission control system.
Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
Calibration means the set of specifications and tolerances specific
to a particular design, version, or application of a component or
assembly capable of functionally describing its operation over its
working range.
Carryover means relating to certification based on emission data
generated from an earlier model year, as described in Sec.
1045.235(d).
Certification means relating to the process of obtaining a
certificate of conformity for an engine family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from either transient
or steady-state testing.
Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
Conventional sterndrive/inboard engine means a sterndrive/inboard
engine that is not a high-performance engine.
Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the engine crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft
and other related internal parts.
Critical emission-related component means any of the following
components:
(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors and actuators associated with any of these components.
(2) Any other component whose primary purpose is to reduce
emissions.
Date of manufacture has the meaning given in 40 CFR 1068.30.
Days means calendar days unless otherwise specified. For example,
when we specify working days we mean calendar days, excluding weekends
and U.S. national holidays.
Designated Compliance Officer means the Manager, Heavy-Duty and
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency,
1200 Pennsylvania Ave., NW., Washington, DC 20460.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW.,Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data engine.
Deterioration factor means the relationship between emissions at
the end of useful life and emissions at the low-hour test point (see
Sec. Sec. 1045.240 and 1045.245), expressed in one of the following
ways:
(1) For multiplicative deterioration factors, the ratio of
emissions at the end of useful life to emissions at the low-hour test
point.
(2) For additive deterioration factors, the difference between
emissions at the end of useful life and emissions at the low-hour test
point.
Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1045.505.
Dual fuel means relating to an engine designed for operation on two
different fuels but not on a continuous mixture of those fuels.
Emission control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
from an engine.
[[Page 59227]]
Emission-data engine means an engine that is tested for
certification. This includes engines tested to establish deterioration
factors.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Engine has the meaning given in 40 CFR 1068.30. This includes
complete and partially complete engines.
Engine configuration means a unique combination of engine hardware
and calibration within an engine family. Engines within a single engine
configuration differ only with respect to normal production
variability.
Engine family has the meaning given in Sec. 1045.230.
Engine manufacturer means the manufacturer of the engine. See the
definition of ``manufacturer'' in this section.
Evaporative means relating to fuel emissions controlled by 40 CFR
part 1060. This generally includes emissions that result from
permeation of fuel through the fuel-system materials or from
ventilation of the fuel system.
Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that, according to Sec. 1045.5, is not
subject to this part 1045.
Exempted has the meaning given in 40 CFR 1068.30.
Exhaust-gas recirculation (EGR) means a technology that reduces
emissions by routing exhaust gases that had been exhausted from the
combustion chamber(s) back into the engine to be mixed with incoming
air before or during combustion. The use of valve timing to increase
the amount of residual exhaust gas in the combustion chamber(s) that is
mixed with incoming air before or during combustion is not considered
exhaust-gas recirculation for the purposes of this part.
Family emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of the emission standards specified in
subpart B of this part under the ABT program in subpart H of this part.
The family emission limit must be expressed to the same number of
decimal places as the emission standard it replaces. The family
emission limit serves as the emission standard for the engine family
(exhaust) or emission family (evaporative) with respect to all required
testing.
Flexible-fuel means relating to an engine designed for operation on
any mixture of two or more different fuels.
Fuel line means hose, tubing, and primer bulbs containing or
exposed to liquid fuel, including hose or tubing that delivers fuel to
or from the engine, as follows:
(1) This includes flexible molded sections for transporting liquid
fuel to or from the engine, but does not include inflexible components
for connecting hose or tubing.
(2) This includes hose or tubing for the vent line or filler neck
if fuel systems are designed such that any portion of the vent-line or
filler-neck material continues to be exposed to liquid fuel after
completion of a refueling event in which an operator fills the fuel
tank using typical methods. For example, we would not consider a filler
neck to be a fuel line if an operator stops refueling after an initial
automatic shutoff that signals the fuel tank is full, where any liquid
fuel in the filler neck during the refueling procedure drains into the
fuel tank.
(3) This does not include primer bulbs that contain liquid fuel
only for priming the engine before starting.
Fuel system means all components involved in transporting,
metering, and mixing the fuel from the fuel tank to the combustion
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel
filters, fuel lines, carburetor or fuel-injection components, and all
fuel-system vents.
Fuel type means a general category of fuels such as gasoline or
natural gas. There can be multiple grades within a single fuel type,
such as low-temperature or all-season gasoline.
Good engineering judgment has the meaning given in 40 CFR 1068.30.
See 40 CFR 1068.5 for the administrative process we use to evaluate
good engineering judgment.
High-performance means relating to a sterndrive/inboard engine with
maximum engine power above 373 kW that has design features to enhance
power output such that the expected operating time until rebuild is
substantially shorter than 480 hours.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type, as described in subpart B of
this part.
Identification number means a unique specification (for example, a
model number/serial number combination) that allows someone to
distinguish a particular engine from other similar engines.
Jet boat means a vessel that uses an installed internal combustion
engine powering a water jet pump as its primary source of propulsion
and is designed with open area for carrying passengers. Jet boat
engines qualify as sterndrive/inboard engines.
Low-hour means relating to an engine that has stabilized emissions
and represents the undeteriorated emission level. This would generally
involve less than 30 hours of operation.
Manufacture means the physical and engineering process of
designing, constructing, and assembling an engine or vessel.
Manufacturer has the meaning given in section 216(1) of the Clean
Air Act (42 U.S.C. 7550(1)). In general, this term includes any person
who manufactures an engine, or vessel for sale in the United States or
otherwise introduces a new marine engine into U.S. commerce. This
includes importers who import engines or vessels for resale, but not
dealers. All manufacturing entities under the control of the same
person are considered to be a single manufacturer.
Marine engine means a nonroad engine that is installed or intended
to be installed on a vessel. This includes a portable auxiliary marine
engine only if its fueling, cooling, or exhaust system is an integral
part of the vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Maximum engine power has the meaning given in Sec. 1045.140.
Maximum test speed has one of the following meanings:
(1) For all testing with two-stroke engines and for testing four-
stroke engines on an engine dynamometer, maximum test speed has the
meaning given in 40 CFR 1065.1001 and Sec. 1045.501.
(2) For testing a four-stroke engine that remains installed in a
vessel, maximum test speed means the engine speed during sustained
operation with maximum operator demand.
Model year means one of the following things:
(1) For freshly manufactured vessels and engines (see definition of
``new propulsion marine engine,'' paragraph (1)), model year means one
of the following:
(i) Calendar year.
(ii) Your annual new model production period if it is different
than the calendar year. This must include
[[Page 59228]]
January 1 of the calendar year for which the model year is named. It
may not begin before January 2 of the previous calendar year and it
must end by December 31 of the named calendar year. For seasonal
production periods not including January 1, model year means the
calendar year in which the production occurs, unless you choose to
certify the applicable engine family with the following model year. For
example, if your production period is June 1, 2010 through November 30,
2010, your model year would be 2010 unless you choose to certify the
engine family for model year 2011.
(2) For an engine that is converted to a propulsion marine engine
after being certified and placed into service as a motor vehicle
engine, a nonroad engine that is not a propulsion marine engine, or a
stationary engine, model year means the model year in which the engine
was originally produced. For an engine that is converted to a nonroad
engine after being placed into service as a motor vehicle engine, a
nonroad engine that is not a propulsion marine engine, or a stationary
engine without having been certified, model year means the calendar
year in which the engine becomes a new nonroad engine. (See definition
of ``new propulsion marine engine,'' paragraph (2).)
(3) [Reserved]
(4) For engines that are not freshly manufactured but are installed
in new vessels, model year means the calendar year in which the engine
is installed in the new vessel (see definition of ``new propulsion
marine engine,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new propulsion marine engine,'' model year has the
meaning given in paragraphs (1) through (4) of this definition.
(ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new propulsion marine engine,'' model year means the
calendar year in which the engine is modified.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new nonroad engine,'' model year means the calendar
year in which the engine is assembled in its imported configuration,
unless specified otherwise in this part or in 40 CFR part 1068.
New portable marine fuel tanks and fuel lines means portable marine
fuel tanks and fuel lines that have not yet been placed into service,
or which are otherwise offered for sales as new products.
New propulsion marine engine or new engine means any of the
following things:
(1) A freshly manufactured propulsion marine engine for which the
ultimate purchaser has never received the equitable or legal title.
This kind of engine might commonly be thought of as ``brand new.'' In
the case of this paragraph (1), the engine is new from the time it is
produced until the ultimate purchaser receives the title or the product
is placed into service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine, a
nonroad engine that is not a propulsion marine engine, or a stationary
engine that is later used or intended to be used as a propulsion marine
engine. In this case, the engine is no longer a motor vehicle,
nonpropulsion, or stationary engine and becomes a ``new propulsion
marine engine.'' The engine is no longer new when it is placed into
service as a marine propulsion engine. This paragraph (2) applies for
engines we exclude under Sec. 1045.5, where that engine is later
installed as a propulsion engine in a vessel that is covered by this
part 1045.
(3) [Reserved]
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in a new vessel. This
generally includes installation of used engines in new vessels. The
engine is no longer new when the ultimate purchaser receives a title
for the vessel or the product is placed into service, whichever comes
first.
(5) An imported marine engine, subject to the following provisions:
(i) An imported marine engine covered by a certificate of
conformity issued under this part that meets the criteria of one or
more of paragraphs (1) through (4) of this definition, where the
original engine manufacturer holds the certificate, is new as defined
by those applicable paragraphs.
(ii) An imported engine that will be covered by a certificate of
conformity issued under this part, where someone other than the
original engine manufacturer holds the certificate (such as when the
engine is modified after its initial assembly), is a new propulsion
marine engine when it is imported. It is no longer new when the
ultimate purchaser receives a title for the engine or it is placed into
service, whichever comes first.
(iii) An imported propulsion marine engine that is not covered by a
certificate of conformity issued under this part at the time of
importation is new. This addresses uncertified engines and vessels
initially placed into service that someone seeks to import into the
United States. Importation of this kind of engine (or vessel containing
such an engine) is generally prohibited by 40 CFR part 1068. However,
the importation of such an engine is not prohibited if the engine has
an earlier model year than that identified in the following table,
since it is not subject to standards:
Applicability of Emission Standards for Propulsion Marine Engines
------------------------------------------------------------------------
Initial model
year of
Engine type emission
standards
------------------------------------------------------------------------
Outboard............................................... 1998
Personal watercraft.................................... 1999
Sterndrive/inboard..................................... 2010
------------------------------------------------------------------------
New vessel means either of the following things:
(1) A vessel for which the ultimate purchaser has never received
the equitable or legal title. The product is no longer new when the
ultimate purchaser receives this title or it is placed into service,
whichever comes first.
(2) An imported vessel that has already been placed into service,
where it has an engine not covered by a certificate of conformity
issued under this part at the time of importation that was manufactured
after the requirements of this part start to apply (see Sec. 1045.1).
Noncompliant engine means an engine that was originally covered by
a certificate of conformity but is not in the certified configuration
or otherwise does not comply with the conditions of the certificate.
Nonconforming engine means an engine not covered by a certificate
of conformity that would otherwise be subject to emission standards.
Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
This generally means the difference between the emitted mass of total
hydrocarbons and the emitted mass of methane.
Nonroad means relating to nonroad engines, or vessels, or equipment
that include nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general,
this means all internal-combustion engines except motor vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft.
Official emission result means the measured emission rate for an
emission-data engine on a given duty cycle before
[[Page 59229]]
the application of any deterioration factor.
Outboard engine means an assembly of a spark-ignition engine and
drive unit used to propel a vessel from a properly mounted position
external to the hull of the vessel. An outboard drive unit is partially
submerged during operation and can be tilted out of the water when not
in use.
Owners manual means a document or collection of documents prepared
by the engine manufacturer for the owner or operator to describe
appropriate engine maintenance, applicable warranties, and any other
information related to operating or keeping the engine. The owners
manual is typically provided to the ultimate purchaser at the time of
sale. The owners manual may be in paper or electronic format.
Oxides of nitrogen has the meaning given in 40 CFR part 1065.1001.
Personal watercraft means a vessel less than 4.0 meters (13 feet)
in length that uses an installed spark-ignition engine powering a water
jet pump as its primary source of propulsion and is designed with no
open load carrying area that would retain water. The vessel is designed
to be operated by a person or persons positioned on, rather than within
the confines of the hull. A vessel using an outboard engine as its
primary source of propulsion is not a personal watercraft.
Personal watercraft engine means a spark-ignition engine used to
propel a personal watercraft.
Placed into service means put into initial use for its intended
purpose.
Point of first retail sale means the location at which the initial
retail sale occurs. This generally means an equipment dealership, but
may also include an engine seller or distributor in cases where loose
engines are sold to the general public for uses such as replacement
engines.
Portable marine fuel tank has the meaning given in 40 CFR 1060.801.
Ramped-modal means relating to the ramped-modal type of steady-
state test described in Sec. 1045.505.
Revoke has the meaning given in 40 CFR 1068.30. In general this
means to terminate the certificate or an exemption for an engine
family.
Round has the meaning given in 40 CFR 1065.1001.
Scheduled maintenance means adjusting, repairing, removing,
disassembling, cleaning, or replacing components or systems
periodically to keep a part or system from failing, malfunctioning, or
wearing prematurely. It also may mean actions you expect are necessary
to correct an overt indication of failure or malfunction for which
periodic maintenance is not appropriate.
Small-volume engine manufacturer means an engine manufacturer with
250 or fewer employees. This includes any employees working for a
parent company and all its subsidiaries.
Small-volume vessel manufacturer means a vessel manufacturer with
500 or fewer employees. This includes any employees working for a
parent company and all its subsidiaries.
Spark-ignition means relating to a gasoline-fueled engine or any
other type of engine with a spark plug (or other sparking device) and
with operating characteristics significantly similar to the theoretical
Otto combustion cycle. Spark-ignition engines usually use a throttle to
regulate intake air flow to control power during normal operation.
Steady-state means relating to emission tests in which engine speed
and load are held at a finite set of essentially constant values.
Steady-state tests are either discrete-mode tests or ramped-modal
tests.
Sterndrive/inboard engine means a spark-ignition engine that is
used to propel a vessel, but is not an outboard engine or a personal
watercraft engine. A sterndrive/inboard engine may be either a
conventional sterndrive/inboard engine or a high-performance engine.
Engines on propeller-driven vessels, jet boats, air boats, and
hovercraft are all sterndrive/inboard engines.
Stoichiometric means relating to the particular ratio of air and
fuel such that if the fuel were fully oxidized, there would be no
remaining fuel or oxygen. For example, stoichiometric combustion in a
gasoline-fueled engine typically occurs at an air-to-fuel mass ratio of
about 14.7:1.
Suspend has the meaning given in 40 CFR 1068.30. In general this
means to temporarily discontinue the certificate or an exemption for an
engine family.
Test engine means an engine in a test sample.
Test sample means the collection of engines selected from the
population of an engine family for emission testing. This may include
testing for certification, production-line testing, or in-use testing.
Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This
generally means the combined mass of organic compounds measured by the
specified procedure for measuring total hydrocarbon, expressed as a
hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001. This generally means the sum of the carbon mass
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
engines. The hydrogen-to-carbon ratio of the equivalent hydrocarbon is
1.85:1.
Ultimate purchaser means, with respect to any new vessel or new
marine propulsion engine, the first person who in good faith purchases
such new vessel or new engine for purposes other than resale.
Under-cowl fuel line means a fuel line that is entirely contained
within the cowl of an outboard engine. This does not include a fuel
line that crosses through the cowl housing.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year for an engine family means the model year after
the one currently in production.
U.S.-directed production volume means the number of engine units,
subject to the requirements of this part, produced by a manufacturer
for which the manufacturer has a reasonable assurance that sale was or
will be made to ultimate purchasers in the United States.
Useful life means the period during which a vehicle is required to
comply with all applicable emission standards, specified as a given
number of hours of operation or calendar years, whichever comes first.
It is the period during which an engine is required to comply with all
applicable emission standards. See Sec. Sec. 1045.103(e), 1045.105(e),
and 1045.112. If an engine has no hour meter, the specified number of
hours does not limit the period during which an in-use engine is
required to comply with emission standards unless the degree of service
accumulation can be verified separately.
Variable-speed engine means an engine that is not a constant-speed
engine.
Vessel means marine vessel.
Void has the meaning given in 40 CFR 1068.30. In general this means
to invalidate a certificate or an exemption both retroactively and
prospectively.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
We (us, our) means the Administrator of the Environmental
Protection Agency and any authorized representatives.
Wide-open throttle means maximum throttle opening. Unless this is
specified at a given speed, it refers to maximum throttle opening at
maximum speed. For electronically controlled or other
[[Page 59230]]
engines with multiple possible fueling rates, wide-open throttle also
means the maximum fueling rate at maximum throttle opening under test
conditions.
Sec. 1045.805 What symbols, acronyms, and abbreviations does this
part use?
The following symbols, acronyms, and abbreviations apply to this
part:
ABT Averaging, banking, and trading.
AECD Auxiliary emission control device.
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g gram.
HC hydrocarbon.
hr hour.
kPa kilopascals.
kW kilowatt.
m meter.
N2O nitrous oxide.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed
psig pounds per square inch of gauge pressure.
RPM revolutions per minute.
SAE Society of Automotive Engineers.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
U.S.C. United States Code.
Sec. 1045.810 What materials does this part reference?
Documents listed in this section have been incorporated by
reference into this part. The Director of the Federal Register approved
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and
Radiation Docket and Information Center, 1301 Constitution Ave., NW.,
Room B102, EPA West Building, Washington, DC 20460 or at the National
Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(a) SAE material. Table 1 to this section lists material from the
Society of Automotive Engineers that we have incorporated by reference.
The first column lists the number and name of the material. The second
column lists the sections of this part where we reference it. Anyone
may purchase copies of these materials from the Society of Automotive
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or http://www.sae.org. Table 1 follows:
Table 1 to Sec. 1045.810--SAE Materials
------------------------------------------------------------------------
Part 1045
Document number and name reference
------------------------------------------------------------------------
SAE J1939-05, Marine Stern Drive and Inboard Spark-Ignition 1045.110
Engine On-Board Diagnostics Implementation Guide, February
2008......................................................
------------------------------------------------------------------------
(b) [Reserved]
Sec. 1045.815 What provisions apply to confidential information?
(a) Clearly show what you consider confidential by marking,
circling, bracketing, stamping, or some other method.
(b) We will store your confidential information as described in 40
CFR part 2. Also, we will disclose it only as specified in 40 CFR part
2. This applies both to any information you send us and to any
information we collect from inspections, audits, or other site visits.
(c) If you send us a second copy without the confidential
information, we will assume it contains nothing confidential whenever
we need to release information from it.
(d) If you send us information without claiming it is confidential,
we may make it available to the public without further notice to you,
as described in 40 CFR 2.204.
Sec. 1045.820 How do I request a hearing?
(a) You may request a hearing under certain circumstances as
described elsewhere in this part. To do this, you must file a written
request, including a description of your objection and any supporting
data, within 30 days after we make a decision.
(b) For a hearing you request under the provisions of this part, we
will approve your request if we find that your request raises a
substantial factual issue.
(c) If we agree to hold a hearing, we will use the procedures
specified in 40 CFR part 1068, subpart G.
Sec. 1045.825 What reporting and recordkeeping requirements apply
under this part?
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. The following
items illustrate the kind of reporting and recordkeeping we require for
engines and vessels regulated under this part:
(a) We specify the following requirements related to engine and
vessel certification in this part 1045:
(1) In Sec. 1045.20 we require vessel manufacturers to label their
vessels if they are relying on component certification.
(2) In Sec. 1045.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to vessel
manufacturers.
(3) In Sec. 1045.145 we include various reporting and
recordkeeping requirements related to interim provisions.
(4) In subpart C of this part we identify a wide range of
information required to certify engines.
(5) In Sec. Sec. 1045.345 and 1045.350 we specify certain records
related to production-line testing.
(6) In Sec. Sec. 1045.420 and 1045.425 we specify certain records
related to in-use testing.
(7) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
(8) In Sec. Sec. 1045.725, 1045.730, and 1045.735 we specify
certain records related to averaging, banking, and trading.
(b) We specify the following requirements related to vessel or
component certification in 40 CFR part 1060:
(1) In 40 CFR 1060.20 we give an overview of principles for
reporting information.
(2) In 40 CFR part 1060, subpart C, we identify a wide range of
information required to certify products.
(3) In 40 CFR 1060.301 we require manufacturers to make engines or
vessels available for our testing if we make such a request.
(4) In 40 CFR 1060.505 we specify information needs for
establishing various changes to published test procedures.
(c) We specify the following requirements related to testing in 40
CFR part 1065:
(1) In 40 CFR 1065.2 we give an overview of principles for
reporting information.
(2) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
(3) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
(4) In 40 CFR 1065.695 we identify data that may be appropriate for
collecting during testing of in-use engines using portable analyzers.
[[Page 59231]]
(d) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
(1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
(3) In 40 CFR 1068.27 we require manufacturers to make engines
available for our testing or inspection if we make such a request.
(4) In 40 CFR 1068.105 we require vessel manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
(5) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
(6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
(7) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines.
(8) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines in a selective enforcement
audit.
(9) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
(10) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming engines.
Appendix I to Part 1045--Summary of Previous Emission Standards
(a) The following standards apply to outboard and personal
watercraft engines produced before the model years specified in
Sec. 1045.1 (since the end of the phase-in period specified in 40
CFR 91.104):
(1) For engines at or below 4.3 kW, the HC+NOX
standard is 81.00 g/kW-hr.
(2) For engines above 4.3 kW, the following HC+NOX
standard applies:
STD = 6.00 + 0.250 [middot] (151 + 557/P\0.9\)
Where:
STD = The HC+NOX emission standard, in g/kW-hr.
P = The average power of an engine family, in kW.
(b) See 40 CFR 91.104 for standards that applied to outboard and
personal watercraft engines during the phase-in period.
Appendix II to Part 1045--Duty Cycles for Propulsion Marine Engines
(a) The following duty cycle applies for discrete-mode testing:
----------------------------------------------------------------------------------------------------------------
Torque Weighting
E4 Mode No. Engine speed\1\ (percent) \2\ factors
----------------------------------------------------------------------------------------------------------------
1............................................ Maximum test speed.............. 100 0.06
2............................................ 80%............................. 71.6 0.14
3............................................ 60%............................. 46.5 0.15
4............................................ 40%............................. 25.3 0.25
5............................................ Warm idle....................... 0 0.40
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.
\2\ Except as noted in Sec. 1045.505, the percent torque is relative to maximum torque at maximum test speed.
(b) The following duty cycle applies for ramped-modal testing:
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC Mode (seconds) Engine speed \1,2\ Torque (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state...................... 225 Idle................... 0
1b Transition........................ 20 Linear transition...... Linear transition
2a Steady-state...................... 63 Maximum test speed..... 100
2b Transition........................ 20 Linear transition...... Linear transition
*3a Steady-state..................... 271 40%.................... 25.3%
3b Transition........................ 20 Linear transition...... Linear transition
4a Steady-state...................... 151 80%.................... 71.6%
4b Transition........................ 20 Linear transition...... Linear transition
5a Steady-state...................... 161 60%.................... 46.5%
5b Transition........................ 20 Linear transition...... Linear transition
6 Steady-state....................... 229 Warm idle.............. 0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
linear progressions of speed and torque from the speed setting and torque setting of the current mode to the
speed setting and torque setting of the next mode.
\3\ Except as noted in Sec. 1045.505, the percent torque is relative to maximum torque at maximum test speed.
PART 1048--CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD SPARK-
IGNITION ENGINES
0
99. The authority citation for part 1048 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
100. Section 1048.1 is amended by revising paragraph (d) to read as
follows:
Sec. 1048.1 Does this part apply to me?
* * * * *
(d) In certain cases, the regulations in this part 1048 apply to
engines with maximum engine power at or below 19 kW that would
otherwise be covered by 40 CFR part 90 or 1054. See 40 CFR 90.913 or
1054.615 for provisions related to this allowance.
0
101. A new Sec. 1048.2 is added to read as follows:
Sec. 1048.2 Who is responsible for compliance?
The regulations in this part 1048 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part
[[Page 59232]]
are generally addressed to the engine manufacturer. The term ``you''
generally means the engine manufacturer, as defined in Sec. 1048.801,
especially for issues related to certification (including production-
line testing, reporting, etc.).
0
102. Section 1048.5 is amended by revising paragraph (b) and adding
paragraph (c) to read as follows:
Sec. 1048.5 Which engines are excluded from this part's requirements?
* * * * *
(b) Propulsion marine engines. See 40 CFR parts 91 and 1045. This
part applies with respect to auxiliary marine engines.
(c) Engines that are certified to meet the requirements of 40 CFR
parts 92 or 1033 (locomotive engines), or are otherwise subject to 40
CFR parts 92 or 1033.
0
103. Section 1048.10 is amended by revising the introductory text to
read as follows:
Sec. 1048.10 How is this part organized?
This part 1048 is divided into the following subparts:
* * * * *
0
104. Section 1048.15 is amended as follows:
0
a. By revising the section heading.
0
b. By redesignating paragraphs (a) through (c) as paragraphs (b)
through (d), respectively.
0
c. By adding a new paragraph (a).
Sec. 1048.15 Do any other regulation parts apply to me?
(a) Part 1060 of this chapter describes standards and procedures
for controlling evaporative emissions from engines fueled by gasoline
or other volatile liquid fuels and the associated fuel systems. These
requirements apply to engine manufacturers as specified in this part
1048. Part 1060 applies optionally for equipment manufacturers and
fuel-tank manufacturers for certifying their products.
* * * * *
Subpart B--[Amended]
0
105. Section 1048.101 is amended to read as follows:
0
a. By adding paragraph (a)(2)(iv).
0
b. By removing paragraph (a)(4).
0
c. By revising paragraphs (e)(1), (e)(2), and (e)(3).
0
d. By revising paragraphs (f) and (h) to read as follows:
Sec. 1048.101 What exhaust emission standards must my engines meet?
* * * * *
(a) * * *
(2) * * *
(iv) Constant-speed engines and severe-duty engines.
* * * * *
(e) * * *
(1) Natural gas-fueled engines: NMHC emissions.
(2) Alcohol-fueled engines: THCE emissions.
(3) Other engines: THC emissions.
(f) Small engines. Certain engines with total displacement at or
below 1000 cc may comply with the requirements of 40 CFR part 90 or
1054 instead of complying with the requirements of this part, as
described in Sec. 1048.615.
* * * * *
(h) Applicability for testing. The duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec. Sec. 1048.505 and 1048.510, including certification,
production-line, and in-use testing. The field-testing standards apply
for all testing performed according to the procedures of subpart F of
this part.
0
106. Section 1048.105 is revised to read as follows:
Sec. 1048.105 What evaporative emission standards and requirements
apply?
Starting in the 2007 model year, new engines that run on a volatile
liquid fuel (such as gasoline) must meet the emission standards of this
section over a useful life of five years, except as specified in
paragraph (f) of this section. Note that Sec. 1048.245 allows you to
use design-based certification instead of generating new emission data.
(a) Fuel line permeation. For nonmetallic fuel lines, you must
specify and use products that meet the Category 1 specifications for
permeation in SAE J2260 (incorporated by reference in Sec. 1048.810).
(b) [Reserved]
(c) Diurnal emissions. Evaporative hydrocarbon emissions may not
exceed 0.2 grams per gallon of fuel tank capacity when measured using
the test procedures specified in Sec. 1048.501. Diurnal emission
controls must continue to function during engine operation.
(d) Running loss. Liquid fuel in the fuel tank may not reach
boiling during continuous engine operation in the final installation at
an ambient temperature of 30 [deg]C. Note that gasoline with a Reid
vapor pressure of 62 kPa (9 psi) begins to boil at about 53 [deg]C at
atmospheric pressure, and at about 60 [deg]C for fuel tanks that hold
pressure as described in Sec. 1048.245(e)(1)(i).
(e) Installation. If other companies install your engines in their
equipment, you may introduce your engines into U.S. commerce without
meeting all the requirements in this section. However, you must give
equipment manufacturers any appropriate instructions so that fully
assembled equipment will meet all the requirements in this section, as
described in Sec. 1048.130. Your instructions may specify that
equipment manufacturers may alternatively use other fuel-system
components that have been certified under 40 CFR part 1060. Introducing
equipment into U.S. commerce without meeting all the requirements of
this section violates 40 CFR 1068.101(a)(1).
(f) Motor vehicles and marine vessels. Motor vehicles and marine
vessels may contain engines subject to the exhaust emission standards
in this part 1048. Evaporative emission standards apply to these
products as follows:
(1) Marine vessels using spark-ignition engines are subject to the
requirements of 40 CFR part 1045. The vessels are not required to
comply with the evaporative emission standards and related requirements
of this part 1048.
(2) Motor vehicles are subject to the requirements of 40 CFR part
86. They are not required to comply with the evaporative emission
standards and related requirements of this part 1048.
0
107. Section 1048.110 is amended by adding introductory text and
revising paragraphs (b) introductory text, (c), (d), and (g)
introductory text to read as follows:
Sec. 1048.110 How must my engines diagnose malfunctions?
The following engine-diagnostic requirements apply for engines
equipped with three-way catalysts and closed-loop control of air-fuel
ratios:
* * * * *
(b) Use a malfunction-indicator light (MIL). The MIL must be
readily visible to the operator; it may be any color except red. When
the MIL goes on, it must display ``Check Engine,'' ``Service Engine
Soon,'' or a similar message that we approve. You may use sound in
addition to the light signal. The MIL must go on under each of the
following circumstances:
* * * * *
(c) Control when the MIL can go out. If the MIL goes on to show a
malfunction or system error, it must remain on during all later engine
operation until servicing corrects the malfunction. If the engine is
not serviced, but the malfunction or system error does not recur for
three consecutive engine starts during which the malfunctioning system
is evaluated and found to be working properly, the MIL may stay off
during later engine operation.
[[Page 59233]]
(d) Store trouble codes in computer memory. Record and store in
computer memory any diagnostic trouble codes showing a malfunction that
should illuminate the MIL. The stored codes must identify the
malfunctioning system or component as uniquely as possible. Make these
codes available through the data link connector as described in
paragraph (g) of this section. You may store codes for conditions that
do not turn on the MIL. The system must store a separate code to show
when the diagnostic system is disabled.
* * * * *
(g) Follow standard references for formats, codes, and connections.
Follow conventions defined in 40 CFR 1045.110 or in the following
documents (incorporated by reference in Sec. 1048.810) or ask us to
approve using updated versions of (or variations from) these documents:
* * * * *
0
108. Section 1048.115 is amended by revising the section heading,
introductory text, and paragraph (e) to read as follows:
Sec. 1048.115 What other requirements apply?
Engines that are required to meet the emission standards of this
part must meet the following requirements:
* * * * *
(e) Adjustable parameters. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing, including certification testing, production-line testing, or
in-use testing.
* * * * *
0
109. Section 1048.120 is amended by revising paragraph (c) to read as
follows:
Sec. 1048.120 What emission-related warranty requirements apply to
me?
* * * * *
(c) Components covered. The emission-related warranty covers all
your components whose failure would increase an engine's emissions of
any regulated pollutant, including components listed in 40 CFR part
1068, Appendix I, and components from any other system you develop to
control emissions. The emission-related warranty covers these
components even if another company produces the component for you. Your
emission-related warranty does not cover components whose failure would
not increase an engine's emissions of any regulated pollutant.
* * * * *
0
110. Section 1048.125 is amended by revising paragraphs (a)(1)(iii) and
(d) to read as follows:
Sec. 1048.125 What maintenance instructions must I give to buyers?
* * * * *
(a) * * *
(1) * * *
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
* * * * *
(d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (i.e., maintenance that is neither
explicitly identified as critical emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-related maintenance generally includes changing spark plugs,
re-seating valves, or any other emission-related maintenance on the
components we specify in 40 CFR part 1068, Appendix I that is not
covered in paragraph (a) of this section. You must state in the owners
manual that these steps are not necessary to keep the emission-related
warranty valid. If operators fail to do this maintenance, this does not
allow you to disqualify those engines from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps
during service accumulation on your emission-data engines.
* * * * *
0
111. Section 1048.135 is amended by revising paragraphs (c) and (f) to
read as follows:
Sec. 1048.135 How must I label and identify the engines I produce?
* * * * *
(c) The label must--
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the provisions of Sec. 1048.635.
(3) Include EPA's standardized designation for the engine family
(and subfamily, where applicable).
(4) State the engine's displacement (in liters); however, you may
omit this from the label if all the engines in the engine family have
the same per-cylinder displacement and total displacement.
(5) State the date of manufacture [DAY (optional), MONTH, and
YEAR]; however, you may omit this from the label if you stamp, engrave,
or otherwise permanently identify it elsewhere on the engine, in which
case you must also describe in your application for certification where
you will identify the date on the engine.
(6) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
(7) State: ``THIS ENGINE IS CERTIFIED TO OPERATE ON [specify
operating fuel or fuels].''
(8) Identify any requirements for fuel and lubricants. You may omit
this information from the label if there is not enough room for it and
you put it in the owners manual instead.
(9) List specifications and adjustments for engine tuneups; show
the proper position for the transmission during tuneup and state which
accessories should be operating. You may omit this information from the
label if there is not enough room for it and you put it in the owners
manual instead.
(10) State the useful life for your engine family if it has a
longer useful life under Sec. 1048.101(g)(1) or a shortened useful
life under Sec. 1048.101(g)(2).
(11) Identify the emission standards to which you have certified
the engine (in g/kW-hr).
(12) Include one of the following compliance statements:
(i) For engines that may be used in nonroad or stationary
equipment, state: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[MODEL YEAR] NONROAD AND STATIONARY ENGINES.''
(ii) For engines that will be used only in nonroad equipment,
state: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL
YEAR] NONROAD ENGINES.''
(iii) For engines that will be used only in stationary equipment,
state: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL
YEAR] STATIONARY ENGINES.''
(13) Include any of the following additional statements for special
situations if they apply to your engines:
(i) If your engines are certified only for constant-speed
operation, state: ``USE IN CONSTANT-SPEED APPLICATIONS ONLY.''
(ii) If your engines are certified only for variable-speed
operation, state: ``USE
[[Page 59234]]
IN VARIABLE-SPEED APPLICATIONS ONLY.''
(iii) If your engines are certified only for high-load engines,
state: ``THIS ENGINE IS NOT INTENDED FOR OPERATION AT LESS THAN 75
PERCENT OF FULL LOAD.''
(iv) If you certify your engines under Sec. 1048.101(d), and show
in your application for certification that in-use engines will
experience infrequent high-load operation, state: ``THIS ENGINE IS NOT
INTENDED FOR OPERATION AT MORE THAN PERCENT OF FULL LOAD.'' Specify the
appropriate percentage of full load based on the nature of the engine
protection. You may add other statements to discourage operation in
engine-protection modes.
(v) If your engines are certified to the voluntary standards in
Sec. 1048.140, state: ``BLUE SKY SERIES'' and identify the standard to
which you certify the engines.
* * * * *
(f) If you obscure the engine label while installing the engine in
the equipment such that the label cannot be read during normal
maintenance, you must place a duplicate label on the equipment. If
others install your engine in their equipment in a way that obscures
the engine label, we require them to add a duplicate label on the
equipment (see 40 CFR 1068.105); in that case, give them the number of
duplicate labels they request and keep the following records for at
least five years:
(1) Written documentation of the request from the equipment
manufacturer.
(2) The number of duplicate labels you send for each engine family
and the date you sent them.
0
112. Section 1048.140 is revised to read as follows:
Sec. 1048.140 What are the provisions for certifying Blue Sky Series
engines?
This section defines voluntary standards for a recognized level of
superior emission control for engines designated as ``Blue Sky Series''
engines. If you certify an engine family under this section, it is
subject to all the requirements of this part as if these voluntary
standards were mandatory. To receive a certificate of conformity as
``Blue Sky Series,'' you must certify to one of the sets of exhaust
emission standards in the following table:
Table 1 of Sec. 1048.140--Standards for Blue Sky Series Engines (g/kW-
hr)
------------------------------------------------------------------------
Standards for steady-state and Standards for field-testing
transient test procedures procedures
------------------------------------------------------------------------
HC+NOX CO HC+NOX CO
------------------------------------------------------------------------
0.80 4.4 1.10 6.6
0.60 4.4 0.84 6.6
0.40 4.4 0.56 6.6
0.20 4.4 0.28 6.6
0.10 4.4 0.14 6.6
------------------------------------------------------------------------
0
113. Section 1048.145 is amended by adding paragraphs (j) and (k) to
read as follows:
Sec. 1048.145 What provisions apply only for a limited time?
* * * * *
(j) Delayed compliance with labeling requirements. Before the 2010
model year, you may omit the dates of manufacture from the emission
control information label as specified in Sec. 1048.135(c)(5) if you
keep those records and provide them to us upon request.
(k) Delayed compliance with fuel tank permeation requirements.
Before the 2010 model year, you may omit the permeation-related
requirements related to plastic fuel tanks in Sec. 1048.245(e)(1)(i)
and Sec. 1048.501(e).
Subpart C--[Amended]
0
114. Section 1048.201 is amended by revising paragraph (a) to read as
follows:
Sec. 1048.201 What are the general requirements for obtaining a
certificate of conformity?
(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date, but it is not valid for any
production after December 31 of the model year for which it is issued.
No certificate will be issued after December 31 of the model year.
* * * * *
0
115. Section 1048.205 is amended as follows:
0
a. By revising paragraph (p)(1).
0
b. By revising paragraph (q).
0
c. By revising paragraph (r) introductory text.
0
d. By revising paragraph (s).
0
e. By revising paragraph (y).
0
f. By revising paragraph (aa).
Sec. 1048.205 What must I include in my application?
* * * * *
(p) * * *
(1) Present exhaust emission data for HC, NOX, and CO on
an emission-data engine to show your engines meet the applicable duty-
cycle emission standards we specify in Sec. 1048.101. Show emission
figures before and after applying deterioration factors for each
engine. Include emission results for each mode if you do discrete-mode
testing under Sec. 1048.505. Include test data for each type of fuel
from 40 CFR part 1065, subpart H, on which you intend for engines in
the engine family to operate (for example, gasoline, liquefied
petroleum gas, methanol, or natural gas). If we specify more than one
grade of any fuel type (for example, a summer grade and winter grade of
gasoline), you need to submit test data only for one grade unless the
regulations of this part specify otherwise for your engine. Note that
Sec. 1048.235 allows you to submit an application in certain cases
without new emission data.
* * * * *
(q) State that all the engines in the engine family comply with the
field-testing emission standards we specify in Sec. 1048.101(c) for
all normal operation and use when tested as specified in Sec.
1048.515. Describe any relevant testing, engineering analysis, or other
information in sufficient detail to support your statement.
(r) For engines not subject to transient testing requirements in
Sec. 148.101(a), include information showing how your emission
controls will function during normal in-use transient operation. For
example, this might include the following:
* * * * *
(s) Report all test results, including those from invalid tests or
from any other tests, whether or not they were conducted according to
the test procedures of subpart F of this part. If you measure
CO2, report those emission levels (in g/kW-hr). We may ask
you to send other information to confirm that your tests were valid
under the requirements of this part and 40 CFR part 1065.
* * * * *
(y) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes
if they are substantially different than actual production volumes in
earlier years for similar models.
* * * * *
(aa) Name an agent for service located in the United States.
Service on this agent constitutes service on you or any of your
officers or employees for any action by EPA or otherwise by the
[[Page 59235]]
United States related to the requirements of this part.
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116. Section 1048.220 is amended by revising the introductory text and
paragraph (a) to read as follows:
Sec. 1048.220 How do I amend the maintenance instructions in my
application?
You may amend your emission-related maintenance instructions after
you submit your application for certification as long as the amended
instructions remain consistent with the provisions of Sec. 1048.125.
You must send the Designated Compliance Officer a written request to
amend your application for certification for an engine family if you
want to change the emission-related maintenance instructions in a way
that could affect emissions. In your request, describe the proposed
changes to the maintenance instructions. If operators follow the
original maintenance instructions rather than the newly specified
maintenance, this does not allow you to disqualify those engines from
in-use testing or deny a warranty claim.
(a) If you are decreasing, replacing, or eliminating any specified
maintenance, you may distribute the new maintenance instructions to
your customers 30 days after we receive your request, unless we
disapprove your request. This would generally include replacing one
maintenance step with another. We may approve a shorter time or waive
this requirement.
* * * * *
0
117. Section 1048.225 is revised to read as follows:
Sec. 1048.225 How do I amend my application for certification to
include new or modified engine configurations?
Before we issue you a certificate of conformity, you may amend your
application to include new or modified engine configurations, subject
to the provisions of this section. After we have issued your
certificate of conformity, you may send us an amended application
requesting that we include new or modified engine configurations within
the scope of the certificate, subject to the provisions of this
section. You must amend your application if any changes occur with
respect to any information included in your application.
(a) You must amend your application before you take any of the
following actions:
(1) Add an engine configuration to an engine family. In this case,
the engine configuration added must be consistent with other engine
configurations in the engine family with respect to the criteria listed
in Sec. 1048.230.
(2) Change an engine configuration already included in an engine
family in a way that may affect emissions, or change any of the
components you described in your application for certification. This
includes production and design changes that may affect emissions any
time during the engine's lifetime.
(b) To amend your application for certification, send the
Designated Compliance Officer the following information:
(1) Describe in detail the addition or change in the engine model
or configuration you intend to make.
(2) Include engineering evaluations or data showing that the
amended engine family complies with all applicable requirements. You
may do this by showing that the original emission-data engine is still
appropriate for showing that the amended family complies with all
applicable requirements.
(3) If the original emission-data engine for the engine family is
not appropriate to show compliance for the new or modified engine
configuration, include new test data showing that the new or modified
engine configuration meets the requirements of this part.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your newly added or modified engine. You may ask for
a hearing if we deny your request (see Sec. 1048.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify you to cease production of the engines and
may require you to recall the engines at no expense to the owner.
Choosing to produce engines under this paragraph (e) is deemed to be
consent to recall all engines that we determine do not meet applicable
emission standards or other requirements and to remedy the
nonconformity at no expense to the owner. If you do not provide
information required under paragraph (c) of this section within 30 days
after we request it, you must stop producing the new or modified
engines.
0
118. Section 1048.230 is amended by revising paragraphs (a), (b)(3),
and (d) and removing paragraph (b)(7) to read as follows:
Sec. 1048.230 How do I select engine families?
(a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout the useful life as described in this
section. Your engine family is limited to a single model year.
(b) * * *
(3) Configuration of the fuel system (for example, fuel-injected
vs. carbureted gasoline engines).
* * * * *
(d) In unusual circumstances, you may group engines that are not
identical with respect to the things listed in paragraph (b) of this
section in the same engine family if you show that their emission
characteristics during the useful life will be similar.
* * * * *
0
119. Section 1048.235 is amended by revising paragraphs (a), (c)(4),
(d) introductory text, (d)(1), and (e) to read as follows:
Sec. 1048.235 What emission testing must I perform for my application
for a certificate of conformity?
* * * * *
(a) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part.
* * * * *
(c) * * *
(4) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter. For example, this would apply where we determine
that an engine parameter is not an adjustable parameter (as defined in
Sec. 1048.801) but that it is subject to production variability.
(d) You may ask to use carryover emission data from a previous
model year instead of doing new tests, but only if all the following
are true:
(1) The engine family from the previous model year differs from the
current engine family only with respect to model year or other
characteristics unrelated to emissions. You may also ask to add a
configuration subject to Sec. 1048.225.
* * * * *
(e) We may require you to test another engine of the same or
different configuration in addition to the engine tested under
paragraph (b) of this section.
* * * * *
[[Page 59236]]
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120. Section 1048.240 is amended by revising paragraphs (a), (b), and
(c) to read as follows:
Sec. 1048.240 How do I demonstrate that my engine family complies
with exhaust emission standards?
(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical emission standards in Sec.
1048.101(a) and (b) if all emission-data engines representing that
family have test results showing deteriorated emission levels at or
below these standards. This includes all test points over the course of
the durability demonstration.
(b) Your engine family is deemed not to comply if any emission-data
engine representing that family has test results showing a deteriorated
emission level for any pollutant that is above an applicable emission
standard from Sec. 1048.101. This includes all test points over the
course of the durability demonstration.
(c) To compare emission levels from the emission-data engine with
the applicable emission standards, apply deterioration factors to the
measured emission levels for each pollutant. Specify the deterioration
factors based on emission measurements using four significant figures,
consistent with good engineering judgment. For example, your
deterioration factors must take into account any available data from
in-use testing with similar engines (see subpart E of this part).
Small-volume engine manufacturers may use assigned deterioration
factors that we establish. In addition, anyone may use assigned
deterioration factors for engine families with a projected U.S.-
directed production volume at or below 300 engines. Apply deterioration
factors as follows:
(1) Multiplicative deterioration factor. Except as specified in
paragraph (c)(2) of this section, use a multiplicative deterioration
factor for exhaust emissions. A multiplicative deterioration factor is
the ratio of exhaust emissions at the end of useful life to exhaust
emissions at the low-hour test point. Adjust the official emission
results for each tested engine at the selected test point by
multiplying the measured emissions by the deterioration factor. If the
factor is less than one, use one.
(2) Additive deterioration factor. Use an additive deterioration
factor for exhaust emissions if engines do not use aftertreatment
technology. Also, you may use an additive deterioration factor for
exhaust emissions for a particular pollutant if all the emission-data
engines in the engine family have low-hour emission levels at or below
0.3 g/kW-hr for HC+NOX or 0.5 g/kW-hr for CO, unless a
multiplicative deterioration factor is more appropriate. For example,
you should use a multiplicative deterioration factor if emission
increases are best represented by the ratio of exhaust emissions at the
end of the useful life to exhaust emissions at the low-hour test point.
An additive deterioration factor is the difference between exhaust
emissions at the end of useful life and exhaust emissions at the low-
hour test point. Adjust the official emission results for each tested
engine at the selected test point by adding the factor to the measured
emissions. If the factor is less than zero, use zero.
* * * * *
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121. Section 1048.245 is amended by revising paragraphs (c) and (e) to
read as follows:
Sec. 1048.245 How do I demonstrate that my engine family complies
with evaporative emission standards?
* * * * *
(c) Use good engineering judgment to develop a test plan to
establish deterioration factors to show how much emissions increase at
the end of the useful life.
* * * * *
(e) You may demonstrate that your engine family complies with the
evaporative emission standards by demonstrating that you use the
following control technologies:
(1) For certification to the standards specified in Sec.
1048.105(a)(1), with the following technologies:
(i) Use a tethered or self-closing gas cap on a fuel tank that
stays sealed up to a positive pressure of 24.5 kPa (3.5 psig); however,
they may contain air inlets that open when there is a vacuum pressure
inside the tank. Nonmetal fuel tanks must also use one of the
qualifying designs for controlling permeation emissions specified in 40
CFR 1060.240.
(ii) [Reserved]
(2) For certification to the standards specified in Sec.
1048.105(a)(3), demonstrating that you use design features to prevent
fuel boiling under all normal operation. If you install engines in
equipment, you may do this using fuel temperature data measured during
normal operation. Otherwise, you may do this by including appropriate
information in your emission-related installation instructions.
(3) We may establish additional options for design-based
certification where we find that new test data demonstrate that a
technology will ensure compliance with the emission standards in this
section
0
122. Section 1048.250 is amended as follows:
0
a. By removing paragraph (d).
0
b. By redesignating paragraphs (a) through (c) as paragraphs (b)
through (d), respectively.
0
c. By adding a new paragraph (a).
0
d. By revising the newly redesignated paragraph (c).
Sec. 1048.250 What records must I keep and make available to EPA?
(a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec. 1048.345.
In addition, within 45 days after the end of the model year, you must
send us a report describing information about engines you produced
during the model year as follows:
(1) State the total production volume for each engine family that
is not subject to reporting under Sec. 1048.345.
(2) State the total production volume for any engine family for
which you produce engines after completing the reports required in
Sec. 1048.345.
(3) For production volumes you report under this paragraph (a),
identify whether or not the figures include California sales. Include a
separate count of production volumes for California sales if those
figures are available.
* * * * *
(c) Keep data from routine emission tests (such as test cell
temperatures and relative humidity readings) for one year after we
issue the associated certificate of conformity. Keep all other
information specified in this section for eight years after we issue
your certificate.
* * * * *
0
123. Section 1048.255 is amended by revising the section heading and
paragraph (d) to read as follows:
Sec. 1048.255 What decisions may EPA make regarding my certificate of
conformity?
* * * * *
(d) We may void your certificate if you do not keep the records we
require or do not give us information as required under this part or
the Act.
* * * * *
Subpart D--[Amended]
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124. Section 1048.301 is revised to read as follows:
Sec. 1048.301 When must I test my production-line engines?
(a) If you produce engines that are subject to the requirements of
this part,
[[Page 59237]]
you must test them as described in this subpart, except as follows:
(1) [Reserved]
(2) We may exempt engine families with a projected U.S.-directed
production volume below 150 units from routine testing under this
subpart. Request this exemption in your application for certification
and include your basis for projecting a production volume below 150
units. We will approve your request if we agree that you have made
good-faith estimates of your production volumes. Your exemption is
approved when we grant your certificate. You must promptly notify us if
your actual production exceeds 150 units during the model year. If you
exceed the production limit or if there is evidence of a nonconformity,
we may require you to test production-line engines under this subpart,
or under 40 CFR part 1068, subpart E, even if we have approved an
exemption under this paragraph (a)(2).
(b) We may suspend or revoke your certificate of conformity for
certain engine families if your production-line engines do not meet the
requirements of this part or you do not fulfill your obligations under
this subpart (see Sec. Sec. 1048.325 and 1048.340).
(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not
affect our ability to do selective enforcement audits, as described in
part 1068 of this chapter. Individual engines in families that pass
these production-line testing requirements must also conform to all
applicable regulations of this part and part 1068 of this chapter.
(d) You may use alternate programs for testing production-line
engines in the following circumstances:
(1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the
otherwise applicable requirements in 40 CFR part 1065 for laboratory
testing, to demonstrate compliance with duty-cycle emission standards
if you double the minimum sampling rate specified in Sec. 1048.310(b).
Use measured test results to determine whether engines comply with
applicable standards without applying a measurement allowance. This
alternate program does not require prior approval but we may disallow
use of this option where we determine that use of field-grade equipment
would prevent you from being able to demonstrate that your engines are
being produced to conform to the specifications in your application for
certification.
(2) You may ask to use another alternate program for testing
production-line engines. In your request, you must show us that the
alternate program gives equal assurance that your products meet the
requirements of this part. We may waive some or all of this subpart's
requirements if we approve your alternate approach. For example, in
certain circumstances you may be able to give us equal assurance that
your products meet the requirements of this part by using less rigorous
measurement methods if you offset that by increasing the number of test
engines.
(e) If you certify an engine family with carryover emission data,
as described in Sec. 1048.235(d), and these equivalent engine families
consistently pass the production-line testing requirements over the
preceding two-year period, you may ask for a reduced testing rate for
further production-line testing for that family. The minimum testing
rate is one engine per engine family. If we reduce your testing rate,
we may limit our approval to any number of model years. In determining
whether to approve your request, we may consider the number of engines
that have failed the emission tests.
(f) We may ask you to make a reasonable number of production-line
engines available for a reasonable time so we can test or inspect them
for compliance with the requirements of this part.
0
125. Section 1048.305 is amended by adding introductory text and
revising paragraphs (a), (d), and (g) to read as follows:
Sec. 1048.305 How must I prepare and test my production-line engines?
This section describes how to prepare and test production-line
engines. You must assemble the test engine in a way that represents the
assembly procedures for other engines in the engine family. You must
ask us to approve any deviations from your normal assembly procedures
for other production engines in the engine family.
(a) Test procedures. Test your production-line engines using either
the steady-state or transient testing procedures specified in subpart F
of this part to show you meet the duty-cycle emission standards in
subpart B of this part. The field-testing standards apply for this
testing, but you need not do additional testing to show that
production-line engines meet the field-testing standards.
* * * * *
(d) Setting adjustable parameters. Before any test, we may require
you to adjust any adjustable parameter to any setting within its
physically adjustable range.
(1) We may require you to adjust idle speed outside the physically
adjustable range as needed, but only until the engine has stabilized
emission levels (see paragraph (e) of this section). We may ask you for
information needed to establish an alternate minimum idle speed.
(2) We may specify adjustments within the physically adjustable
range by considering their effect on emission levels. We may also
consider how likely it is that someone will make such an adjustment
with in-use equipment.
* * * * *
(g) Retesting after invalid tests. You may retest an engine if you
determine an emission test is invalid under subpart F of this part.
Explain in your written report reasons for invalidating any test and
the emission results from all tests. If we determine that you
improperly invalidated a test, we may require you to ask for our
approval for future testing before substituting results of the new
tests for invalid ones.
0
126. Section 1048.310 is amended as follows:
0
a. By revising paragraph (a).
0
b. By revising paragraph (c) introductory text.
0
c. By revising paragraph (c)(2).
0
d. By revising paragraph (f).
0
e. By revising paragraph (g).
0
f. By revising paragraph (h).
Sec. 1048.310 How must I select engines for production-line testing?
(a) Use test results from two engines each quarter to calculate the
required sample size for the model year for each engine family.
* * * * *
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC+NOX and CO. The
required sample size is the greater of these calculated values. Use the
following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.091
Where:
N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the
number of tests completed, n, as specified in the table in paragraph
(c)(1) of this section. It defines 95% confidence intervals for a
one-tail distribution.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of
this section).
[[Page 59238]]
x = Mean of emission test results of the sample.
STD = Emission standard.
* * * * *
(2) Calculate the standard deviation, [sigma], for the test sample
using the following formula:
Where:
[GRAPHIC] [TIFF OMITTED] TR08OC08.092
Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.
* * * * *
(f) Distribute the remaining tests evenly throughout the rest of
the year. You may need to adjust your schedule for selecting engines if
the required sample size changes. If your scheduled quarterly testing
for the remainder of the model year is sufficient to meet the
calculated sample size, you may wait until the next quarter to do
additional testing. Continue to randomly select engines from each
engine family.
(g) Continue testing until one of the following things happens:
(1) After completing the minimum number of tests required in
paragraph (b) of this section, the number of tests completed in an
engine family, n, is greater than the required sample size, N, and the
sample mean, x, is less than or equal to the emission standard. For
example, if N = 5.1 after the fifth test, the sample-size calculation
does not allow you to stop testing.
(2) The engine family does not comply according to Sec. 1048.315.
(3) You test 30 engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number. Do not count an engine under this paragraph (g)(4) if it fails
to meet an applicable emission standard. You may stop testing after you
test one percent of your production volume even if you have not tested
the number of engines specified in paragraph (b) of this section. For
example, if projected volume is 475 engines, test two engines in each
of the first two quarters and one engine in the third quarter to
fulfill your testing requirements under this section for that engine
family.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for
one pollutant but not another, you must continue measuring emission
levels of all pollutants for any additional tests required under this
section. However, you need not continue making the calculations
specified in this subpart for the pollutant for which testing is not
required. This paragraph (h) does not affect the number of tests
required under this section, the required calculations in Sec.
1048.315, or the remedial steps required under Sec. 1048.320.
* * * * *
0
127. Section 1048.315 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 1048.315 How do I know when my engine family fails the
production-line testing requirements?
* * * * *
(a) Calculate your test results as follows:
(1) Initial and final test results. Calculate and round the test
results for each engine. If you do several tests on an engine,
calculate the initial results for each test, then add all the test
results together and divide by the number of tests. Round this final
calculated value for the final test results on that engine.
(2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec.
1048.240(c)).
(3) Round deteriorated test results. Round the results to the
number of decimal places in the emission standard expressed to one more
decimal place.
(b) Construct the following CumSum Equation for each engine family
for HC+NOX and CO emissions:
Ci = Max [0 or Ci-1 + Xi - (STD + 0.25
x [sigma])]
Where:
Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test,
the CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual
engine.
STD = Emission standard.
* * * * *
0
128. Section 1048.320 is amended by revising paragraph (b) to read as
follows:
Sec. 1048.320 What happens if one of my production-line engines fails
to meet emission standards?
* * * * *
(b) Include the test results and describe the remedy for each
engine in the written report required under Sec. 1048.345.
0
129. Section 1048.325 is amended by revising the section heading and
paragraph (c) to read as follows:
Sec. 1048.325 What happens if an engine family fails the production-
line testing requirements?
* * * * *
(c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec. 1048.820). If we agree
before a hearing occurs that we used erroneous information in deciding
to suspend the certificate, we will reinstate the certificate.
* * * * *
0
130. Section 1048.345 is amended as follows:
0
a. By removing the introductory text.
0
b. By revising paragraphs (a)(4), (a)(5), (a)(6), and (a)(8).
0
c. By revising paragraphs (b) and (c).
Sec. 1048.345 What production-line testing records must I send to
EPA?
(a) * * *
(4) Describe each test engine, including the engine family's
identification and the engine's model year, build date, model number,
identification number, and number of hours of operation before testing.
(5) Identify how you accumulated hours of operation on the engines
and describe the procedure and schedule you used.
(6) Provide the test number; the date, time and duration of
testing; test procedure; all initial test results; final test results;
and final deteriorated test results for all tests. Provide the emission
results for all measured pollutants. Include information for both valid
and invalid tests and the reason for any invalidation.
* * * * *
(8) Provide the CumSum analysis required in Sec. 1048.315 and the
sample-size calculation required in Sec. 1048.310 for each engine
family.
* * * * *
(b) We may ask you to add information to your written report, so we
can determine whether your new engines conform with the requirements of
this subpart. We may also ask you to send less information.
(c) An authorized representative of your company must sign the
following statement:
We submit this report under Sections 208 and 213 of the Clean Air
Act. Our production-line testing conformed completely with the
requirements of 40 CFR part 1048. We have not changed production
processes or quality-control procedures for test engines in a way that
might affect emission controls. All the information in this report is
true and accurate, to the best of my knowledge. I know of the penalties
for violating the
[[Page 59239]]
Clean Air Act and the regulations. (Authorized Company Representative)
* * * * *
0
131. Section 1048.350 is amended by revising paragraphs (b), (e), and
(f) to read as follows:
Sec. 1048.350 What records must I keep?
* * * * *
(b) Keep paper or electronic records of your production-line
testing for eight years after you complete all the testing required for
an engine family in a model year.
* * * * *
(e) If we ask, you must give us projected or actual production
figures for an engine family. We may ask you to divide your production
figures by maximum engine power, displacement, fuel type, or assembly
plant (if you produce engines at more than one plant).
(f) Keep records of the engine identification number for each
engine you produce under each certificate of conformity. You may
identify these numbers as a range. Give us these records within 30 days
if we ask for them.
* * * * *
Subpart E--[Amended]
0
132. Section 1048.405 is amended by adding paragraph (d) to read as
follows:
Sec. 1048.405 How does this program work?
* * * * *
(d) In appropriate extreme and unusual circumstances that are
clearly outside your control and could not have been avoided by the
exercise of prudence, diligence, and due care, we may waive the in-use
testing requirement for an engine family. For example, if your test
fleet is destroyed by severe weather during service accumulation and we
agree that completion of testing is not possible, we would generally
waive testing requirements for that engine family.
0
133. Section 1048.410 is amended by revising paragraph (e) to read as
follows:
Sec. 1048.410 How must I select, prepare, and test my in-use engines?
* * * * *
(e) You may do repeat measurements with a test engine; however, you
must conduct the same number of tests on each engine.
* * * * *
0
134. Section 1048.415 is amended by revising paragraphs (c) and (d) to
read as follows:
Sec. 1048.415 What happens if in-use engines do not meet
requirements?
* * * * *
(c) We will consider failure rates, average emission levels, and
any defects--among other things--to decide on taking remedial action
under this subpart (see 40 CFR 1068.505). We may consider the results
from any voluntary additional testing you perform. We may also consider
information related to testing from other engine families showing that
you designed them to exceed the minimum requirements for controlling
emissions. We may order a recall before or after you complete testing
of an engine family if we determine a substantial number of engines do
not conform to section 213 of the Act or to this part. The scope of the
recall may include other engine families in the same or different model
years if the cause of the problem identified in paragraph (a) of this
section applies more broadly than the tested engine family, as allowed
by the Act.
(d) If in-use testing reveals a design or manufacturing defect that
prevents engines from meeting the requirements of this part, you must
correct the defect as soon as possible for any future production for
engines in every family affected by the defect. See 40 CFR 1068.501 for
additional requirements related to defect reporting.
* * * * *
Subpart F--[Amended]
0
135. Section 1048.501 is amended by revising paragraphs (c) and (e) and
removing paragraph (h) to read as follows:
Sec. 1048.501 How do I run a valid emission test?
* * * * *
(c) Use the fuels and lubricants specified in 40 CFR part 1065,
subpart H, to perform valid tests for all the testing we require in
this part, except as noted in Sec. 1048.515. For service accumulation,
use the test fuel or any commercially available fuel that is
representative of the fuel that in-use engines will use.
* * * * *
(e) To test engines for evaporative emissions, use the equipment
and procedures specified for testing diurnal emissions as described in
40 CFR 1060.525, subject to the following provisions:
(1) Precondition nonmetal fuel tanks as specified in 40 CFR
1060.520(a) and (b).
(2) For engines equipped with carbon canisters that store fuel
vapors that will be purged for combustion in the engine, precondition
the canister as specified in 40 CFR 86.132-96(h) and then operate the
engine for 60 minutes over repeat runs of the duty cycle specified in
Appendix I of this part.
(3) Start the diurnal emission test after the engine is stabilized
at room temperatures, but within 36 hours after the engine operation
specified in paragraph (e)(2) of this section.
(4) You may not separately measure permeation emissions from
nonmetal fuel tanks for subtracting from the diurnal emission
measurement.
(5) Note that you may omit testing for evaporative emissions during
certification if you certify by design, as specified in Sec. 1048.245.
* * * * *
0
136. Section 1048.505 is revised to read as follows:
Sec. 1048.505 What transient duty cycles apply for laboratory
testing?
This section describes how to test engines under steady-state
conditions. In some cases, we allow you to choose the appropriate
steady-state duty cycle for an engine. In these cases, you must use the
duty cycle you select in your application for certification for all
testing you perform for that engine family. If we test your engines to
confirm that they meet emission standards, we will use the duty cycles
you select for your own testing. We may also perform other testing as
allowed by the Clean Air Act.
(a) You may perform steady-state testing with either discrete-mode
or ramped-modal cycles, as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle
using the weighting factors specified for each mode. Calculate cycle
statistics and compare with the established criteria as specified in 40
CFR 1065.514 to confirm that the test is valid. Operate the engine and
sampling system as follows:
(i) Engines with lean NOX aftertreatment. For lean-burn engines
that depend on aftertreatment to meet the NOX emission
standard, operate the engine for 5-6 minutes, then sample emissions for
1-3 minutes in each mode.
(ii) Engines without lean NOX aftertreatment. For other engines,
operate the engine for at least 5 minutes, then sample emissions for at
least 1 minute in each mode.
(2) For ramped-modal testing, start sampling at the beginning of
the first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same
[[Page 59240]]
as for transient testing as specified in 40 CFR part 1065, subpart G.
(b) Measure emissions by testing the engine on a dynamometer with
one or more of the following sets of duty cycles to determine whether
it meets the steady-state emission standards in Sec. 1048.101(b):
(1) For engines from an engine family that will be used only in
variable-speed applications, use one of the following duty cycles:
(i) The following duty cycle applies for discrete-mode testing:
Table 1 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Torque Weighting
C2 mode No. Engine speed \1\ (percent) \2\ factors
----------------------------------------------------------------------------------------------------------------
1............................................. Maximum test speed.............. 25 0.06
2............................................. Intermediate test............... 100 0.02
3............................................. Intermediate test............... 75 0.05
4............................................. Intermediate test............... 50 0.32
5............................................. Intermediate test............... 25 0.30
6............................................. Intermediate test............... 10 0.10
7............................................. Warm idle....................... 0 0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.
(ii) The following duty cycle applies for ramped-modal testing:
Table 2 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed \1,2\ Torque (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.................... 119 Warm idle............. 0
1b Transition...................... 20 Linear transition..... Linear transition.
2a Steady-state.................... 29 Intermediate speed.... 100
2b Transition...................... 20 Intermediate speed.... Linear transition.
3a Steady-state.................... 150 Intermediate speed.... 10
3b Transition...................... 20 Intermediate speed.... Linear transition.
4a Steady-state.................... 80 Intermediate speed.... 75
4b Transition...................... 20 Intermediate speed.... Linear transition.
5a Steady-state.................... 513 Intermediate speed.... 25
5b Transition...................... 20 Intermediate speed.... Linear transition.
6a Steady-state.................... 549 Intermediate speed.... 50
6b Transition...................... 20 Linear transition..... Linear transition.
7a Steady-state.................... 96 Maximum test speed.... 25
7b Transition...................... 20 Linear transition..... Linear transition.
8 Steady-state..................... 124 Warm idle............. 0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.
(2) For engines from an engine family that will be used only at a
single, rated speed, use the 5-mode duty cycle or the corresponding
ramped-modal cycle described in 40 CFR part 1039, Appendix II,
paragraph (a).
(3) Use a duty cycle from both paragraphs (b)(1) and (b)(2) of this
section if you will not restrict an engine family to constant-speed or
variable-speed applications.
(4) Use a duty cycle specified in paragraph (b)(2) of this section
for all severe-duty engines.
(5) For high-load engines, use one of the following duty cycles:
(i) The following duty cycle applies for discrete-mode testing:
Table 3 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Minimum time
D1 mode No. Engine speed Torque in mode Weighting
(percent) \1\ (minutes) factors
----------------------------------------------------------------------------------------------------------------
1..................................... Maximum test............ 100 3.0 0.50
2..................................... Maximum test............ 75 3.0 0.50
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at maximum test speed.
(ii) The following duty cycle applies for discrete-mode testing:
[[Page 59241]]
Table 4 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC modes (seconds) Engine speed (percent) Torque (percent) \1,\ \2\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.................... 290 Engine governed....... 100
1b Transition...................... 20 Engine governed....... Linear transition.
2 Steady-state..................... 290 Engine governed....... 75
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.
(c) If we test an engine to confirm that it meets the duty-cycle
emission standards, we will use the steady-state duty cycles that apply
for that engine family.
(d) During idle mode, operate the engine at its warm idle speed as
described in 40 CFR 1065.510.
(e) For full-load operating modes, operate the engine at wide-open
throttle.
(f) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.
(g) For those cases where steady-state testing does not directly
follow a transient test, perform the steady-state test according to
this section after an appropriate warm-up period, consistent with 40
CFR part 1065, subpart F.
0
137. Section 1048.510 is amended to read as follows:
0
a. By revising the section heading.
0
b. By revising paragraph (a).
0
c. By removing and reserving paragraph (b).
0
d. By revising paragraph (c) introductory text and (c)(1).
Sec. 1048.510 What transient duty cycles apply for laboratory
testing?
(a) Starting with the 2007 model year, measure emissions by testing
the engine on a dynamometer with the duty cycle described in Appendix
II to determine whether it meets the transient emission standards in
Sec. 1048.101(a).
(b) [Reserved]
(c) Warm up the test engine as follows before running a transient
test:
(1) Operate the engine for the first 180 seconds of the appropriate
duty cycle, then allow it to idle without load for 30 seconds. At the
end of the 30-second idling period, start measuring emissions as the
engine operates over the prescribed duty cycle. For severe-duty
engines, this engine warm-up procedure may include up to 15 minutes of
operation over the appropriate duty cycle.
* * * * *
0
138. Section 1048.515 is amended by revising paragraph (b)(1)(i) to
read as follows:
Sec. 1048.515 What are the field-testing procedures?
* * * * *
(b) * * *
(1) * * *
(i) Average power must be at least 5 percent of maximum brake
power.
* * * * *
Subpart G--[Amended]
0
139. Section 1048.601 is revised to read as follows:
Sec. 1048.601 What compliance provisions apply to these engines?
(a) Engine and equipment manufacturers, as well as owners,
operators, and rebuilders of engines subject to the requirements of
this part, and all other persons, must observe the provisions of this
part, the requirements and prohibitions in 40 CFR part 1068, and the
provisions of the Act.
(b) This paragraph (b) describes how the replacement-engine
provisions of 40 CFR 1068.240 apply for engines subject to the
requirements of this part in conjunction with the secondary engine
manufacturer provisions in 40 CFR 1068.262. For cases in which the
secondary engine manufacturer completes assembly of the engine, these
provisions apply as written. If the secondary engine manufacturer
arranges for a third party to complete engine assembly, the following
additional provisions apply:
(1) The ultimate purchaser must purchase (or otherwise order) the
replacement engine from the secondary engine manufacturer. The
secondary engine manufacturer must provide assembly instructions to the
engine assembler (unless the engine being replaced was not subject to
emission standards). The secondary engine manufacturer may arrange for
the original engine manufacturer to ship the engine directly to the
engine assembler. However, if the secondary engine manufacturer does
not take possession of the engine, it must supply the engine label
specified in 40 CFR 1068.240 to the engine assembler and the engine
assembler must apply the label before shipping the engine.
(2) The secondary engine manufacturer and engine assembler are both
responsible if the engine is installed in new equipment or otherwise
violates the circumvention provisions of 40 CFR 1068.240.
(3) Consider the following example. A secondary engine manufacturer
receiving a valid request for a replacement engine for which it does
not already have an engine available in inventory may order a partially
complete engine from an original engine manufacturer and have it
shipped directly to an independent engine assembler. In this case, the
secondary engine manufacturer must state in its order that the
partially complete engine should be labeled as being exempt under 40
CFR 1068.240 and identify the engine assembler's address; the secondary
engine manufacture must also provide instructions to the engine
assembler. The original engine manufacturer would label the engine as
described in 40 CFR 1068.262, identifying the replacement-engine
exemption as the basis for shipping an uncertified engine, and ship the
engine directly to the assembler. The engine assembler would complete
the assembly by applying the label and otherwise following the
instructions provided by the secondary engine manufacturer.
0
140. Section 1048.605 is amended by revising the section heading and
paragraph (d)(7)(ii) to read as follows:
Sec. 1048.605 What provisions apply to engines certified under the
motor vehicle program?
* * * * *
(d) * * *
(7) * * *
(ii) List the engine or equipment models you expect to produce
under this exemption in the coming year and describe your basis for
meeting the sales restrictions of paragraph (d)(3) of this section.
* * * * *
0
141. Section 1048.610 is amended by revising the section heading and
paragraphs (d)(7)(ii) and (g) to read as follows:
[[Page 59242]]
Sec. 1048.610 What provisions apply to vehicles certified under the
motor vehicle program?
* * * * *
(d) * * *
(7) * * *
(ii) List the equipment models you expect to produce under this
exemption in the coming year and describe your basis for meeting the
sales restrictions of paragraph (d)(3) of this section.
* * * * *
(g) Participation in averaging, banking and trading. Vehicles
adapted for nonroad use under this section may generate credits under
the ABT provisions in 40 CFR part 86. These vehicles must be included
in the calculation of the applicable fleet average in 40 CFR part 86.
0
142. A new Sec. 1048.612 is added to subpart G to read as follows:
Sec. 1048.612 What is the exemption for delegated final assembly?
The provisions of 40 CFR 1068.261 related to delegated final
assembly apply for engines certified under this part 1048, with the
following exceptions and clarifications:
(a) The provisions related to reduced auditing rates in 40 CFR
1068.261(d)(3)(iii) apply starting with the 2014 model year.
(b) [Reserved]
0
143. Section 1048.615 is revised to read as follows:
Sec. 1048.615 What are the provisions for exempting engines designed
for lawn and garden applications?
This section is intended for engines designed for lawn and garden
applications, but it applies to any engines meeting the criteria in
paragraph (a) of this section.
(a) If an engine meets all the following criteria, it is exempt
from the requirements of this part:
(1) The engine must have a nominal displacement of 1000 cc or less.
(2) The engine must have a maximum engine power at or below 30 kW.
(3) The engine must be in an engine family that has a valid
certificate of conformity showing that it meets emission standards for
Class II engines under 40 CFR part 90 or 1054 for the appropriate model
year.
(b) The only requirements or prohibitions from this part that apply
to an engine that meets the criteria in paragraph (a) of this section
are in this section.
(c) If your engines do not meet the criteria listed in paragraph
(a) of this section, they will be subject to the provisions of this
part. Introducing these engines into commerce without a valid exemption
or certificate of conformity violates the prohibitions in 40 CFR
1068.101.
(d) Engines exempted under this section are subject to all the
requirements affecting engines under 40 CFR part 90 or 1054. The
requirements and restrictions of 40 CFR part 90 or 1054 apply to anyone
manufacturing these engines, anyone manufacturing equipment that uses
these engines, and all other persons in the same manner as if these
engines had a total maximum engine power at or below 19 kW.
0
144. Section 1048.620 is amended by revising the section heading to
read as follows:
Sec. 1048.620 What are the provisions for exempting large engines
fueled by natural gas or liquefied petroleum gas?
* * * * *
0
145. Section 1048.630 is revised to read as follows:
Sec. 1048.630 What are the provisions for exempting engines used
solely for competition?
We may grant you an exemption from the standards and requirements
of this part for a new engine on the grounds that it is to be used
solely for competition under the provisions of 40 CFR 1054.620. The
requirements of this part do not apply to engines that we exempt for
use solely for competition.
0
146. Section 1048.635 is amended by revising paragraph (b) to read as
follows:
Sec. 1048.635 What special provisions apply to branded engines?
* * * * *
(b) In your application for certification, identify the company
whose trademark you will use.
* * * * *
0
147. A new Sec. 1048.640 is added to subpart G to read as follows:
Sec. 1048.640 What special provisions apply for small-volume engine
manufacturers?
This section describes how we apply the special provisions in this
part for small-volume engine manufacturers.
(a) Special provisions apply for small-volume engine manufacturers,
as illustrated by the following examples:
(1) Waived requirements related to torque broadcasting. See Sec.
1048.115.
(2) Assigned deterioration factors to reduce testing burden. See
Sec. 1048.240.
(3) Additional special provisions apply for small-volume engine and
equipment manufacturers under 40 CFR part 1068. For example, see 40 CFR
1068.250.
(b) If you use any of the provisions of this part that apply
specifically to small-volume engine manufacturers and we find that you
do not qualify to use these provisions, we may consider you to be in
violation of the requirements that apply for companies that are not
small-volume engine manufacturers. If you no longer qualify as a small-
volume engine manufacturer (based on increased production volumes or
other factors), we will work with you to determine a reasonable
schedule for complying with additional requirements that apply. For
example, if you no longer qualify as a small-volume engine manufacturer
shortly before you certify your engines for the next model year, we
might allow you to use assigned deterioration factors for one more
model year.
Subpart I--[Amended]
0
148. Section 1048.801 is amended as follows:
0
a. By revising the definitions for ``Aftertreatment'', ``Constant-speed
operation'', ``Designated Compliance Officer'', ``Emission-control
system'', ``Engine configuration'', ``Low-hour'' ``Maximum engine
power'', ``Model year'', ``New nonroad engine'', ``Noncommercial
fuel'', ``Nonmethane hydrocarbon'', ``Official emission result'',
``Owners manual'', ``Oxides of nitrogen'',``Small-volume engine
manufacturer'', ``Steady-state'', ``Total hydrocarbon'', ``Total
hydrocarbon equivalent'', and ``Useful life''.
0
b. By adding definitions for ``Alcohol-fueled engine'', ``Days'',
``Engine'', and ``Sealed'' in alphabetical order.
Sec. 1048.801 What definitions apply to this part?
* * * * *
Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted
downstream of the exhaust valve (or exhaust port) whose design function
is to decrease emissions in the engine exhaust before it is exhausted
to the environment. Exhaust-gas recirculation (EGR), turbochargers, and
oxygen sensors are not aftertreatment.
* * * * *
Alcohol-fueled engine means an engine that is designed to run using
an alcohol fuel. For purposes of this definition, alcohol fuels do not
include fuels with a nominal alcohol content below 25 percent by
volume.
* * * * *
Constant-speed operation has the meaning given in 40 CFR 1065.1001.
* * * * *
Days means calendar days unless otherwise specified. For example,
where we specify working days, we mean
[[Page 59243]]
calendar days excluding weekends and U.S. national holidays.
Designated Compliance Officer means the Manager, Heavy-Duty and
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency,
1200 Pennsylvania Ave., NW., Washington, DC 20460.
* * * * *
Emission-control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
from an engine.
* * * * *
Engine has the meaning given in 40 CFR 1068.30. This includes
complete and partially complete engines.
Engine configuration means a unique combination of engine hardware
and calibration within an engine family. Engines within a single engine
configuration differ only with respect to normal production variability
or factors unrelated to emissions.
* * * * *
Low-hour means relating to an engine with stabilized emissions and
represents the undeteriorated emission level. This would generally
involve less than 125 hours of operation.
* * * * *
Maximum engine power has one of the following meanings:
(1) For engines at or below 100 kW, maximum engine power has the
meaning given in 40 CFR 90.3 for 2010 and earlier model years and in 40
CFR 1054.140 for 2011 and later model years.
(2) For engines above 100 kW, maximum engine power has the meaning
given in 40 CFR 1039.140.
* * * * *
Model year means one of the following things:
(1) For freshly manufactured equipment and engines (see definition
of ``new nonroad engine,'' paragraph (1)), model year means one of the
following:
(i) Calendar year.
(ii) Your annual new model production period if it is different
than the calendar year.
This must include January 1 of the calendar year for which the
model year is named. It may not begin before January 2 of the previous
calendar year and it must end by December 31 of the named calendar
year.
(2) For an engine that is converted to a nonroad engine after being
placed into service as a stationary engine, or being certified and
placed into service as a motor vehicle engine, model year means the
calendar year in which the engine was originally produced. For a motor
vehicle engine that is converted to be a nonroad engine without having
been certified, model year means the calendar year in which the engine
becomes a new nonroad engine. (See definition of ``new nonroad
engine,'' paragraph (2)).
(3) For a nonroad engine excluded under Sec. 1048.5 that is later
converted to operate in an application that is not excluded, model year
means the calendar year in which the engine was originally produced
(see definition of ``new nonroad engine,'' paragraph (3)).
(4) For engines that are not freshly manufactured but are installed
in new nonroad equipment, model year means the calendar year in which
the engine is installed in the new nonroad equipment (see definition of
``new nonroad engine,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new nonroad engine,'' model year has the meaning given
in paragraphs (1) through (4) of this definition.
(ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new nonroad engine,'' model year means the calendar
year in which the engine is modified.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new nonroad engine,'' model year means the calendar
year in which the engine is assembled in its imported configuration,
unless specified otherwise in this part or in 40 CFR part 1068.
* * * * *
New nonroad engine means any of the following things:
(1) A freshly manufactured nonroad engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
engine might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine is new from the time it is produced
until the ultimate purchaser receives the title or the product is
placed into service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine or
a stationary engine that is later used or intended to be used in a
piece of nonroad equipment. In this case, the engine is no longer a
motor vehicle or stationary engine and becomes a ``new nonroad
engine.'' The engine is no longer new when it is placed into nonroad
service. This paragraph (2) applies if a motor vehicle engine or a
stationary engine is installed in nonroad equipment, or if a motor
vehicle or a piece of stationary equipment is modified (or moved) to
become nonroad equipment.
(3) A nonroad engine that has been previously placed into service
in an application we exclude under Sec. 1048.5, when that engine is
installed in a piece of equipment that is covered by this part 1048.
The engine is no longer new when it is placed into nonroad service
covered by this part 1048. For example, this would apply to a marine-
propulsion engine that is no longer used in a marine vessel but is
instead installed in a piece of nonroad equipment subject to the
provisions of this part.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in new nonroad equipment.
This generally includes installation of used engines in new equipment.
The engine is no longer new when the ultimate purchaser receives a
title for the equipment or the product is placed into service,
whichever comes first.
(5) An imported nonroad engine, subject to the following
provisions:
(i) An imported nonroad engine covered by a certificate of
conformity issued under this part that meets the criteria of one or
more of paragraphs (1) through (4) of this definition, where the
original engine manufacturer holds the certificate, is new as defined
by those applicable paragraphs.
(ii) An imported engine covered by a certificate of conformity
issued under this part, where someone other than the original engine
manufacturer holds the certificate (such as when the engine is modified
after its initial assembly), is a new nonroad engine when it is
imported. It is no longer new when the ultimate purchaser receives a
title for the engine or it is placed into service, whichever comes
first.
(iii) An imported nonroad engine that is not covered by a
certificate of conformity issued under this part at the time of
importation is new. This addresses uncertified engines and equipment
initially placed into service that someone seeks to import into the
United States. Importation of this kind of engine (or equipment
containing such an engine) is generally prohibited by 40 CFR part 1068.
However, the importation of such an engine is not prohibited if the
engine has a model year before 2004, since it is not subject to
standards.
* * * * *
Noncommercial fuel means a combustible product that is not marketed
as a commercial fuel, but is used as a fuel for nonroad engines. For
example, this includes methane that is produced and released from
landfills or oil wells, or similar unprocessed fuels that are not
intended to meet any otherwise applicable fuel specifications. See
Sec. 1048.625 for provisions related to
[[Page 59244]]
engines designed to burn noncommercial fuels.
* * * * *
Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
* * * * *
Official emission result means the measured emission rate for an
emission-data engine on a given duty cycle before the application of
any deterioration factor.
Owners manual means a document or collection of documents prepared
by the engine manufacturer for the owner or operator to describe
appropriate engine maintenance, applicable warranties, and any other
information related to operating or keeping the engine. The owners
manual is typically provided to the ultimate purchaser at the time of
sale. The owners manual may be in paper or electronic format.
Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
* * * * *
Sealed has the meaning given in 40 CFR 1060.801.
* * * * *
Small-volume engine manufacturer means a company meeting either of
the following characteristics:
(1) An engine manufacturer with U.S.-directed production volumes of
engines subject to the requirements of this part totaling no more than
2,000 units in any year. This includes engines produced by parent or
subsidiary companies.
(2) An engine manufacturer with fewer than 200 employees. This
includes any employees working for parent or subsidiary companies.
* * * * *
Steady-state has the meaning given in 40 CFR 1065.1001.
* * * * *
Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This
generally means the combined mass of organic compounds measured by the
specified procedure for measuring total hydrocarbon, expressed as a
hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001.
* * * * *
Useful life means the period during which the engine is designed to
properly function in terms of reliability and fuel consumption, without
being remanufactured, specified as a number of hours of operation or
calendar years, whichever comes first. It is the period during which a
nonroad engine is required to comply with all applicable emission
standards. See Sec. 1048.101(g). If an engine has no hour meter, the
specified number of hours does not limit the period during which an in-
use engine is required to comply with emission standards unless the
degree of service accumulation can be verified separately.
* * * * *
0
149. Section 1048.810 is revised to read as follows:
Sec. 1048.810 What materials does this part reference?
Documents listed in this section have been incorporated by
reference into this part. The Director of the Federal Register approved
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and
Radiation Docket and Information Center, 1301 Constitution Ave., NW.,
Room B102, EPA West Building, Washington, DC 20460 or at the National
Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(a) SAE material. Table 1 of this section lists material from the
Society of Automotive Engineers that we have incorporated by reference.
The first column lists the number and name of the material. The second
column lists the sections of this part where we reference it. Anyone
may purchase copies of these materials from the Society of Automotive
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or http://www.sae.org. Table 1 follows:
Table 1 of Sec. 1048.810--SAE Materials
------------------------------------------------------------------------
Part 1048
Document number and name reference
------------------------------------------------------------------------
SAE J2260, Nonmetallic Fuel System Tubing with One or 1048.105
More Layers, November 2004.............................
------------------------------------------------------------------------
(b) ISO material. Table 2 of this section lists material from the
International Organization for Standardization that we have
incorporated by reference. The first column lists the number and name
of the material. The second column lists the section of this part where
we reference it. Anyone may purchase copies of these materials from the
International Organization for Standardization, Case Postale 56, CH-
1211 Geneva 20, Switzerland or http://www.iso.org. Table 2 follows:
Table 2 of Sec. 1048.810--ISO Materials
------------------------------------------------------------------------
Part 1048
Document number and name reference
------------------------------------------------------------------------
ISO 9141-2 Road vehicles--Diagnostic systems--Part 2: 1048.110
CARB requirements for interchange of digital
information, February 1994.............................
ISO 14230-4 Road vehicles--Diagnostic systems--Keyword 1048.110
Protocol 2000--Part 4: Requirements for emission-
related systems, June 2000.............................
------------------------------------------------------------------------
[[Page 59245]]
0
150. A new Sec. 1048.825 is added to read as follows:
Sec. 1048.825 What reporting and recordkeeping requirements apply
under this part?
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. The following
items illustrate the kind of reporting and recordkeeping we require for
engines and equipment regulated under this part:
(a) We specify the following requirements related to engine
certification in this part 1048:
(1) In Sec. 1048.20 we require manufacturers of stationary engines
to label their engines in certain cases.
(2) In Sec. 1048.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to equipment
manufacturers.
(3) In Sec. 1048.145 we include various reporting and
recordkeeping requirements related to interim provisions.
(4) In subpart C of this part we identify a wide range of
information required to certify engines.
(5) In Sec. Sec. 1048.345 and 1048.350 we specify certain records
related to production-line testing.
(6) In Sec. Sec. 1048.420 and 1048.425 we specify certain records
related to in-use testing.
(7) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
(b) [Reserved]
(c) We specify the following requirements related to testing in 40
CFR part 1065:
(1) In 40 CFR 1065.2 we give an overview of principles for
reporting information.
(2) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
(3) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
(4) In 40 CFR 1065.695 we identify data that may be appropriate for
collecting during testing of in-use engines using portable analyzers.
(d) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
(1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
(3) In 40 CFR 1068.27 we require manufacturers to make engines
available for our testing or inspection if we make such a request.
(4) In 40 CFR 1068.105 we require equipment manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
(5) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
(6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
(7) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines.
(8) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines in a selective enforcement
audit.
(9) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
(10) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming engines.
Appendix I--[Reserved]
0
151. Appendix I to part 1048 is removed and reserved.
PART 1051--CONTROL OF EMISSIONS FROM RECREATIONAL ENGINES AND
VEHICLES
0
152. The authority citation for part 1051 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
153. Section 1051.1 is amended by revising paragraph (a)(4) to read as
follows:
Sec. 1051.1 Does this part apply for my vehicles or engines?
(a) * * *
(4) Offroad utility vehicles with engines with displacement less
than or equal to 1000 cc, maximum engine power less than or equal to 30
kW, and maximum vehicle speed higher than 25 miles per hour. Offroad
utility vehicles that are subject to this part are subject to the same
requirements as ATVs. This means that any requirement that applies to
ATVs also applies to these offroad utility vehicles, without regard to
whether the regulatory language mentions offroad utility vehicles.
* * * * *
0
154. A new Sec. 1051.2 is added to read as follows:
Sec. 1051.2 Who is responsible for compliance?
The regulations in this part 1051 contain provisions that affect
both vehicle manufacturers and others. However, the requirements of
this part are generally addressed to the vehicle manufacturer. The term
``you'' generally means the vehicle manufacturer, as defined in Sec.
1051.801, especially for issues related to certification (including
production-line testing, reporting, etc.).
0
155. Section 1051.5 is amended by revising paragraph (a) to read as
follows:
Sec. 1051.5 Which engines are excluded from this part's requirements?
(a)(1) You may exclude vehicles with compression-ignition engines.
See 40 CFR parts 89 and 1039 for regulations that cover these engines.
(2) Vehicles with a combined total vehicle dry weight under 20.0
kilograms are excluded from this part. Spark-ignition engines in these
vehicles must instead meet emission standards specified in 40 CFR parts
90 and 1054. See 40 CFR 90.103(a) and the definition of handheld in 40
CFR 1054.801.
* * * * *
0
156. Section 1051.10 is amended by revising the introductory text to
read as follows:
Sec. 1051.10 How is this part organized?
This part 1051 is divided into the following subparts:
* * * * *
0
157. Section 1051.15 is amended by redesignating paragraphs (b) and (c)
as paragraphs (c) and (d) and adding a new paragraph (b) to read as
follows:
Sec. 1051.15 Do any other regulation parts apply to me?
* * * * *
(b) Part 1060 of this chapter describes standards and procedures
that optionally apply for controlling evaporative emissions from
engines fueled by gasoline or other volatile liquid fuels and the
associated fuel systems.
* * * * *
0
158. Section 1051.25 is amended by revising paragraphs (a) and (c) to
read as follows:
Sec. 1051.25 What requirements apply when installing certified
engines in recreational vehicles?
(a) If you manufacture recreational vehicles with engines certified
under Sec. 1051.20, you must certify your vehicle with respect to the
evaporative emission standards in Sec. 1051.110, but you need
[[Page 59246]]
not certify the vehicle with respect to exhaust emissions under this
part. The vehicle must nevertheless meet all emission standards with
the engine installed. You must also label fuel tanks and fuel lines as
specified in Sec. 1051.135(d).
* * * * *
(c) If you obscure the engine label while installing the engine in
the vehicle such that the label cannot be read during normal
maintenance, you must place a duplicate label on the vehicle as
described in 40 CFR 1068.105.
Subpart B--[Amended]
0
159. Section 1051.103 is amended by revising paragraphs (b)(1), (b)(2),
and (b)(3) to read as follows:
Sec. 1051.103 What are the exhaust emission standards for
snowmobiles?
* * * * *
(b) * * *
(1) Natural gas-fueled snowmobiles: NMHC emissions.
(2) Alcohol-fueled snowmobiles: THCE emissions.
(3) Other snowmobiles: THC emissions.
* * * * *
0
160. Section 1051.105 is amended by revising paragraphs (b)(1), (b)(2),
and (b)(3) to read as follows:
Sec. 1051.105 What are the exhaust emission standards for off-highway
motorcycles?
* * * * *
(b) * * *
(1) Natural gas-fueled off-highway motorcycles: NMHC emissions.
(2) Alcohol-fueled off-highway motorcycles: THCE emissions.
(3) Other off-highway motorcycles: THC emissions.
* * * * *
0
161. Section 1051.107 is amended by revising paragraphs (b)(1), (b)(2),
and (b)(3) to read as follows:
Sec. 1051.107 What are the exhaust emission standards for all-terrain
vehicles (ATVs) and offroad utility vehicles?
* * * * *
(b) * * *
(1) Natural gas-fueled ATVs: NMHC emissions.
(2) Alcohol-fueled ATVs: THCE emissions.
(3) Other ATVs: THC emissions.
* * * * *
0
162. Section 1051.110 is amended by revising the introductory text and
adding paragraph (c) to read as follows:
Sec. 1051.110 What evaporative emission standards must my vehicles
meet?
Your new vehicles that run on a volatile liquid fuel (such as
gasoline) must meet the emission standards of this section over their
full useful life. Note that Sec. 1051.245 allows you to use design-
based certification instead of generating new emission data.
* * * * *
(c) You may certify your fuel tanks and fuel lines under the
provisions of 40 CFR part 1060. You may also specify in your
application for certification that you are using components that have
been certified by the component manufacturer.
0
163. Section 1051.115 is amended by revising the section heading and
introductory text to read as follows:
Sec. 1051.115 What other requirements apply?
Vehicles that are required to meet the emission standards of this
part must meet the following requirements:
* * * * *
0
164. Section 1051.120 is amended by revising paragraph (c) to read as
follows:
Sec. 1051.120 What emission-related warranty requirements apply to
me?
* * * * *
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including components listed in 40 CFR part 1068,
Appendix I, and components from any other system you develop to control
emissions. The emission-related warranty covers these components even
if another company produces the component. Your emission-related
warranty does not cover components whose failure would not increase an
engine's emissions of any regulated pollutant.
* * * * *
0
165. Section 1051.125 is amended by revising paragraphs (a)(1)(iii) and
(d) to read as follows:
Sec. 1051.125 What maintenance instructions must I give to buyers?
* * * * *
(a) * * *
(1) * * *
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
* * * * *
(d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (i.e., maintenance that is neither
explicitly identified as critical emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-related maintenance generally includes changing spark plugs,
re-seating valves, or any other emission-related maintenance on the
components we specify in 40 CFR part 1068, Appendix I that is not
covered in paragraph (a) of this section. You must state in the owner's
manual that these steps are not necessary to keep the emission-related
warranty valid. If operators fail to do this maintenance, this does not
allow you to disqualify those vehicles from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps
during service accumulation on your emission-data vehicles.
* * * * *
0
166. Section 1051.135 is amended to read as follows:
0
a. By revising paragraphs (c)(6), (c)(7), and (c)(8).
0
b. By adding a new paragraph (c)(13).
0
d. By removing and reserving paragraph (f).
Sec. 1051.135 How must I label and identify the vehicles I produce?
* * * * *
(c) * * *
(6) State the date of manufacture [DAY (optional), MONTH, and
YEAR]; however, you may omit this from the label if you stamp, engrave,
or otherwise permanently identify it elsewhere on the vehicle or
engine, in which case you must also describe in your application for
certification where you will identify the date on the vehicle or
engine.
(7) State the exhaust emission standards or FELs to which the
vehicles are certified (in g/km or g/kW-hr). Also, state the FEL that
applies for the fuel tank if it is different than the otherwise
applicable standard.
(8) Identify the emission-control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owner's manual instead.
* * * * *
(13) Identify evaporative emission controls as specified in 40 CFR
1060.135.
* * * * *
0
167. Section 1051.137 is amended by revising the introductory text to
read as follows:
[[Page 59247]]
Sec. 1051.137 What are the consumer labeling requirements?
Label every vehicle certified under this part with a removable
hang-tag showing its emission characteristics relative to other models.
The label should be attached securely to the vehicle before it is
offered for sale in such a manner that it would not be accidentally
removed prior to sale. Use the applicable equations of this section to
determine the normalized emission rate (NER) from the FEL for your
vehicle. If the vehicle is certified without a family emission limit
that is different than the otherwise applicable standard, use the final
deteriorated emission level. Round the resulting normalized emission
rate for your vehicle to one decimal place. If the calculated NER value
is less than zero, consider NER to be zero for that vehicle. We may
specify a standardized format for labels. At a minimum, the tag should
include: the manufacturer's name, vehicle model name, engine
description (500 cc two-stroke with DFI), the NER, and a brief
explanation of the scale (for example, note that 0 is the cleanest and
10 is the least clean).
* * * * *
0
168. A new Sec. 1051.140 is added to read as follows:
Sec. 1051.140 What is my vehicle's maximum engine power and
displacement?
This section describes how to quantify your vehicle's maximum
engine power and displacement for the purposes of this part.
(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest 0.5 kilowatts. The nominal power curve of an engine
configuration is the relationship between maximum available engine
brake power and engine speed for an engine, using the mapping
procedures of 40 CFR part 1065, based on the manufacturer's design and
production specifications for the engine. This information may also be
expressed by a torque curve that relates maximum available engine
torque with engine speed.
(b) An engine configuration's displacement is the intended swept
volume of the engine rounded to the nearest cubic centimeter. The swept
volume of the engine is the product of the internal cross-section area
of the cylinders, the stroke length, and the number of cylinders. For
example, for a one-cylinder engine with a circular cylinder having an
internal diameter of 6.00 cm and a 6.25 cm stroke length, the rounded
displacement would be: (1)x(6.00/2) 2 x ([pi]) x (6.25) =
177 cc. Calculate the engine's intended swept volume from the design
specifications for the cylinders using enough significant figures to
allow determination of the displacement to the nearest 0.1 cc.
(c) The nominal power curve and intended swept volume must be
within the range of the actual power curves and swept volumes of
production engines considering normal production variability. If after
production begins it is determined that either your nominal power curve
or your intended swept volume does not represent production engines, we
may require you to amend your application for certification under Sec.
1051.225.
0
169. Section 1051.145 is amended by revising paragraphs (b) and (e)(1)
and adding paragraph (i) to read as follows:
Sec. 1051.145 What provisions apply only for a limited time?
* * * * *
(b) Optional emission standards for ATVs. To meet ATV standards for
model years before 2014, you may apply the exhaust emission standards
by model year in paragraph (b)(1) of this section while measuring
emissions using the engine-based test procedures in 40 CFR part 1065
instead of the chassis-based test procedures in 40 CFR part 86. In
model year 2014 you may apply this provision for exhaust emission
engine families representing up to 50 percent of your U.S.-directed
production volume. This provision is not available in the 2015 or
later-model years. If you certify only one ATV exhaust emission engine
family in the 2014 model year this provision is available for that
family in the 2014 model year.
(1) Follow Table 1 of this section for exhaust emission standards,
while meeting all the other requirements of Sec. 1051.107. You may use
emission credits to show compliance with these standards (see subpart H
of this part). You may not exchange emission credits with engine
families meeting the standards in Sec. 1051.107(a). You may also not
exchange credits between engine families certified to the standards for
engines above 225 cc and engine families certified to the standards for
engines below 225 cc. The phase-in percentages in the table specify the
percentage of your total U.S.-directed production that must comply with
the emission standards for those model years (i.e., the percentage
requirement does not apply separately for engine families above and
below 225 cc). Table 1 follows:
Table 1 of Sec. 1051.145--Optional Exhaust Emission Standards for ATVs (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
Emission standards Maximum
-------------------------------- allowable
family
Engine displacement Model year Phase-in emission
HC+NOX CO limits
---------------
HC+NOX
----------------------------------------------------------------------------------------------------------------
<225 cc....................... 2006............ 50% 16.1 400 32.2
2007 and later.. 100 16.1 400 32.2
>=225 cc...................... 2006............ 50 13.4 400 26.8
2007 and later.. 100 13.4 400 26.8
----------------------------------------------------------------------------------------------------------------
(2) Measure emissions by testing the engine on a dynamometer with
the steady-state duty cycle described in Table 2 of this section.
(i) During idle mode, hold the speed within your specifications,
keep the throttle fully closed, and keep engine torque under 5 percent
of the peak torque value at maximum test speed.
(ii) For the full-load operating mode, operate the engine at its
maximum fueling rate.
(iii) See part 1065 of this chapter for detailed specifications of
tolerances and calculations.
(iv) Table 2 follows:
[[Page 59248]]
Table 2 of Sec. 1051.145--6-Mode Duty Cycle for Recreational Engines
----------------------------------------------------------------------------------------------------------------
Torque
Engine speed (percent of (percent of Minimum time Weighting
Mode No. maximum test speed) maximum torque in mode factors
at test speed) (minutes)
----------------------------------------------------------------------------------------------------------------
1..................................... 85...................... 100 5.0 0.09
2..................................... 85...................... 75 5.0 0.20
3..................................... 85...................... 50 5.0 0.29
4..................................... 85...................... 25 5.0 0.30
5..................................... 85...................... 10 5.0 0.07
6..................................... Idle.................... 0 5.0 0.05
----------------------------------------------------------------------------------------------------------------
(3) For ATVs certified to the standards in this paragraph (b), use
the following equations to determine the normalized emission rate
required by Sec. 1051.137:
(i) For engines at or above 225 cc, use the following equation:
NER = 9.898 x log (HC+NOX) -4.898
Where:
HC + NOX is the sum of the cycle-weighted emission rates
for hydrocarbons and oxides of nitrogen in g/kW-hr.
(ii) For engines below 225 cc, use the following equation:
NER = 9.898 x log [(HC+NOX) x 0.83] -4.898
Where:
HC + NOX is the sum of the cycle-weighted emission rates
for hydrocarbons and oxides of nitrogen in g/kW-hr.
* * * * *
(e) * * *
(1) Snowmobile. You may use the raw sampling procedures described
in 40 CFR part 90 or 91 for snowmobiles subject to Phase 1 or Phase 2
standards.
* * * * *
(i) Delayed compliance with labeling requirements. Before the 2010
model year, you may omit the date of manufacture from the emission
control information label if you keep those records and provide them to
us upon request. Before the 2010 model year, you may also omit the
label information specified for evaporative emission controls.
Subpart C--[Amended]
0
170. Section 1051.201 is amended by revising paragraph (a) to read as
follows:
Sec. 1051.201 What are the general requirements for obtaining a
certificate of conformity?
(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date, but it is not valid for any
production after December 31 of the model year for which it is issued.
No certificate will be issued after December 31 of the model year.
* * * * *
0
171. Section 1051.205 is amended by revising paragraphs (b), (o)(1),
(p), (t), and (w) to read as follows:
Sec. 1051.205 What must I include in my application?
* * * * *
(b) Explain how the emission control systems operate. Describe the
evaporative emission controls. Also describe in detail all system
components for controlling exhaust emissions, including all auxiliary
emission control devices (AECDs) and all fuel-system components you
will install on any production or test vehicle or engine. Identify the
part number of each component you describe. For this paragraph (b),
treat as separate AECDs any devices that modulate or activate
differently from each other. Include sufficient detail to allow us to
evaluate whether the AECDs are consistent with the defeat device
prohibition of Sec. 1051.115.
* * * * *
(o) * * *
(1) Present exhaust emission data for hydrocarbons (such as NMHC or
THCE, as applicable), NOX, and CO on an emission-data
vehicle to show your vehicles meet the exhaust emission standards as
specified in subpart B of this part. Show emission figures before and
after applying deterioration factors for each vehicle or engine. If we
specify more than one grade of any fuel type (for example, a summer
grade and winter grade of gasoline), you need to submit test data only
for one grade unless the regulations of this part specify otherwise for
your engine.
* * * * *
(p) Report all test results, including those from invalid tests or
from any other tests, whether or not they were conducted according to
the test procedures of subpart F of this part. If you measure
CO2, report those emission levels (in g/kW-hr or g/km, as
appropriate). We may ask you to send other information to confirm that
your tests were valid under the requirements of this part and 40 CFR
part 1065.
* * * * *
(t) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes
if they are substantially different than actual production volumes in
earlier years for similar models.
* * * * *
(w) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.
0
172. Section 1051.220 is amended by revising the introductory text and
paragraph (a) to read as follows:
Sec. 1051.220 How do I amend the maintenance instructions in my
application?
You may amend your emission-related maintenance instructions after
you submit your application for certification as long as the amended
instructions remain consistent with the provisions of Sec. 1051.125.
You must send the Designated Compliance Officer a request to amend your
application for certification for an engine family if you want to
change the emission-related maintenance instructions in a way that
could affect emissions. In your request, describe the proposed changes
to the maintenance instructions. If operators follow the original
maintenance instructions rather than the newly specified maintenance,
this does not allow you to disqualify those engines from in-use testing
or deny a warranty claim.
(a) If you are decreasing, replacing, or eliminating any specified
maintenance, you may distribute the new maintenance instructions to
your customers 30 days after we receive your request, unless we
disapprove your request. This would generally include
[[Page 59249]]
replacing one maintenance step with another. We may approve a shorter
time or waive this requirement.
* * * * *
0
173. Section 1051.225 is revised to read as follows:
Sec. 1051.225 How do I amend my application for certification to
include new or modified vehicle configurations or to change an FEL?
Before we issue you a certificate of conformity, you may amend your
application to include new or modified vehicle configurations, subject
to the provisions of this section. After we have issued your
certificate of conformity, you may send us an amended application
requesting that we include new or modified vehicle configurations
within the scope of the certificate, subject to the provisions of this
section. You must amend your application if any changes occur with
respect to any information included in your application.
(a) You must amend your application before you take any of the
following actions:
(1) Add a vehicle configuration to an engine family. In this case,
the vehicle configuration added must be consistent with other vehicle
configurations in the engine family with respect to the criteria listed
in Sec. 1051.230.
(2) Change a vehicle configuration already included in an engine
family in a way that may affect emissions, or change any of the
components you described in your application for certification. This
includes production and design changes that may affect emissions any
time during the engine's lifetime.
(3) Modify an FEL for an engine family, as described in paragraph
(f) of this section.
(b) To amend your application for certification, send the
Designated Compliance Officer the following information:
(1) Describe in detail the addition or change in the vehicle model
or configuration you intend to make.
(2) Include engineering evaluations or data showing that the
amended engine family complies with all applicable requirements. You
may do this by showing that the original emission-data vehicle is still
appropriate for showing that the amended family complies with all
applicable requirements.
(3) If the original emission-data vehicle for the engine family is
not appropriate to show compliance for the new or modified vehicle
configuration, include new test data showing that the new or modified
vehicle configuration meets the requirements of this part.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your new or modified vehicle configuration. You may
ask for a hearing if we deny your request (see Sec. 1051.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified vehicle
configuration anytime after you send us your amended application,
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected vehicles do not meet applicable
requirements, we will notify you to cease production of the vehicles
and may require you to recall the vehicles at no expense to the owner.
Choosing to produce vehicles under this paragraph (e) is deemed to be
consent to recall all vehicles that we determine do not meet applicable
emission standards or other requirements and to remedy the
nonconformity at no expense to the owner. If you do not provide
information required under paragraph (c) of this section within 30 days
after we request it, you must stop producing the new or modified
vehicle configuration.
(f) You may ask us to approve a change to your FEL in certain cases
after the start of production. The changed FEL may not apply to
vehicles you have already introduced into commerce, except as described
in this paragraph (f). If we approve a changed FEL after the start of
production, you must include the new FEL on the emission control
information label for all vehicles produced after the change. You may
ask us to approve a change to your FEL in the following cases:
(1) You may ask to raise your FEL for your engine family at any
time. In your request, you must show that you will still be able to
meet the emission standards as specified in subparts B and H of this
part. If you amend your application by submitting new test data to
include a newly added or modified vehicle, as described in paragraph
(b)(3) of this section, use the appropriate FELs with corresponding
production volumes to calculate your average emission level for the
model year, as described in subpart H of this part. In all other
circumstances, you must use the higher FEL for the entire family to
calculate your average emission level under subpart H of this part.
(2) You may ask to lower the FEL for your engine family only if you
have test data from production engines showing that the engines have
emissions below the proposed lower FEL. The lower FEL applies only to
engines you produce after we approve the new FEL. Use the appropriate
FELs with corresponding production volumes to calculate your average
emission level for the model year, as described in subpart H of this
part.
0
174. Section 1051.230 is amended by revising the paragraphs (a),
(b)(8), and (e)(1) to read as follows:
Sec. 1051.230 How do I select engine families?
(a) For purposes of certification, divide your product line into
families of vehicles as described in this section. Except as specified
in paragraph (f) of this section, you must have separate engine
families for meeting exhaust and evaporative emissions. Your engine
family is limited to a single model year.
(b) * * *
(8) Numerical level of the emission standards that apply to the
vehicle. For example, an engine family may not include vehicles
certified to different family emission limits, though you may change
family emission limits without recertifying as specified in Sec.
1051.225.
* * * * *
(e) * * *
(1) In unusual circumstances, you may group such vehicles in the
same engine family if you show that their emission characteristics
during the useful life will be similar.
* * * * *
0
175. Section 1051.235 is amended by revising paragraphs (c)(4), (d)(1)
introductory text, and (d)(1)(i) to read as follows:
Sec. 1051.235 What emission testing must I perform for my application
for a certificate of conformity?
* * * * *
(c) * * *
(4) Before we test one of your vehicles or engines, we may
calibrate it within normal production tolerances for anything we do not
consider an adjustable parameter. For example, this would apply where
we determine that an engine parameter is not an adjustable parameter
(as defined in Sec. 1051.801) but that it is subject to production
variability.
(d) * * *
(1) You may ask to use carryover emission data from a previous
model year instead of doing new tests, but only if all the following
are true:
(i) The engine family from the previous model year differs from the
current engine family only with respect to model year or other
characteristics
[[Page 59250]]
unrelated to emissions. You may also ask to add a configuration subject
to Sec. 1051.225.
* * * * *
0
176. Section 1051.240 is amended by revising paragraphs (a), (b), and
(c)(1) to read as follows:
Sec. 1051.240 How do I demonstrate that my engine family complies
with exhaust emission standards?
(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical exhaust emission standards
in subpart B of this part if all emission-data vehicles representing
that family have test results showing deteriorated emission levels at
or below these standards. This includes all test points over the course
of the durability demonstration. (Note: if you participate in the ABT
program in subpart H of this part, your FELs are considered to be the
applicable emission standards with which you must comply.)
(b) Your engine family is deemed not to comply if any emission-data
vehicle representing that family has test results showing a
deteriorated emission level for any pollutant that is above an
applicable FEL or emission standard. This includes all test points over
the course of the durability demonstration.
(c) * * *
(1) For vehicles that use aftertreatment technology, such as
catalytic converters, use a multiplicative deterioration factor for
exhaust emissions. A multiplicative deterioration factor is the ratio
of exhaust emissions at the end of the useful life and exhaust
emissions at the low-hour test point. In these cases, adjust the
official emission results for each tested vehicle or engine at the
selected test point by multiplying the measured emissions by the
deterioration factor. If the factor is less than one, use one.
Multiplicative deterioration factors must be specified to three
significant figures.
* * * * *
0
177. Section 1051.243 is amended by revising the introductory text and
paragraphs (b)(6) and (c)(1) to read as follows:
Sec. 1051.243 How do I determine deterioration factors from exhaust
durability testing?
This section describes how to determine deterioration factors,
either with pre-existing test data or with new emission measurements.
* * * * *
(b) * * *
(6) You may use other testing methods to determine deterioration
factors, consistent with good engineering judgment, as long as we
approve those methods in advance.
(c) * * *
(1) If you determine your deterioration factors based on test data
from a different engine family, explain why this is appropriate and
include all the emission measurements on which you base the
deterioration factor.
* * * * *
0
178. Section 1051.245 is amended by revising paragraph (e) to read as
follows:
Sec. 1051.245 How do I demonstrate that my engine family complies
with evaporative emission standards?
* * * * *
(e) You may demonstrate for certification that your engine family
complies with the evaporative emission standards by demonstrating that
you use the following control technologies:
(1) For certification to the standards specified in Sec.
1051.110(a) with the control technologies shown in the following table:
Table 1 of Sec. 1051.245--Design-certification Technologies for
Controlling Tank Permeation
------------------------------------------------------------------------
Then you may design-certify
If the tank permeability control with a tank emission level
technology is . . . of . . .
------------------------------------------------------------------------
(i) A metal fuel tank with no non-metal 1.5 g/m2/day.
gaskets or with gaskets made from a low-
permeability material.
(ii) A metal fuel tank with non-metal 1.5 g/m2/day.
gaskets with an exposed surface area of
1000 mm2 or less.
------------------------------------------------------------------------
(2) For certification to the standards specified in Sec.
1051.110(b) with the control technologies shown in the following table:
Table 2 of Sec. 1051.245--Design-certification Technologies for
Controlling Fuel-line Permeation
------------------------------------------------------------------------
Then you may design-certify
If the fuel-line permeability control with a fuel line permeation
technology is . . . emission level of . . .
------------------------------------------------------------------------
(i) Hose meeting the specifications for 15 g/m2/day.
Low Emission Fuel Lines as described in
40 CFR 1048.105.
(ii) Hose meeting the R11-A or R12 15 g/m2/day.
permeation specifications in SAE J30 as
described in 40 CFR 1060.810.
------------------------------------------------------------------------
0
179. Section 1051.250 is amended as follows:
0
a. By removing paragraph (d).
0
b. By redesignating paragraphs (a) through (c) as paragraphs (b)
through (d), respectively.
0
c. By adding a new paragraph (a).
0
d. By revising the newly redesignated paragraph (c).
Sec. 1051.250 What records must I keep and make available to EPA?
(a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec. 1051.345.
In addition, within 45 days after the end of the model year, you must
send us a report describing information about vehicles you produced
during the model year as follows:
(1) State the total production volume for each engine family that
is not subject to reporting under Sec. 1051.345.
(2) State the total production volume for any engine family for
which you produce vehicles after completing the reports required in
Sec. 1051.345.
(3) For production volumes you report under this paragraph (a),
identify whether or not the figures include California sales. Include a
separate count of production volumes for California sales if those
figures are available.
* * * * *
(c) Keep data from routine emission tests (such as test cell
temperatures and relative humidity readings) for one year after we
issue the associated certificate of conformity. Keep all other
information specified in this section for eight years after we issue
your certificate.
* * * * *
Subpart D--[Amended]
0
180. Section 1051.301 is amended by revising paragraphs (a), (c), (d),
(e), and (h) introductory text to read as follows:
[[Page 59251]]
Sec. 1051.301 When must I test my production-line vehicles or
engines?
(a) If you produce vehicles that are subject to the requirements of
this part, you must test them as described in this subpart, except as
follows:
(1) Small-volume manufacturers may omit testing under this subpart.
(2) We may exempt engine families with a projected U.S.-directed
production volume below 150 units from routine testing under this
subpart. Request this exemption in your application for certification
and include your basis for projecting a production volume below 150
units. We will approve your request if we agree that you have made
good-faith estimates of your production volumes. Your exemption is
approved when we grant your certificate. You must promptly notify us if
your actual production exceeds 150 units during the model year. If you
exceed the production limit or if there is evidence of a nonconformity,
we may require you to test production-line engines under this subpart,
or under 40 CFR part 1068, subpart E, even if we have approved an
exemption under this paragraph (a)(2).
* * * * *
(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not
affect our ability to do selective enforcement audits, as described in
part 1068 of this chapter. Individual vehicles and engines in families
that pass these production-line testing requirements must also conform
to all applicable regulations of this part and part 1068 of this
chapter.
(d) You may use alternate programs for testing production-line
vehicles or engines in the following circumstances:
(1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the
otherwise applicable requirements in 40 CFR part 1065 for laboratory
testing, to demonstrate compliance with emission standards if you
double the minimum sampling rate specified in Sec. 1054.310(b). Use
measured test results to determine whether vehicles or engines comply
with applicable standards without applying a measurement allowance.
This alternate program does not require prior approval but we may
disallow use of this option where we determine that use of field-grade
equipment would prevent you from being able to demonstrate that your
vehicles or engines are being produced to conform to the specifications
in your application for certification.
(2) You may ask to use another alternate program for testing
production-line vehicles or engines. In your request, you must show us
that the alternate program gives equal assurance that your products
meet the requirements of this part. We may waive some or all of this
subpart's requirements if we approve your alternate approach. For
example, in certain circumstances you may be able to give us equal
assurance that your products meet the requirements of this part by
using less rigorous measurement methods if you offset that by
increasing the number of test vehicles or engines.
(e) If you certify an engine family with carryover emission data,
as described in Sec. 1051.235(d), and these equivalent engine families
consistently pass the production-line testing requirements over the
preceding two-year period, you may ask for a reduced testing rate for
further production-line testing for that family. The minimum testing
rate is one vehicle or engine per engine family. If we reduce your
testing rate, we may limit our approval to any number of model years.
In determining whether to approve your request, we may consider the
number of vehicles or engines that have failed the emission tests.
* * * * *
(h) Vehicles certified to the following standards are exempt from
the production-line testing requirements of this subpart if no engine
families in the averaging set have family emission limits that are
different than the otherwise applicable standard:
* * * * *
0
181. Section 1051.305 is amended by adding introductory text and
revising paragraphs (d) and (g) to read as follows:
Sec. 1051.305 How must I prepare and test my production-line vehicles
or engines?
This section describes how to prepare and test production-line
vehicles or engines. Test the engine if your vehicle is certified to g/
kW-hr standards; otherwise test the vehicle. You must assemble the test
vehicle or engine in a way that represents the assembly procedures for
other vehicles or engines in the engine family. You must ask us to
approve any deviations from your normal assembly procedures for other
production vehicles or engines in the engine family.
* * * * *
(d) Setting adjustable parameters. Before any test, we may require
you to adjust any adjustable parameter to any setting within its
physically adjustable range.
(1) We may require you to adjust idle speed outside the physically
adjustable range as needed, but only until the vehicle or engine has
stabilized emission levels (see paragraph (e) of this section). We may
ask you for information needed to establish an alternate minimum idle
speed.
(2) We may specify adjustments within the physically adjustable
range by considering their effect on emission levels. We may also
consider how likely it is that someone will make such an adjustment
with in-use vehicles.
(3) We may specify an air-fuel ratio within the adjustable range
specified in Sec. 1051.115(d).
* * * * *
(g) Retesting after invalid tests. You may retest a vehicle or
engine if you determine an emission test is invalid under subpart F of
this part. Explain in your written report reasons for invalidating any
test and the emission results from all tests. If we determine that you
improperly invalidated a test, we may require you to ask for our
approval for future testing before substituting results of the new
tests for invalid ones.
0
182. Section 1051.310 is amended by revising paragraphs (a), (b), (c)
introductory text, (c)(2), (f), (g), and (h) to read as follows:
Sec. 1051.310 How must I select vehicles or engines for production-
line testing?
(a) Test engines from each engine family as described in this
section based on test periods, as follows:
(1) For engine families with projected U.S.-directed production
volume of at least 1,600, the test periods are consecutive quarters (3
months). However, if your annual production period is less than 12
months long, you may take the following alternative approach to define
quarterly test periods:
(i) If your annual production period is 120 days or less, the whole
model year constitutes a single test period.
(ii) If your annual production period is 121 to 210 days, divide
the annual production period evenly into two test periods.
(iii) If your annual production period is 211 to 300 days, divide
the annual production period evenly into three test periods.
(iv) If your annual production period is 301 days or longer, divide
the annual production period evenly into four test periods.
(2) For engine families with projected U.S.-directed production
volume below
[[Page 59252]]
1,600, the whole model year constitutes a single test period.
(b) Early in each test period, randomly select and test an engine
from the end of the assembly line for each engine family.
(1) In the first test period for newly certified engines, randomly
select and test one more engine. Then, calculate the required sample
size for the model year as described in paragraph (c) of this section.
(2) In later test periods of the same model year, combine the new
test result with all previous testing in the model year. Then,
calculate the required sample size for the model year as described in
paragraph (c) of this section.
(3) In the first test period for engine families relying on
previously submitted test data, combine the new test result with the
last test result from the previous model year. Then, calculate the
required sample size for the model year as described in paragraph (c)
of this section. Use the last test result from the previous model year
only for this first calculation. For all subsequent calculations, use
only results from the current model year.
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC, NOX (or HC +
NOX), and CO. The required sample size is the greater of
these calculated values. Use the following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.093
Where:
N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the
number of tests completed, n, as specified in the table in paragraph
(c)(1) of this section. It defines 95% confidence intervals for a
one-tail distribution.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of
this section).
x = Mean of emission test results of the sample.
STD = Emission standard (or family emission limit, if applicable).
* * * * *
(2) Calculate the standard deviation, [sigma], for the test sample
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR08OC08.094
Where:
Xi = Emission test result for an individual vehicle or
engine.
n = The number of tests completed in an engine family.
* * * * *
(f) Distribute the remaining tests evenly throughout the rest of
the year. You may need to adjust your schedule for selecting vehicles
or engines if the required sample size changes. If your scheduled
quarterly testing for the remainder of the model year is sufficient to
meet the calculated sample size, you may wait until the next quarter to
do additional testing. Continue to randomly select vehicles or engines
from each engine family.
(g) Continue testing until one of the following things happens:
(1) After completing the minimum number of tests required in
paragraph (b) of this section, the number of tests completed in an
engine family, n, is greater than the required sample size, N, and the
sample mean, x, is less than or equal to the emission standard. For
example, if N = 5.1 after the fifth test, the sample-size calculation
does not allow you to stop testing.
(2) The engine family does not comply according to Sec. 1051.315.
(3) You test 30 vehicles or engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number. Do not count a vehicle or engine under this paragraph (g)(4) if
it fails to meet an applicable emission standard.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for
one pollutant but not another, you must continue measuring emission
levels of all pollutants for any additional tests required under this
section. However, you need not continue making the calculations
specified in this subpart for the pollutant for which testing is not
required. This paragraph (h) does not affect the number of tests
required under this section, the required calculations in Sec.
1051.315, or the remedial steps required under Sec. 1051.320.
* * * * *
0
183. Section 1051.315 is amended by revising paragraphs (a), (b), and
(g) to read as follows:
Sec. 1051.315 How do I know when my engine family fails the
production-line testing requirements?
* * * * *
(a) Calculate your test results as follows:
(1) Initial and final test results. Calculate and round the test
results for each vehicle or engine. If you do several tests on a
vehicle or engine, calculate the initial results for each test, then
add all the test results together and divide by the number of tests.
Round this final calculated value for the final test results on that
vehicle or engine.
(2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec.
1051.240(c)).
(3) Round deteriorated test results. Round the results to the
number of decimal places in the emission standard expressed to one more
decimal place.
(b) Construct the following CumSum Equation for each engine family
for HC, NOX (HC + NOX), and CO emissions:
Ci = Max [0 or Ci-1 + Xi-(STD + 0.25 x
[sigma])]
Where:
Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test,
the CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual
vehicle or engine.
STD = Emission standard (or family emission limit, if applicable).
* * * * *
(g) If the CumSum statistic exceeds the Action Limit in two
consecutive tests, the engine family fails the production-line testing
requirements of this subpart. Tell us within ten working days if this
happens. You may request to amend the application for certification to
raise the FEL of the engine family as described in Sec. 1051.225(f).
* * * * *
0
184. Section 1051.320 is amended by revising paragraph (a)(2) to read
as follows:
Sec. 1051.320 What happens if one of my production-line vehicles or
engines fails to meet emission standards?
(a) * * *
(2) Include the test results and describe the remedy for each
engine in the written report required under Sec. 1051.345.
* * * * *
0
185. Section 1051.325 is amended by revising the section heading and
paragraphs (c) and (e) to read as follows:
Sec. 1051.325 What happens if an engine family fails the production-
line testing requirements?
* * * * *
(c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec. 1051.820). If we agree
before a hearing occurs that we used erroneous information in deciding
[[Page 59253]]
to suspend the certificate, we will reinstate the certificate.
* * * * *
(e) You may request to amend the application for certification to
raise the FEL of the engine family before or after we suspend your
certificate as described in Sec. 1051.225(f). We will approve your
request if it is clear that you used good engineering judgment in
establishing the original FEL.
0
186. Section 1051.345 is amended as follows:
0
a. By removing the introductory text.
0
b. By revising paragraphs (a)(4), (a)(6), and (a)(8).
0
c. By revising paragraphs (b) and (c).
Sec. 1051.345 What production-line testing records must I send to
EPA?
(a) * * *
(4) Describe each test vehicle or engine, including the engine
family's identification and the vehicle's model year, build date, model
number, identification number, and number of hours of operation before
testing.
* * * * *
(6) Provide the test number; the date, time and duration of
testing; test procedure; all initial test results; final test results;
and final deteriorated test results for all tests. Provide the emission
results for all measured pollutants. Include information for both valid
and invalid tests and the reason for any invalidation.
* * * * *
(8) Provide the CumSum analysis required in Sec. 1051.315 and the
sample-size calculation required in Sec. 1051.310 for each engine
family.
* * * * *
(b) We may ask you to add information to your written report, so we
can determine whether your new vehicles conform with the requirements
of this subpart. We may also ask you to send less information.
(c) An authorized representative of your company must sign the
following statement: We submit this report under Sections 208 and 213
of the Clean Air Act. Our production-line testing conformed completely
with the requirements of 40 CFR part 1051. We have not changed
production processes or quality-control procedures for test engines (or
vehicles) in a way that might affect emission controls. All the
information in this report is true and accurate, to the best of my
knowledge. I know of the penalties for violating the Clean Air Act and
the regulations. (Authorized Company Representative)
* * * * *
0
187. Section 1051.350 is amended by revising paragraphs (b), (e), and
(f) to read as follows:
Sec. 1051.350 What records must I keep?
* * * * *
(b) Keep paper or electronic records of your production-line
testing for eight years after you complete all the testing required for
an engine family in a model year.
* * * * *
(e) If we ask, you must give us projected or actual production
figures for an engine family. We may ask you to divide your production
figures by maximum engine power, displacement, fuel type, or assembly
plant (if you produce vehicles or engines at more than one plant).
(f) Keep records of the vehicle or engine identification number for
each vehicle or engine you produce under each certificate of
conformity. You may identify these numbers as a range. Give us these
records within 30 days if we ask for them.
* * * * *
Subpart F--[Amended]
0
188. Section 1051.501 is amended as follows:
0
a. By revising paragraphs (c)(2) and (d).
0
b. By redesignating paragraphs (e) and (f) as paragraphs (g) and (h).
0
c. By adding a new paragraph (e).
0
d. By reserving paragraph (f).
Sec. 1051.501 What procedures must I use to test my vehicles or
engines?
* * * * *
(c) * * *
(2) Prior to permeation testing of fuel hose, the hose must be
preconditioned by filling the hose with the fuel specified in paragraph
(d)(3) of this section, sealing the openings, and soaking the hose for
4 weeks at 23 5 [deg]C. To measure fuel-line permeation
emissions, use the equipment and procedures specified in SAE J30 as
described in 40 CFR 1060.810. The measurements must be performed at 23
2 [deg]C using the fuel specified in paragraph (d)(3) of
this section.
(d) Fuels. Use the fuels meeting the following specifications:
(1) Exhaust. Use the fuels and lubricants specified in 40 CFR part
1065, subpart H, for all the exhaust testing we require in this part.
For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use engines
will use. The following provisions apply for using specific fuel types:
(i) For gasoline-fueled engines, use the grade of gasoline
specified for general testing.
(ii) For diesel-fueled engines, use either low-sulfur diesel fuel
or ultra low-sulfur diesel fuel meeting the specifications in 40 CFR
1065.703. If you use sulfur-sensitive technology as defined in 40 CFR
1039.801 and you measure emissions using ultra low-sulfur diesel fuel,
you must add a permanent label near the fuel inlet with the following
statement: ``ULTRA LOW SULFUR FUEL ONLY''.
(2) Fuel Tank Permeation. (i) For the preconditioning soak
described in Sec. 1051.515(a)(1) and fuel slosh durability test
described in Sec. 1051.515(d)(3), use the fuel specified in Table 1 of
40 CFR 1065.710 blended with 10 percent ethanol by volume. As an
alternative, you may use Fuel CE10, which is Fuel C as specified in
ASTM D 471-98 (see 40 CFR 1060.810) blended with 10 percent ethanol by
volume.
(ii) For the permeation measurement test in Sec. 1051.515(b), use
the fuel specified in Table 1 of 40 CFR 1065.710. As an alternative,
you may use the fuel specified in paragraph (d)(2)(i) of this section.
(3) Fuel Hose Permeation. Use the fuel specified in Table 1 of 40
CFR 1065.710 blended with 10 percent ethanol by volume for permeation
testing of fuel lines. As an alternative, you may use Fuel CE10, which
is Fuel C as specified in ASTM D 471-98 (see 40 CFR 1060.810) blended
with 10 percent ethanol by volume.
(e) Engine stabilization. Instead of the provisions of 40 CFR
1065.405, you may consider emission levels stable without measurement
after 12 hours of engine operation.
(f) [Reserved]
* * * * *
0
189. Section 1051.505 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 1051.505 What special provisions apply for testing snowmobiles?
* * * * *
(a) You may perform steady-state testing with either discrete-mode
or ramped-modal cycles. You must use the type of testing you select in
your application for certification for all testing you perform for that
engine family. If we test your engines to confirm that they meet
emission standards, we will do testing the same way. If you submit
certification test data collected with both discrete-mode and ramped-
modal testing (either in your original application or in an amendment
to your application), either method may
[[Page 59254]]
be used for subsequent testing. We may also perform other testing as
allowed by the Clean Air Act. Measure steady-state emissions as
follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle
using the weighting factors specified for each mode. In each mode,
operate the engine for at least 5 minutes, then sample emissions for at
least 1 minute. Calculate cycle statistics and compare with the
established criteria as specified in 40 CFR 1065.514 to confirm that
the test is valid.
(2) For ramped-modal testing, start sampling at the beginning of
the first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient
testing as specified in 40 CFR part 1065, subpart G.
(3) Measure emissions by testing the engine on a dynamometer with
one or more of the following sets of duty cycles to determine whether
it meets the steady-state emission standards in Sec. 1051.103:
(i) The following duty cycle applies for discrete-mode testing:
Table 1 of Sec. 1051.505--5-Mode Duty Cycle for Snowmobiles
----------------------------------------------------------------------------------------------------------------
Minimum
Speed Torque time in Weighting
Mode No. (percent) (percent) mode factors
\1\ \2\ (minutes)
----------------------------------------------------------------------------------------------------------------
1........................................................... 100 100 3.0 0.12
2........................................................... 85 51 3.0 0.27
3........................................................... 75 33 3.0 0.25
4........................................................... 65 19 3.0 0.31
5........................................................... Idle 0 3.0 0.05
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Percent torque is percent of maximum torque at maximum test speed.
(ii) The following duty cycle applies for ramped-modal testing:
Table 2 of Sec. 1051.505--Ramped-modal Cycle for Testing Snowmobiles
----------------------------------------------------------------------------------------------------------------
Time in
RMC mode mode Speed (percent) \1\ Torque (percent) \2,\ \3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.......................... 27 Warm Idle.................. 0
1b Transition............................ 20 Linear Transition.......... Linear Transition
2a Steady-state.......................... 121 100........................ 100
2b Transition............................ 20 Linear Transition.......... Linear Transition
3a Steady-state.......................... 347 65......................... 19
3b Transition............................ 20 Linear Transition.......... Linear Transition
4a Steady-state.......................... 305 85......................... 51
4b Transition............................ 20 Linear Transition.......... Linear Transition
5a Steady-state.......................... 272 75......................... 33
5b Transition............................ 20 Linear Transition.......... Linear Transition
6 Steady-state........................... 28 Warm Idle.................. 0
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum torque at maximum test speed.
(b) During idle mode, operate the engine at its warm idle speed as
described in 40 CFR 1065.510.
* * * * *
Subpart G--[Amended]
0
190. Section 1051.605 is amended by revising the section heading and
paragraph (d)(7)(ii) to read as follows:
Sec. 1051.605 What provisions apply to engines already certified
under the motor vehicle program or the Large Spark-ignition program?
* * * * *
(d) * * *
(7) * * *
(ii) List the engine or vehicle models you expect to produce under
this exemption in the coming year and describe your basis for meeting
the sales restrictions of paragraph (d)(3) of this section.
* * * * *
0
191. Section 1051.610 is amended by revising the section heading and
paragraphs (d)(7)(ii) and (g) to read as follows:
Sec. 1051.610 What provisions apply to vehicles already certified
under the motor vehicle program?
* * * * *
(d) * * *
(7) * * *
(ii) List the vehicle models you expect to produce under this
exemption in the coming year and describe your basis for meeting the
sales restrictions of paragraph (d)(3) of this section.
* * * * *
(g) Participation in averaging, banking and trading. Vehicles
adapted for recreational use under this section may not generate or use
emission credits under this part 1051. These vehicles may generate
credits under the ABT provisions in 40 CFR part 86. These vehicles must
use emission credits under 40 CFR part 86 if they are certified to an
FEL that exceeds an emission standard that applies.
0
192. Section 1051.615 is amended by revising paragraphs (d)
introductory text, (d)(3), and (d)(4) to read as follows:
[[Page 59255]]
Sec. 1051.615 What are the special provisions for certifying small
recreational engines?
* * * * *
(d) Measure steady-state emissions by testing the engine on an
engine dynamometer using the equipment and procedures of 40 CFR part
1065 with either discrete-mode or ramped-modal cycles. You must use the
type of testing you select in your application for certification for
all testing you perform for that engine family. If we test your engines
to confirm that they meet emission standards, we will do testing the
same way. If you submit certification test data collected with both
discrete-mode and ramped-modal testing (either in your original
application or in an amendment to your application), either method may
be used for subsequent testing. We may also perform other testing as
allowed by the Clean Air Act. Measure steady-state emissions as
follows:
* * * * *
(3) Measure emissions by testing the engine on a dynamometer with
one or more of the following sets of duty cycles to determine whether
it meets applicable emission standards:
(i) The following duty cycle applies for discrete-mode testing:
Table 1 of Sec. 1051.615--6-Mode Duty Cycle for Recreational Engines
----------------------------------------------------------------------------------------------------------------
Engine Minimum
speed Torque time in Weighting
Mode No. (percent) (percent) mode factors
\1\ \2\ (minutes)
----------------------------------------------------------------------------------------------------------------
1........................................................... 85 100 5.0 0.09
2........................................................... 85 75 5.0 0.20
3........................................................... 85 50 5.0 0.29
4........................................................... 85 25 5.0 0.30
5........................................................... 85 10 5.0 0.07
6........................................................... Idle 0 5.0 0.05
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Percent torque is percent of maximum torque at the commanded test speed.
(ii) The following duty cycle applies for ramped-modal testing:
Table 2 of Sec. 1051.615--Ramped-modal Cycle for Testing Recreational Engines
----------------------------------------------------------------------------------------------------------------
RMC mode Time Speed (percent) \1,\ \2\ Torque (percent) \2,\ \3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.......................... 41 Warm Idle.................. 0.
1b Transition............................ 20 Linear Transition.......... Linear Transition.
2a Steady-state.......................... 135 85......................... 100.
2b Transition............................ 20 85......................... Linear Transition.
3a Steady-state.......................... 112 85......................... 10.
3b Transition............................ 20 85......................... Linear Transition.
4a Steady-state.......................... 337 85......................... 75.
4b Transition............................ 20 85......................... Linear Transition.
5a Steady-state.......................... 518 85......................... 25.
5b Transition............................ 20 85......................... Linear Transition.
6a Steady-state.......................... 494 85......................... 50.
6b Transition............................ 20 Linear Transition.......... Linear Transition.
7 Steady-state........................... 43 Warm Idle.................. 0.
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum torque at the commanded test speed.
(4) During idle mode, operate the engine at its warm idle speed as
described in 40 CFR 1065.510.
* * * * *
0
193. Section 1051.635 is amended by revising paragraph (a) to read as
follows:
Sec. 1051.635 What provisions apply to new manufacturers that are
small businesses?
(a) If you are a small business (as defined by the Small Business
Administration at 13 CFR 121.201) that manufactures recreational
vehicles, but does not otherwise qualify for the small-volume
manufacturer provisions of this part, you may ask us to designate you
to be a small-volume manufacturer. You may do this whether you began
manufacturing recreational vehicles before, during, or after 2002.
* * * * *
0
194. Section 1051.645 is amended by revising paragraph (b) to read as
follows:
Sec. 1051.645 What special provisions apply to branded engines?
* * * * *
(b) In your application for certification, identify the company
whose trademark you will use.
* * * * *
0
195. A new Sec. 1051.650 is added to subpart G to read as follows:
Sec. 1051.650 What special provisions apply for converting a vehicle
to use an alternate fuel?
A certificate of conformity is no longer valid for a vehicle if the
vehicle is modified such that it is not in a configuration covered by
the certificate. This section applies if such modifications are done to
convert the vehicle to run on a different fuel type. Such vehicles may
be recertified as specified in this section if the original
[[Page 59256]]
certificate is no longer valid for that vehicle.
(a) Converting a certified new vehicle to run on a different fuel
type violates 40 CFR 1068.101(a)(1) if the modified vehicle is not
covered by a certificate of conformity.
(b) Converting a certified vehicle that is not new to run on a
different fuel type violates 40 CFR 1068.101(b)(1) if the modified
vehicle is not covered by a certificate of conformity. We may specify
alternate certification provisions consistent with the requirements of
this part. For example, you may certify the modified vehicle for a
partial useful life. For example, if the vehicle is modified halfway
through its original useful life period, you may generally certify the
vehicle based on completing the original useful life period; or if the
vehicle is modified after the original useful life period is past, you
may generally certify the vehicle based on testing that does not
involve further durability demonstration.
(c) Vehicles (or engines) may be certified using the certification
procedures for new vehicles (or engines) as specified in this part or
using the certification procedures for aftermarket parts as specified
in 40 CFR part 85, subpart V. Unless the original vehicle manufacturer
continues to be responsible for the vehicle as specified in paragraph
(d) of this section, you must remove the original manufacturer's
emission control information label if you recertify the vehicle.
(d) The original vehicle manufacturer is not responsible for
operation of modified vehicles in configurations resulting from
modifications performed by others. In cases where the modification
allows a vehicle to be operated in either its original configuration or
a modified configuration, the original vehicle manufacturer remains
responsible for operation of the modified vehicle in its original
configuration.
(e) Entities producing conversion kits may obtain certificates of
conformity for the converted vehicles. Such entities are vehicle
manufacturers for purposes of this part.
Subpart H--[Amended]
0
196. Section 1051.701 is amended by revising paragraph (a) to read as
follows:
Sec. 1051.701 General provisions.
(a) You may average, bank, and trade emission credits for purposes
of certification as described in this subpart to show compliance with
the standards of this part. To do this you must certify your engines to
Family Emission Limits (FELs) and show that your average emission
levels for all your engine families together are below the emission
standards in subpart B of this part, or that you have sufficient
credits to offset a credit deficit for the model year (as calculated in
Sec. 1051.720).
* * * * *
0
197. Section 1051.710 is amended by revising paragraphs (d) and (e) and
removing paragraph (f) to read as follows:
Sec. 1051.710 How do I generate and bank emission credits?
* * * * *
(d) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1051.730. During the model year and
before the due date for the final report, you may designate your
reserved emission credits for averaging or trading.
(e) Reserved credits become actual emission credits when you submit
your final report. However, we may revoke these emission credits if we
are unable to verify them after reviewing your reports or auditing your
records.
0
198. Section 1051.715 is amended by revising paragraph (b) and removing
and reserving paragraph (c) to read as follows:
Sec. 1051.715 How do I trade emission credits?
* * * * *
(b) You may trade actual emission credits as described in this
subpart. You may also trade reserved emission credits, but we may
revoke these emission credits based on our review of your records or
reports or those of the company with which you traded emission credits.
You may trade banked credits within an averaging set to any certifying
manufacturer.
(c) [Reserved]
* * * * *
0
199. Section 1051.720 is amended by revising paragraph (a)(2) to read
as follows:
Sec. 1051.720 How do I calculate my average emission level or
emission credits?
(a) * * *
(2) For vehicles that have standards expressed as g/kW-hr and a
useful life in kilometers, convert the useful life to kW-hr based on
the maximum engine power and an assumed vehicle speed of 30 km/hr as
follows: UL (kW-hr) = UL (km) x Maximum Engine Power (kW) / 30 km/hr.
(Note: It is not necessary to include a load factor, since credit
exchange is not allowed between vehicles certified to g/kW-hr standards
and vehicles certified to g/km standards.)
* * * * *
0
200. Section 1051.725 is amended by revising paragraph (b)(2) to read
as follows:
Sec. 1051.725 What must I include in my applications for
certification?
* * * * *
(b) * * *
(2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. We may require you
to include similar calculations from your other engine families to
demonstrate that you will be able to avoid a negative credit balance
for the model year. If you project negative emission credits for an
engine family, state the source of positive emission credits you expect
to use to offset the negative emission credits.
0
201. Section 1051.730 is amended by revising paragraphs (b)(3), (b)(4),
(b)(5), (c)(2), and (f) to read as follows:
Sec. 1051.730 What ABT reports must I send to EPA?
* * * * *
(b) * * *
(3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the vehicle identification number for the first vehicle
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits under each FEL.
(4) The projected and actual production volumes for the model year
with a point of retail sale in the United States, as described in Sec.
1051.701(d). For fuel tanks, state the production volume in terms of
surface area and production volume for each tank configuration and
state the total surface area for the emission family. If you changed an
FEL during the model year, identify the actual production volume
associated with each FEL.
(5) For vehicles that have standards expressed as g/kW-hr, maximum
engine power for each vehicle configuration, and the average engine
power weighted by U.S.-directed production volumes for the engine
family.
* * * * *
(c) * * *
(2) State whether you will retain any emission credits for banking.
* * * * *
(f) Correct errors in your end-of-year report or final report as
follows:
(1) You may correct any errors in your end-of-year report when you
prepare the final report as long as you send us the final report by the
time it is due.
[[Page 59257]]
(2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decreased your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that
are determined more than 270 days after the end of the model year. If
you report a negative balance of emission credits, we may disallow
corrections under this paragraph (f)(2).
(3) If you or we determine anytime that errors mistakenly increased
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.
0
202. Section 1051.735 is amended by revising paragraphs (b), (d), and
(e) to read as follows:
Sec. 1051.735 What records must I keep?
* * * * *
(b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits on any engines if you do not keep all the records
required under this section. You must therefore keep these records to
continue to bank valid credits. Store these records in any format and
on any media as long as you can promptly send us organized, written
records in English if we ask for them. You must keep these records
readily available. We may review them at any time.
* * * * *
(d) Keep records of the identification number for each vehicle or
engine or piece of equipment you produce that generates or uses
emission credits under the ABT program. You may identify these numbers
as a range.
(e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with
the Clean Air Act.
0
203. Section 1051.740 is amended by revising paragraph (b)(4)(ii) to
read as follows:
Sec. 1051.740 Are there special averaging provisions for snowmobiles?
* * * * *
(b) * * *
(4) * * *
(ii) HC and CO credits for Phase 3 are calculated relative to 75 g/
kW-hr and 200 g/kW-hr values, respectively.
* * * * *
Subpart I--[Amended]
0
204. Section 1051.801 is amended as follows:
0
a. By removing the definitions for ``Maximum test power'' and ``Maximum
test torque''.
0
b. By revising the definitions for ``Aftertreatment'', ``Designated
Compliance Officer'', ``Emission-control system'', ``Engine
configuration'', ``Maximum engine power'', ``Model year'', ``New'',
``Nonmethane hydrocarbon'', ``Official emission result'', ``Owners
manual'', ``Recreational'', ``Total hydrocarbon'', and ``Total
hydrocarbon equivalent''.
0
c. By adding definitions for ``Alcohol-fueled'', ``Days'', ``Low-
permeability material'', and ``Volatile liquid fuel'' in alphabetical
order.
Sec. 1051.801 What definitions apply to this part?
* * * * *
Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted
downstream of the exhaust valve (or exhaust port) whose design function
is to decrease emissions in the engine exhaust before it is exhausted
to the environment. Exhaust-gas recirculation (EGR), turbochargers, and
oxygen sensors are not aftertreatment.
Alcohol-fueled means relating to a vehicle with an engine that is
designed to run using an alcohol fuel. For purposes of this definition,
alcohol fuels do not include fuels with a nominal alcohol content below
25 percent by volume.
* * * * *
Days means calendar days unless otherwise specified. For example,
where we specify working days, we mean calendar days excluding weekends
and U.S. national holidays.
Designated Compliance Officer means the Manager, Light-Duty Engine
Group, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann
Arbor, MI 48105.
* * * * *
Emission-control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
from an engine.
* * * * *
Engine configuration means a unique combination of engine hardware
and calibration within an engine family. Engines within a single engine
configuration differ only with respect to normal production variability
or factors unrelated to emissions.
* * * * *
Low-permeability material has the meaning given in 40 CFR 1060.801.
* * * * *
Maximum engine power has the meaning given in 40 CFR 90.3 for 2010
and earlier model years and in Sec. 1051.140 for 2011 and later model
years. Note that maximum engine power is based on the engine alone,
without regard to any governing or other restrictions from the vehicle
installation.
* * * * *
Model year means one of the following things:
(1) For freshly manufactured vehicles (see definition of ``new,''
paragraph (1)), model year means one of the following:
(i) Calendar year.
(ii) Your annual new model production period if it is different
than the calendar year. This must include January 1 of the calendar
year for which the model year is named. It may not begin before January
2 of the previous calendar year and it must end by December 31 of the
named calendar year. For seasonal production periods not including
January 1, model year means the calendar year in which the production
occurs, unless you choose to certify the applicable emission family
with the following model year. For example, if your production period
is June 1, 2010, through November 30, 2010, your model year would be
2010 unless you choose to certify the emission family for model year
2011.
(2) For an engine originally certified and manufactured as a motor
vehicle engine or a stationary engine that is later used or intended to
be used in a vehicle subject to the standards and requirements of this
part 1051, model year means the calendar year in which the engine was
originally produced. For an engine originally manufactured as a motor
vehicle engine or a stationary engine without having been certified
that is later used or intended to be used in a vehicle subject to the
standards and requirements of this part 1051, model year means the
calendar year in which the engine becomes subject to this part 1051.
(See definition of ``new,'' paragraph (2)).
(3) For a nonroad engine that has been previously placed into
service in an application covered by 40 CFR part 90, 91, 1048, or 1054,
where that engine is installed in a piece of equipment that is covered
by this part 1051, model year means the calendar year in which the
engine was originally produced (see definition of ``new,'' paragraph
(3)).
(4) For engines that are not freshly manufactured but are installed
in new recreational vehicles, model year means the calendar year in
which the engine is installed in the recreational vehicle (see
definition of ``new,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new,'' model year has the meaning
[[Page 59258]]
given in paragraphs (1) through (4) of this definition.
(ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new,'' model year means the calendar year in which the
vehicle is modified.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new'' model year means the calendar year in which the
engine is assembled in its imported configuration, unless specified
otherwise in this part or in 40 CFR part 1068.
* * * * *
New means relating to any of the following things:
(1) A freshly manufactured vehicle for which the ultimate purchaser
has never received the equitable or legal title. This kind of vehicle
might commonly be thought of as ``brand new.''
In the case of this paragraph (1), the vehicle is new from the time
it is produced until the ultimate purchaser receives the title or the
product is placed into service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine or
a stationary engine that is later used or intended to be used in a
vehicle subject to the standards and requirements of this part 1051. In
this case, the engine is no longer a motor vehicle or stationary engine
and becomes new. The engine is no longer new when it is placed into
service as a recreational vehicle covered by this part 1051.
(3) A nonroad engine that has been previously placed into service
in an application covered by 40 CFR part 90, 91, 1048, or 1054, when
that engine is installed in a piece of equipment that is covered by
this part 1051. The engine is no longer new when it is placed into
service in a recreational vehicle covered by this part 1051. For
example, this would apply to a marine propulsion engine that is no
longer used in a marine vessel.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in a new vehicle covered by
this part 1051. This generally includes installation of used engines in
new recreational vehicles. The engine is no longer new when the
ultimate purchaser receives a title for the vehicle or it is placed
into service, whichever comes first.
(5) An imported vehicle or engine, subject to the following
provisions:
(i) An imported recreational vehicle or recreational-vehicle engine
covered by a certificate of conformity issued under this part that
meets the criteria of one or more of paragraphs (1) through (4) of this
definition, where the original manufacturer holds the certificate, is
new as defined by those applicable paragraphs.
(ii) An imported vehicle or engine covered by a certificate of
conformity issued under this part, where someone other than the
original manufacturer holds the certificate (such as when the engine is
modified after its initial assembly), is new when it is imported. It is
no longer new when the ultimate purchaser receives a title for the
vehicle or engine or it is placed into service, whichever comes first.
(iii) An imported recreational vehicle or recreational-vehicle
engine that is not covered by a certificate of conformity issued under
this part at the time of importation is new. This addresses uncertified
vehicles and engines initially placed into service that someone seeks
to import into the United States. Importation of this kind of vehicle
or engine is generally prohibited by 40 CFR part 1068. However, the
importation of such a vehicle or engine is not prohibited if it has a
model year before 2006, since it is not subject to standards.
* * * * *
Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
* * * * *
Official emission result means the measured emission rate for an
emission-data vehicle on a given duty cycle before the application of
any deterioration factor.
* * * * *
Owners manual means a document or collection of documents prepared
by the engine manufacturer for the owner or operator to describe
appropriate engine maintenance, applicable warranties, and any other
information related to operating or keeping the engine. The owners
manual is typically provided to the ultimate purchaser at the time of
sale. The owners manual may be in paper or electronic format.
* * * * *
Recreational means, for purposes of this part, relating to
snowmobiles, all-terrain vehicles, off-highway motorcycles, and other
vehicles that we regulate under this part. Note that 40 CFR parts 90
and 1054 apply to engines used in other recreational vehicles.
* * * * *
Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This
generally means the combined mass of organic compounds measured by the
specified procedure for measuring total hydrocarbon, expressed as a
hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001.
* * * * *
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
* * * * *
Sec. 1051.810 [Removed]
0
205. Section 1051.810 is removed.
0
206. A new Sec. 1051.825 is added to subpart I to read as follows:
Sec. 1051.825 What reporting and recordkeeping requirements apply
under this part?
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. The following
items illustrate the kind of reporting and recordkeeping we require for
vehicles regulated under this part:
(a) We specify the following requirements related to certification
in this part 1051:
(1) In Sec. Sec. 1051.20 and 1051.25 we describe special
provisions for manufacturers to certify recreational engines instead of
vehicles.
(2) [Reserved]
(3) In Sec. 1051.145 we include various reporting and
recordkeeping requirements related to interim provisions.
(4) In subpart C of this part we identify a wide range of
information required to certify vehicles.
(5) In Sec. Sec. 1051.345 and 1051.350 we specify certain records
related to production-line testing.
(6) [Reserved]
(7) In Sec. 1051.501 we specify information needs for establishing
various changes to published vehicle-based test procedures.
(8) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
(9) In Sec. Sec. 1051.725, 1051.730, and 1051.735 we specify
certain records related to averaging, banking, and trading.
(b) [Reserved]
(c) We specify the following requirements related to testing in 40
CFR part 1065:
(1) In 40 CFR 1065.2 we give an overview of principles for
reporting information.
(2) In 40 CFR 1065.10 and 1065.12 we specify information needs for
[[Page 59259]]
establishing various changes to published engine-based test procedures.
(3) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
(4) In 40 CFR 1065.695 we identify data that may be appropriate for
collecting during testing of in-use engines or vehicles using portable
analyzers.
(d) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
(1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information
(3) In 40 CFR 1068.27 we require manufacturers to make engines or
vehicles available for our testing or inspection if we make such a
request.
(4) In 40 CFR 1068.105 we require manufacturers to keep certain
records related to duplicate labels from engine manufacturers.
(5) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
(6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
(7) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines or vehicles.
(8) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines in a selective enforcement
audit.
(9) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
(10) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming vehicles.
0
207 A new part 1054 is added to subchapter U of chapter I to read as
follows:
PART 1054--CONTROL OF EMISSIONS FROM NEW, SMALL NONROAD SPARK-
IGNITION ENGINES AND EQUIPMENT
Subpart A--Overview and Applicability
Sec.
1054.1 Does this part apply for my engines and equipment?
1054.2 Who is responsible for compliance?
1054.5 Which nonroad engines are excluded from this part's
requirements?
1054.10 How is this part organized?
1054.15 Do any other CFR parts apply to me?
1054.20 What requirements apply to my equipment?
1054.30 Submission of information.
Subpart B--Emission Standards and Related Requirements
1054.101 What emission standards and requirements must my engines
meet?
1054.103 What exhaust emission standards must my handheld engines
meet?
1054.105 What exhaust emission standards must my nonhandheld engines
meet?
1054.107 What is the useful life period for meeting exhaust emission
standards?
1054.110 What evaporative emission standards must my handheld
equipment meet?
1054.112 What evaporative emission standards must my nonhandheld
equipment meet?
1054.115 What other requirements apply?
1054.120 What emission-related warranty requirements apply to me?
1054.125 What maintenance instructions must I give to buyers?
1054.130 What installation instructions must I give to equipment
manufacturers?
1054.135 How must I label and identify the engines I produce?
1054.140 What is my engine's maximum engine power and displacement?
1054.145 Are there interim provisions that apply only for a limited
time?
Subpart C--Certifying Emission Families
1054.201 What are the general requirements for obtaining a
certificate of conformity?
1054.205 What must I include in my application?
1054.210 May I get preliminary approval before I complete my
application?
1054.220 How do I amend the maintenance instructions in my
application?
1054.225 How do I amend my application for certification to include
new or modified engines or fuel systems or change an FEL?
1054.230 How do I select emission families?
1054.235 What exhaust emission testing must I perform for my
application for a certificate of conformity?
1054.240 How do I demonstrate that my emission family complies with
exhaust emission standards?
1054.245 How do I determine deterioration factors from exhaust
durability testing?
1054.250 What records must I keep and what reports must I send to
EPA?
1054.255 What decisions may EPA make regarding my certificate of
conformity?
Subpart D--Production-line Testing
1054.300 Applicability.
1054.301 When must I test my production-line engines?
1054.305 How must I prepare and test my production-line engines?
1054.310 How must I select engines for production-line testing?
1054.315 How do I know when my engine family fails the production-
line testing requirements?
1054.320 What happens if one of my production-line engines fails to
meet emission standards?
1054.325 What happens if an engine family fails the production-line
testing requirements?
1054.330 May I sell engines from an engine family with a suspended
certificate of conformity?
1054.335 How do I ask EPA to reinstate my suspended certificate?
1054.340 When may EPA revoke my certificate under this subpart and
how may I sell these engines again?
1054.345 What production-line testing records must I send to EPA?
1054.350 What records must I keep?
Subpart E--In-use Testing
1054.401 General provisions.
Subpart F--Test Procedures
1054.501 How do I run a valid emission test?
1054.505 How do I test engines?
1054.520 What testing must I perform to establish deterioration
factors?
Subpart G--Special Compliance Provisions
1054.601 What compliance provisions apply to these engines?
1054.610 What is the exemption for delegated final assembly?
1054.612 What special provisions apply for equipment manufacturers
modifying certified nonhandheld engines?
1054.615 What is the exemption for engines certified to standards
for Large SI engines?
1054.620 What are the provisions for exempting engines used solely
for competition?
1054.625 What requirements apply under the Transition Program for
Equipment Manufacturers?
1054.626 What special provisions apply to equipment imported under
the Transition Program for Equipment Manufacturers?
1054.630 What provisions apply for importation of individual items
for personal use?
1054.635 What special provisions apply for small-volume engine and
equipment manufacturers?
1054.640 What special provisions apply to branded engines?
1054.645 What special provisions apply for converting an engine to
use an alternate fuel?
1054.650 What special provisions apply for adding or changing
governors?
1054.655 What special provisions apply for installing and removing
altitude kits?
1054.660 What are the provisions for exempting emergency rescue
equipment?
1054.690 What bond requirements apply for certified engines?
Subpart H--Averaging, Banking, and Trading for Certification
1054.701 General provisions.
1054.705 How do I generate and calculate exhaust emission credits?
1054.706 How do I generate and calculate evaporative emission
credits?
[[Page 59260]]
1054.710 How do I average emission credits?
1054.715 How do I bank emission credits?
1054.720 How do I trade emission credits?
1054.725 What must I include in my application for certification?
1054.730 What ABT reports must I send to EPA?
1054.735 What records must I keep?
1054.740 What special provisions apply for generating and using
emission credits?
1054.745 What can happen if I do not comply with the provisions of
this subpart?
Subpart I--Definitions and Other Reference Information
1054.801 What definitions apply to this part?
1054.805 What symbols, acronyms, and abbreviations does this part
use?
1054.815 What provisions apply to confidential information?
1054.820 How do I request a hearing?
1054.825 What reporting and recordkeeping requirements apply under
this part?
Appendix I to Part 1054--Summary of Previous Emission Standards
Appendix II to Part 1054--Duty Cycles for Laboratory Testing
Authority: 42 U.S.C. 7401-7671q.
Subpart A--Overview and Applicability
Sec. 1054.1 Does this part apply for my engines and equipment?
(a) Except as provided in Sec. 1054.5, the regulations in this
part 1054 apply as follows:
(1) The requirements of this part related to exhaust emissions
apply to new, spark-ignition engines with maximum engine power at or
below 19 kW. This includes auxiliary marine spark-ignition engines.
(2) The requirements of this part related to evaporative emissions
apply as specified in Sec. Sec. 1054.110 and 1054.112 to fuel systems
used with engines subject to exhaust emission standards in this part if
the engines use a volatile liquid fuel (such as gasoline).
(3) This part 1054 applies starting with the model years noted in
the following table:
Table 1 to Sec. 1054.1--Part 1054 Applicability by Model Year
------------------------------------------------------------------------
Engine type Engine displacement Model year
------------------------------------------------------------------------
Handheld.......................... all................... 2010
Nonhandheld........................ displacement < 225 cc. 2012
Nonhandheld........................ displacement >= 225 cc 2011
------------------------------------------------------------------------
(4) This part 1054 applies for other spark-ignition engines as
follows:
(i) The provisions of Sec. Sec. 1054.620 and 1054.801 apply for
engines used solely for competition beginning January 1, 2010.
(ii) The provisions of Sec. Sec. 1054.660 and 1054.801 apply for
engines used in emergency rescue equipment beginning January 1, 2010.
(5) We specify provisions in Sec. 1054.145(e) and (f) and in Sec.
1054.740 that allow for meeting the requirements of this part before
the dates shown in Table 1 to this section. Engines, fuel-system
components, or equipment certified to these standards are subject to
all the requirements of this part as if these optional standards were
mandatory.
(b) Although the definition of nonroad engine in 40 CFR 1068.30
excludes certain engines used in stationary applications, stationary
engines are required under 40 CFR part 60, subpart JJJJ, to comply with
this part starting with the model years shown in Table 1 to this
section.
(c) See 40 CFR part 90 for requirements that apply to engines not
yet subject to the requirements of this part 1054.
(d) In certain cases, the regulations in this part 1054 apply to
engines with maximum engine power above 19 kW that would otherwise be
covered by 40 CFR part 1048 or 1051. See 40 CFR 1048.615 and
1051.145(a)(3) for provisions related to these allowances.
(e) In certain cases, the regulations in this part 1054 apply to
propulsion marine engines that would otherwise be covered by 40 CFR
part 1045. See 40 CFR 1045.610 for provisions related to these
allowances.
Sec. 1054.2 Who is responsible for compliance?
The requirements and prohibitions of this part apply to
manufacturers of engines and equipment, as described in Sec. 1054.1.
The requirements of this part are generally addressed to manufacturers
subject to this part's requirements. The term ``you'' generally means
the certifying manufacturer. For provisions related to exhaust
emissions, this generally means the engine manufacturer, especially for
issues related to certification (including production-line testing,
reporting, etc.). For provisions related to certification with respect
to evaporative emissions, this generally means the equipment
manufacturer. Equipment manufacturers must meet applicable requirements
as described in Sec. 1054.20. Engine manufacturers that assemble an
engine's complete fuel system are considered to be the equipment
manufacturer with respect to evaporative emissions (see 40 CFR 1060.5).
Note that certification requirements for component manufacturers are
described in 40 CFR part 1060.
Sec. 1054.5 Which nonroad engines are excluded from this part's
requirements?
This part does not apply to the following nonroad engines:
(a) Engines that are certified to meet the requirements of 40 CFR
part 1051 (for example, engines used in snowmobiles and all-terrain
vehicles). Engines that are otherwise subject to 40 CFR part 1051 but
not required to be certified (such as engines exempted under 40 CFR
part 1051) are also excluded from this part 1054, unless the
regulations in 40 CFR part 1051 specifically require them to comply
with the requirements of this part 1054.
(b) Engines that are certified to meet the requirements of 40 CFR
part 1048, subject to the provisions of Sec. 1054.615.
(c) Propulsion marine engines. See 40 CFR parts 91 and 1045. Note
that the evaporative emission standards of this part also do not apply
with respect to auxiliary marine engines as described in Sec. 1054.20.
(d) Engines used in reduced-scale models of vehicles that are not
capable of transporting a person.
Sec. 1054.10 How is this part organized?
This part 1054 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of this part
1054 and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify engines under this part.
Note that Sec. 1054.145 discusses certain interim requirements and
compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part describes general provisions for testing
production-line engines.
(e) Subpart E of this part describes general provisions for testing
in-use engines.
(f) Subpart F of this part describes how to test your engines
(including references to other parts of the Code of Federal
Regulations).
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, equipment manufacturers, owners, operators, rebuilders,
and all others.
(h) Subpart H of this part describes how you may generate and use
exhaust
[[Page 59261]]
and evaporative emission credits to certify your engines and equipment.
(i) Subpart I of this part contains definitions and other reference
information.
Sec. 1054.15 Do any other CFR parts apply to me?
(a) Part 1060 of this chapter describes standards and procedures
that apply for controlling evaporative emissions from engines fueled by
gasoline or other volatile liquid fuels and the associated fuel
systems. See Sec. Sec. 1054.110 and 1054.112 for information about how
that part applies.
(b) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions.
Subpart F of this part 1054 describes how to apply the provisions of
part 1065 of this chapter to determine whether engines meet the exhaust
emission standards in this part.
(c) The requirements and prohibitions of part 1068 of this chapter
apply to everyone, including anyone who manufactures, imports,
installs, owns, operates, or rebuilds any of the engines subject to
this part 1054, or equipment containing these engines. Part 1068 of
this chapter describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers,
equipment manufacturers, and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain engines.
(4) Importing engines.
(5) Selective enforcement audits of your production.
(6) Defect reporting and recall.
(7) Procedures for hearings.
(d) Other parts of this chapter apply if referenced in this part.
Sec. 1054.20 What requirements apply to my equipment?
(a) If you manufacture equipment using engines certified under this
part, your equipment must meet all applicable emission standards with
the engine and fuel system installed.
(b) Except as specified in paragraph (f) of this section, all
equipment subject to the exhaust standards of this part must meet the
evaporative emission standards of 40 CFR part 1060, as described in
Sec. Sec. 1054.110 and 1054.112.
(c) Except as specified in paragraph (f) of this section, you must
identify and label equipment you produce under this section consistent
with the requirements of 40 CFR 1060.135.
(d) You may need to certify your equipment or fuel systems as
described in 40 CFR 1060.1 and 1060.601.
(e) You must follow all emission-related installation instructions
from the certifying manufacturers as described in Sec. 1054.130, 40
CFR 1060.130, and 40 CFR 1068.105. Failure to follow these instructions
subjects you to civil penalties as described in 40 CFR part 1068,
subpart B.
(f) Motor vehicles and marine vessels may contain engines subject
to the exhaust emission standards in this part 1054. Evaporative
emission standards apply to these products as follows:
(1) Marine vessels using spark-ignition engines are subject to the
requirements of 40 CFR part 1045. The vessels are not required to
comply with the evaporative emission standards and related requirements
of this part 1054.
(2) Motor vehicles are subject to the requirements of 40 CFR part
86. They are not required to comply with the evaporative emission
standards and related requirements of this part 1054.
Sec. 1054.30 Submission of information.
(a) This part includes various requirements to record data or other
information. Refer to Sec. 1054.825 and 40 CFR 1068.25 regarding
recordkeeping requirements. If recordkeeping requirements are not
specified, store these records in any format and on any media and keep
them readily available for one year after you send an associated
application for certification, or one year after you generate the data
if they do not support an application for certification. You must
promptly send us organized, written records in English if we ask for
them. We may review them at any time.
(b) The regulations in Sec. 1054.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1054.801).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
Subpart B--Emission Standards and Related Requirements
Sec. 1054.101 What emission standards and requirements must my
engines meet?
(a) Exhaust emissions. You must show that your engines meet the
following exhaust emission standards, except as specified in paragraphs
(b) through (d) of this section:
(1) Handheld engines must meet the exhaust emission standards in
Sec. 1054.103.
(2) Nonhandheld engines must meet the exhaust emission standards in
Sec. 1054.105.
(3) All engines must meet the requirements in Sec. 1054.115.
(b) Evaporative emissions. Except as specified in Sec. 1054.20,
new equipment using engines that run on a volatile liquid fuel (such as
gasoline) must meet the evaporative emission requirements of 40 CFR
part 1060. The requirements of 40 CFR part 1060 that apply are
considered also to be requirements of this part 1054. Marine vessels
using auxiliary marine engines subject to this part must meet the
evaporative emission requirements in 40 CFR 1045.112 instead of the
evaporative emission requirements in this part. We specify evaporative
emission requirements for handheld and nonhandheld equipment separately
in Sec. Sec. 1054.110 and 1054.112.
(c) Wintertime engines. Emission standards regulating HC and
NOX exhaust emissions are optional for wintertime engines.
However, if you certify an emission family to such standards, those
engines are subject to all the requirements of this part as if these
optional standards were mandatory.
(d) Two-stroke snowthrower engines. Two-stroke snowthrower engines
may meet exhaust emission standards that apply to handheld engines with
the same engine displacement instead of the nonhandheld standards that
would otherwise apply.
(e) Relationship between handheld and nonhandheld engines. Any
engines certified to the nonhandheld emission standards in Sec.
1054.105 may be used in either handheld or nonhandheld equipment.
Engines above 80 cc certified to the handheld emission standards in
Sec. 1054.103 may not be used in nonhandheld equipment. For purposes
of the requirements of this part, engines at or below 80 cc are
considered handheld engines, but may be installed in either handheld or
nonhandheld equipment. These engines are subject to handheld exhaust
emission standards; the equipment in which they are installed are
subject to handheld evaporative emission standards starting with the
model years specified in this part 1054. See Sec. 1054.701(c) for
special provisions related to emission credits for engine families with
displacement at or below 80 cc where those engines are installed in
nonhandheld equipment.
(f) Interim provisions. It is important that you read Sec.
1054.145 to determine if there are other interim requirements or
[[Page 59262]]
interim compliance provisions that apply for a limited time.
Sec. 1054.103 What exhaust emission standards must my handheld
engines meet?
(a) Emission standards. Exhaust emissions from your handheld
engines may not exceed the emission standards in Table 1 to this
section. Measure emissions using the applicable steady-state test
procedures described in subpart F of this part.
Table 1 to Sec. 1054.103--Phase 3 Emission Standards for Handheld
Engines (g/kW-hr)
------------------------------------------------------------------------
Engine displacement class HC+NOX CO
------------------------------------------------------------------------
Class III............................................. 50 805
Class IV.............................................. 50 805
Class V............................................... 72 603
------------------------------------------------------------------------
(b) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program for HC+NOX emissions as described in subpart H of
this part. You may not generate or use emission credits for CO
emissions. To generate or use emission credits, you must specify a
family emission limit for each engine family you include in the ABT
program. These family emission limits serve as the emission standards
for the engine family with respect to all required testing instead of
the standards specified in this section. An engine family meets
emission standards even if its family emission limit is higher than the
standard, as long as you show that the whole averaging set of
applicable engine families meets the emission standards using emission
credits and the engines within the family meet the family emission
limit. The following FEL caps are the maximum values you may specify
for family emission limits:
(1) 336 g/kW-hr for Class III engines.
(2) 275 g/kW-hr for Class IV engines.
(3) 186 g/kW-hr for Class V engines.
(c) Fuel types. The exhaust emission standards in this section
apply for engines using the fuel type on which the engines in the
emission family are designed to operate. You must meet the numerical
emission standards for hydrocarbons in this section based on the
following types of hydrocarbon emissions for engines powered by the
following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Other engines: THC emissions.
(d) Useful life. Your engines must meet the exhaust emission
standards in paragraph (a) of this section over their full useful life
as described in Sec. 1054.107.
(e) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification, production-line,
and in-use testing.
Sec. 1054.105 What exhaust emission standards must my nonhandheld
engines meet?
(a) Emission standards. Exhaust emissions from your engines may not
exceed the emission standards in Table 1 to this section. Measure
emissions using the applicable steady-state test procedures described
in subpart F of this part.
Table 1 to Sec. 1054.105--Phase 3 Emission Standards for Nonhandheld
Engines (g/kW-hr)
------------------------------------------------------------------------
CO
standard
Engine displacement class HC+NOX Primary CO for marine
standard generator
engines
------------------------------------------------------------------------
Class I.......................... 10.0 610 5.0
Class II......................... 8.0 610 5.0
------------------------------------------------------------------------
(b) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program for HC+NOX emissions as described in subpart H of
this part. You may not generate or use emission credits for CO
emissions. To generate or use emission credits, you must specify a
family emission limit for each engine family you include in the ABT
program. These family emission limits serve as the emission standards
for the engine family with respect to all required testing instead of
the standards specified in this section. An engine family meets
emission standards even if its family emission limit is higher than the
standard, as long as you show that the whole averaging set of
applicable engine families meets the emission standards using emission
credits, and the engines within the family meet the family emission
limit. The following FEL caps are the maximum values you may specify
for family emission limits:
(1) 40.0 g/kW-hr for Class I engines with displacement below 100
cc.
(2) 16.1 g/kW-hr for Class I engines with displacement at or above
100 cc.
(3) 12.1 for Class II engines.
(c) Fuel types. The exhaust emission standards in this section
apply for engines using the fuel type on which the engines in the
emission family are designed to operate. You must meet the numerical
emission standards for hydrocarbons in this section based on the
following types of hydrocarbon emissions for engines powered by the
following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Other engines: THC emissions.
(d) Useful life. Your engines must meet the exhaust emission
standards in paragraph (a) of this section over their full useful life
as described in Sec. 1054.107.
(e) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification, production-line,
and in-use testing.
Sec. 1054.107 What is the useful life period for meeting exhaust
emission standards?
This section describes an engine family's useful life, which is the
period during which engines are required to comply with all emission
standards that apply. The useful life period is five years or a number
of hours of operation, whichever comes first, as described in this
section.
(a) Determine the useful life period for exhaust requirements as
follows:
(1) Except as specified in paragraphs (a)(2) and (3) of this
section, the useful life period for exhaust requirements is the number
of engine operating hours from Table 1 to this section that most
closely matches the expected median in-use life of your engines. The
median in-use life of your engine is the shorter of the following
values:
(i) The median in-use life of equipment into which the engine is
expected to be installed.
(ii) The median in-use life of the engine without being scrapped or
rebuilt.
[[Page 59263]]
Table 1 to Sec. 1054.107--Nominal Useful Life Periods
----------------------------------------------------------------------------------------------------------------
Nonhandheld
-----------------------------------------------------------------------------------------------------------------
Extended life
Residential residential Commercial
\1\
----------------------------------------------------------------------------------------------------------------
Class I......................................................... 125 250 500
Class II........................................................ 250 500 1,000
----------------------------------------------------------------------------------------------------------------
Handheld
-----------------------------------------------------------------------------------------------------------------
Light use Medium use Heavy use
----------------------------------------------------------------------------------------------------------------
Class III--V.................................................... 50 125 300
----------------------------------------------------------------------------------------------------------------
\1\ Or ``General Purpose.''
(2) You may select a longer useful life for nonhandheld engines
than that specified in paragraph (a)(1) of this section in 100-hour
increments not to exceed 3,000 hours for Class I engines or 5,000 hours
for Class II engines. For engine families generating emission credits,
you may do this only with our approval. These are considered ``Heavy
Commercial'' engines.
(3) The minimum useful life period for engines with maximum engine
power above 19 kW is 1,000 hours (see Sec. 1054.1(d)).
(b) Keep any available information to support your selection and
make it available to us if we ask for it. We may require you to certify
to a different useful life value from the table if we determine that
the selected useful life value is not justified by the data. We may
consider any relevant information, including your product warranty
statements and marketing materials regarding engine life, in making
this determination. We may void your certificate if we determine that
you intentionally selected an incorrect value. Support your selection
based on any of the following information:
(1) Surveys of the life spans of the equipment in which the subject
engines are installed.
(2) Engineering evaluations of field aged engines to ascertain when
engine performance deteriorates to the point where usefulness and/or
reliability is impacted to a degree sufficient to necessitate overhaul
or replacement.
(3) Failure reports from engine customers.
(4) Engineering evaluations of the durability, in hours, of
specific engine technologies, engine materials, or engine designs.
Sec. 1054.110 What evaporative emission standards must my handheld
equipment meet?
The following evaporative emission requirements apply for handheld
equipment over a useful life of five years:
(a) Fuel line permeation. Nonmetal fuel lines must meet the
permeation requirements for EPA Nonroad Fuel Lines or EPA Cold-Weather
Fuel Lines as specified in 40 CFR 1060.102. These requirements apply
starting in the 2012 model year, except that they apply starting in the
2013 model year for emission families involving small-volume emission
families that are not used in cold-weather equipment. For fuel lines
used in cold-weather equipment, you may generate or use emission
credits to show compliance with these permeation standards through 2015
as described in Sec. 1054.145(h).
(b) Tank permeation. Fuel tanks must meet the permeation
requirements specified in 40 CFR 1060.103. These requirements apply for
handheld equipment starting in the 2010 model year, except that they
apply starting in the 2011 model year for structurally integrated nylon
fuel tanks, in the 2012 model year for handheld equipment using
nonhandheld engines, and in the 2013 model year for all small-volume
emission families. For nonhandheld equipment using engines at or below
80 cc, the requirements of this paragraph (b) apply starting in the
2012 model year. (Note: 40 CFR 90.129 specifies emission standards for
certain 2009 model year engines and equipment.) You may generate or use
emission credits to show compliance with the requirements of this
paragraph (b) under the averaging, banking, and trading program as
described in subpart H of this part. FEL caps apply as specified in
Sec. 1054.112(b)(1) through (3) starting in the 2015 model year.
(c) Running loss. The running loss requirements specified in 40 CFR
part 1060 do not apply for handheld equipment.
(d) Other requirements. The provisions of 40 CFR 1060.101(e) and
(f) include general requirements that apply to all nonroad equipment
subject to evaporative emission standards.
(e) Engine manufacturers. To the extent that engine manufacturers
produce engines with fuel lines or fuel tanks, those fuel-system
components must meet the requirements specified in this section. The
timing of new standards is based on the date of manufacture of the
engine.
Sec. 1054.112 What evaporative emission standards must my nonhandheld
equipment meet?
The evaporative emission requirements of this section apply
starting in the 2011 model year for equipment using Class II engines
and in the 2012 model year for equipment using Class I engines over a
useful life of five years. See Sec. 1054.110 for requirements that
apply for nonhandheld equipment using engines at or below 80 cc.
(a) Fuel line permeation. Nonmetal fuel lines must meet the
permeation requirements for EPA Nonroad Fuel Lines as specified in 40
CFR 1060.102.
(b) Tank permeation. Fuel tanks must meet the permeation
requirements specified in 40 CFR 1060.103. Equipment manufacturers may
generate or use emission credits to show compliance with the
requirements of this paragraph (b) under the averaging, banking, and
trading program as described in subpart H of this part. Starting in the
2014 model year for Class II equipment and in the 2015 model year for
Class I equipment, the following FEL caps represent the maximum values
for family emission limits that you may use for your fuel tanks:
(1) Except as specified in paragraphs (b)(2) of this section, you
may not use fuel tanks with a family emission limit that exceeds 5.0 g/
m2/day for testing at a nominal temperature of 28 [deg]C, or
8.3 g/m2/day for testing at a nominal temperature of 40
[deg]C.
(2) For small-volume emission families, you may not use fuel tanks
with a family emission limit that exceeds 8.0 g/m2/day for
testing at a nominal temperature of 28 [deg]C, or 13.3 g/
[[Page 59264]]
m2/day for testing at a nominal temperature of 40 [deg]C.
(3) FEL caps do not apply to fuel caps that are certified
separately to meet permeation standards.
(c) Running loss. Running loss requirements apply as specified in
40 CFR 1060.104.
(d) Diurnal emissions. Nonhandheld equipment may optionally be
certified to the diurnal emission standards specified in 40 CFR
1060.105, in which case the permeation standards specified in
paragraphs (a) and (b) of this section do not apply.
(e) Other requirements. The provisions of 40 CFR 1060.101(e) and
(f) include general requirements that apply to all nonroad equipment
subject to evaporative emission standards.
(f) Engine manufacturers. To the extent that engine manufacturers
produce engines with fuel lines or fuel tanks, those fuel-system
components must meet the requirements specified in this section. The
timing of new standards is based on the date of manufacture of the
engine.
Sec. 1054.115 What other requirements apply?
The following requirements apply with respect to engines that are
required to meet the emission standards of this part:
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life, except as follows:
(1) Snowthrower engines may discharge crankcase emissions to the
ambient atmosphere if the emissions are added to the exhaust emissions
(either physically or mathematically) during all emission testing. If
you take advantage of this exception, you must do the following things:
(i) Manufacture the engines so that all crankcase emissions can be
routed into the applicable sampling systems specified in 40 CFR part
1065.
(ii) Account for deterioration in crankcase emissions when
determining exhaust deterioration factors.
(2) For purposes of this paragraph (a), crankcase emissions that
are routed to the exhaust upstream of exhaust aftertreatment during all
operation are not considered to be discharged directly into the ambient
atmosphere.
(b) Adjustable parameters. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing, including certification testing, production-line testing, or
in-use testing. You may ask us to limit idle-speed or carburetor
adjustments to a smaller range than the physically adjustable range if
you show us that the engine will not be adjusted outside of this
smaller range during in-use operation without significantly degrading
engine performance.
(c) Altitude adjustments. Engines must meet applicable emission
standards for valid tests conducted under the ambient conditions
specified in 40 CFR 1065.520. Except as specified in Sec. 1054.145(c),
engines must meet applicable emission standards at all specified
atmospheric pressures, except that for atmospheric pressures below 94.0
kPa you may rely on an altitude kit for all testing if you meet the
requirements specified in Sec. 1054.205(r). If you rely on an altitude
kit for certification, you must identify in the owners manual the
altitude range for which you expect proper engine performance and
emission control with and without the altitude kit; you must also state
in the owners manual that operating the engine with the wrong engine
configuration at a given altitude may increase its emissions and
decrease fuel efficiency and performance. See Sec. 1054.145(c) for
special provisions that apply for handheld engines.
(d) Prohibited controls. You may not design your engines with
emission-control devices, systems, or elements of design that cause or
contribute to an unreasonable risk to public health, welfare, or safety
while operating. For example, this would apply if the engine emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
(e) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission control device that
reduces the effectiveness of emission controls under conditions that
the engine may reasonably be expected to encounter during normal
operation and use. This does not apply for altitude kits installed or
removed consistent with Sec. 1054.655. This also does not apply to
auxiliary emission control devices you identify in your application for
certification if any of the following is true:
(1) The conditions of concern were substantially included in the
applicable duty-cycle test procedures described in subpart F of this
part.
(2) You show your design is necessary to prevent engine (or
equipment) damage or accidents.
(3) The reduced effectiveness applies only to starting the engine.
Sec. 1054.120 What emission-related warranty requirements apply to
me?
The requirements of this section apply to the manufacturer
certifying with respect to exhaust emissions. See 40 CFR part 1060 for
the warranty requirements related to evaporative emissions.
(a) General requirements. You must warrant to the ultimate
purchaser and each subsequent purchaser that the new engine, including
all parts of its emission control system, meets two conditions:
(1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
(2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
(b) Warranty period. Your emission-related warranty must be valid
during the periods specified in this paragraph (b). You may offer an
emission-related warranty more generous than we require. The emission-
related warranty for the engine may not be shorter than any published
warranty you offer without charge for the engine. Similarly, the
emission-related warranty for any component may not be shorter than any
published warranty you offer without charge for that component. If an
engine has no hour meter, we base the warranty periods in this
paragraph (b) only on the engine's age (in years). The warranty period
begins on the date of sale to the ultimate purchaser. The minimum
warranty periods are as follows:
(1) The minimum warranty period is two years except as allowed
under paragraph (b)(2) or (3) of this section.
(2) We may establish a shorter warranty period for handheld engines
subject to severe service in seasonal equipment if we determine that
these engines are likely to operate for a number of hours greater than
the applicable useful life within 24 months. You must request this
shorter warranty period in your application for certification or in an
earlier submission.
(3) For engines equipped with hour meters, you may deny warranty
claims for engines that have accumulated a number of hours greater than
50 percent of the applicable useful life.
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including
[[Page 59265]]
components listed in 40 CFR part 1068, Appendix I, and components from
any other system you develop to control emissions. The emission-related
warranty covers these components even if another company produces the
component. Your emission-related warranty does not cover components
whose failure would not increase an engine's emissions of any regulated
pollutant.
(d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.
Include instructions for obtaining warranty service consistent with the
requirements of paragraph (f) of this section.
(f) Requirements related to warranty claims. You are required at a
minimum to meet the following conditions to ensure that owners will be
able to promptly obtain warranty repairs:
(1) You must provide and monitor a toll-free telephone number and
an e-mail address for owners to receive information about how to make a
warranty claim, and how to make arrangements for authorized repairs.
(2) You must provide a source of replacement parts within the
United States. For parts that you import, this requires you to have at
least one distributor within the United States.
(3) You must use one of the following methods to show that you will
generally be able to honor warranty claims:
(i) If you have authorized service centers in all U.S. population
centers with a population of 100,000 or more based on the 2000 census,
you may limit warranty repairs to these service providers.
(ii) You may limit warranty repairs to authorized service centers
for owners located within 100 miles of an authorized service center.
For owners located more than 100 miles from an authorized service
center, you must state in your warranty that you will either pay for
shipping costs to and from an authorized service center, provide for a
service technician to come to the owner to make the warranty repair, or
pay for the repair to be made at a local nonauthorized service center.
The provisions of this paragraph (f)(3)(ii) apply only for the
contiguous states, excluding the states with high-altitude areas
identified in 40 CFR part 1068, Appendix III.
(iii) You may use the approach described in paragraphs (f)(3)(i) of
this section for some states and the approach described in paragraph
(f)(3)(ii) of this section for other states. However, you must have at
least one authorized service center in each state unless the whole
state is within 100 miles of authorized service centers in other
states.
(4) If your plan for meeting the requirements of this paragraph (f)
does not include at least 100 authorized repair facilities in the
United States or at least one such facility for each 5,000 engines you
sell in the United States, you must also post a bond as described in
Sec. 1054.690 to ensure that you will fulfill your warranty-repair
responsibilities even if you are not obligated to post a bond under
that section. Note that you may post a single bond to meet the
requirements of this section and Sec. 1054.690.
Sec. 1054.125 What maintenance instructions must I give to buyers?
Give the ultimate purchaser of each new engine written instructions
for properly maintaining and using the engine, including the emission
control system as described in this section. The maintenance
instructions also apply to service accumulation on your emission-data
engines as described in Sec. 1054.245 and in 40 CFR part 1065. Note
that for handheld engines subject to Phase 3 standards you may perform
maintenance on emission-data engines during service accumulation as
described in 40 CFR part 90.
(a) Critical emission-related maintenance. Critical emission-
related maintenance includes any adjustment, cleaning, repair, or
replacement of critical emission-related components. This may also
include additional emission-related maintenance that you determine is
critical if we approve it in advance. You may schedule critical
emission-related maintenance on these components if you meet the
following conditions:
(1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use engines. We will accept
scheduled maintenance as reasonably likely to occur if you satisfy any
of the following conditions:
(i) You present data showing that any lack of maintenance that
increases emissions also unacceptably degrades the engine's
performance.
(ii) You present survey data showing that at least 80 percent of
engines in the field get the maintenance you specify at the recommended
intervals. If the survey data show that 60 to 80 percent of engines in
the field get the maintenance you specify at the recommended intervals,
you may ask us to consider additional factors such as the effect on
performance and emissions. For example, we may allow you to schedule
fuel-injector replacement as critical emission-related maintenance if
you have survey data showing this is done at the recommended interval
for 65 percent of engines and you demonstrate that performance
degradation is roughly proportional to the degradation in emission
control for engines that do not have their fuel injectors replaced.
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
(iv) You otherwise show us that the maintenance is reasonably
likely to be done at the recommended intervals.
(2) You may schedule cleaning or changing air filters or changing
spark plugs at the least frequent interval described in the owners
manual. See Sec. 1054.245 for testing requirements related to these
maintenance steps.
(3) You may not schedule critical emission-related maintenance
within the useful life period for aftertreatment devices, pulse-air
valves, fuel injectors, oxygen sensors, electronic control units,
superchargers, or turbochargers, except as specified in paragraph (b)
or (c) of this section.
(b) Recommended additional maintenance. You may recommend any
additional amount of maintenance on the components listed in paragraph
(a) of this section, as long as you state clearly that these
maintenance steps are not necessary to keep the emission-related
warranty valid. If operators do the maintenance specified in paragraph
(a) of this section, but not the recommended additional maintenance,
this does not allow you to disqualify those engines from in-use testing
or deny a warranty claim. Do not take these maintenance steps during
service accumulation on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are
addressing.
(d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (i.e., maintenance that is neither
explicitly identified as critical emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-
[[Page 59266]]
related maintenance generally includes re-seating valves, removing
combustion chamber deposits, or any other emission-related maintenance
on the components we specify in 40 CFR part 1068, Appendix I that is
not covered in paragraph (a) of this section. You must state in the
owners manual that these steps are not necessary to keep the emission-
related warranty valid. If operators fail to do this maintenance, this
does not allow you to disqualify those engines from in-use testing or
deny a warranty claim. Do not take these inspection or maintenance
steps during service accumulation on your emission-data engines.
(e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also take these inspection or
maintenance steps during service accumulation on your emission-data
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing fuel or oil filters,
servicing engine-cooling systems, and adjusting idle speed, governor,
engine bolt torque, valve lash, or injector lash. You may perform this
nonemission-related maintenance on emission-data engines at the least
frequent intervals that you recommend to the ultimate purchaser (but
not the intervals recommended for severe service).
(f) Source of parts and repairs. State clearly on the first page of
your written maintenance instructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission control
devices and systems. Your instructions may not require components or
service identified by brand, trade, or corporate name. Also, do not
directly or indirectly condition your warranty on a requirement that
the engine be serviced by your franchised dealers or any other service
establishments with which you have a commercial relationship. You may
disregard the requirements in this paragraph (f) if you do one of two
things:
(1) Provide a component or service without charge under the
purchase agreement.
(2) Get us to waive this prohibition in the public's interest by
convincing us the engine will work properly only with the identified
component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following
criteria:
(1) Each affected component was not in general use on similar
engines before 1997.
(2) The primary function of each affected component is to reduce
emissions.
(3) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the engine's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.
Sec. 1054.130 What installation instructions must I give to equipment
manufacturers?
(a) If you sell an engine for someone else to install in a piece of
equipment, give the engine installer instructions for installing it
consistent with the requirements of this part. Include all information
necessary to ensure that an engine will be installed in its certified
configuration.
(b) Make sure the instructions have the following information:
(1) Include the heading: ``Emission-related installation
instructions''.
(2) State: ``Failing to follow these instructions when installing a
certified engine in nonroad equipment violates federal law (40 CFR
1068.105(b)), subject to fines or other penalties as described in the
Clean Air Act.''
(3) Describe the instructions needed to properly install the
exhaust system and any other components. Include instructions
consistent with the requirements of Sec. 1054.655 related to altitude
kits.
(4) Describe the steps needed to control evaporative emissions in
accordance with certificates of conformity that you hold. Include
instructions for connecting fuel lines as needed to prevent running
loss emissions, if applicable. Such instructions must include
sufficient detail to ensure that running loss control will not cause
the engine to exceed exhaust emission standards. For example, you may
specify a maximum vapor flow rate under normal operating conditions.
Also include notification that the installer must meet the requirements
of Sec. 1054.112 and 40 CFR part 1060.
(5) Describe any limits on the range of applications needed to
ensure that the engine remains in its certified configuration after
installation. For example, if you certify engines only for rated-speed
applications tell equipment manufacturers that the engine must not be
installed in equipment involving intermediate-speed operation. Also, if
your wintertime engines are not certified to the otherwise applicable
HC+NOX standards, tell equipment manufacturers that the
engines must be installed in equipment that is used only in wintertime.
(6) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. For example, this may include specified
limits for catalyst systems, such as exhaust backpressure, catalyst
location, and temperature profiles during engine operation.
(7) State: ``If you install the engine in a way that makes the
engine's emission control information label hard to read during normal
engine maintenance, you must place a duplicate label on the equipment,
as described in 40 CFR 1068.105.''
(c) You do not need installation instructions for engines you
install in your own equipment.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation
requirements.
Sec. 1054.135 How must I label and identify the engines I produce?
The provisions of this section apply to engine manufacturers.
(a) Assign each engine a unique identification number and
permanently affix, engrave, or stamp it on the engine in a legible way.
(b) At the time of manufacture, affix a permanent and legible label
identifying each engine. The label must be--
(1) Attached in one piece so it is not removable without being
destroyed or defaced.
(2) Secured to a part of the engine needed for normal operation and
not normally requiring replacement.
(3) Durable and readable for the engine's entire life.
(4) Written in English.
(c) The label must conform to the following specifications without
exception:
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the provisions of Sec. 1054.640.
(3) Include EPA's standardized designation for the emission family
(and subfamily, where applicable).
[[Page 59267]]
(4) State the following based on the useful life requirements in
Sec. 1054.107: ``EMISSION COMPLIANCE PERIOD = [identify applicable
useful life period] HOURS''. In addition to specifying the hours, you
may optionally add the descriptive terms specified in Sec. 1054.107(a)
to characterize the useful life. You may use the term Heavy Commercial
for nonhandheld engines if you establish a longer useful life under
Sec. 1054.107(a)(2).
(5) State the engine's displacement (in cubic centimeters);
however, you may omit this from the label if all the engines in the
emission family have the same per-cylinder displacement and total
displacement.
(6) State the date of manufacture [DAY (optional), MONTH, and
YEAR]; however, you may omit this from the label if you stamp, engrave,
or otherwise permanently identify it elsewhere on the engine, in which
case you must also describe in your application for certification where
you will identify the date on the engine.
(7) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
(8) Include one of the following statements:
(i) If you certify the engine only with respect to exhaust
emissions, state--
``THIS ENGINE MEETS U.S. EPA EXH REGS FOR [MODEL YEAR].''
(ii) If you certify the engine with respect to exhaust emissions
and the equipment with respect to evaporative emissions, state--
``THIS ENGINE MEETS U.S. EPA EXH/EVP REGS FOR [MODEL YEAR].''
(d) The following information may be included on the label or in
the owners manual:
(1) List specifications and adjustments for engine tuneups.
(2) Identify the altitude at which an altitude kit should be
installed if you specify an altitude kit under Sec. 1054.115(c).
(3) Identify the fuel type and any requirements for fuel and
lubricants.
(4) If your nonhandheld engines are certified for use only at rated
speed or only at intermediate speed, add the statement: ``CERTIFIED FOR
[rated-speed or intermediate-speed] APPLICATIONS ONLY'' or ``CERTIFIED
FOR [identify nominal engine speed or range of speeds for testing]
OPERATION ONLY''.
(e) You may add information to the emission control information
label as follows:
(1) You may identify other emission standards that the engine meets
or does not meet (such as California standards). You may include this
information by adding it to the statement we specify or by including a
separate statement.
(2) You may add other information to ensure that the engine will be
properly maintained and used.
(3) You may add appropriate features to prevent counterfeit labels.
For example, you may include the engine's unique identification number
on the label.
(f) Except for the labeling requirements specified in paragraph (c)
of this section, you may ask us to approve modified labeling
requirements in this part 1054 if you show that it is necessary or
appropriate. We will approve your request if your alternate label is
consistent with the requirements of this part.
(g) If others install your engine in their equipment in a way that
obscures the engine label such that the label cannot be read during
normal maintenance, we require them to add a duplicate label on the
equipment (see 40 CFR 1068.105). If equipment manufacturers request it,
send them labels that include all the information from the original
label and that are clearly identified as duplicate labels. You may omit
the date of manufacture from the duplicate label. Keep a written record
of each request for five years after it is no longer needed for ongoing
production.
(h) Integrated equipment manufacturers certifying their engines and
equipment with respect to both exhaust and evaporative emission
standards may meet labeling requirements with a single label that has
all the required information specified in this section and in 40 CFR
1060.135.
Sec. 1054.140 What is my engine's maximum engine power and
displacement?
This section describes how to quantify your engine's maximum engine
power and displacement for the purposes of this part.
(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest 0.1 kilowatts for nonhandheld engines and to the nearest 0.01
kilowatts for handheld engines. The nominal power curve of an engine
configuration is the relationship between maximum available engine
brake power and engine speed for an engine, using the mapping
procedures of 40 CFR part 1065, based on the manufacturer's design and
production specifications for the engine. For handheld engines, we may
allow manufacturers to base the nominal power curve on other mapping
procedures, consistent with good engineering judgment. This information
may also be expressed by a torque curve that relates maximum available
engine torque with engine speed. Note that maximum engine power is
based on engines and installed engine governors; equipment designs that
further limit engine operation do not change maximum engine power.
(b) An engine configuration's displacement is the intended swept
volume of all the engine's cylinders. The swept volume of the engine is
the product of the internal cross-section area of the cylinders, the
stroke length, and the number of cylinders. Calculate the engine's
intended swept volume from the design specifications for the cylinders
using enough significant figures to allow determination of the
displacement to the nearest 0.1 cc. Determine the final value by
rounding to the nearest cubic centimeter. For example, for a one-
cylinder engine with circular cylinders having an internal diameter of
6.00 cm and a 6.25 cm stroke length, the rounded displacement would be:
(1) x (6.00/2) 2 x ([pi]) x (6.25) = 177 cc.
(c) The nominal power curve and intended swept volume must be
within the range of the actual power curves and swept volumes of
production engines considering normal production variability. If after
production begins it is determined that either your nominal power curve
or your intended swept volume does not represent production engines, we
may require you to amend your application for certification under Sec.
1054.225.
Sec. 1054.145 Are there interim provisions that apply only for a
limited time?
The provisions in this section apply instead of other provisions in
this part. This section describes how and when these interim provisions
apply.
(a) Delayed Phase 3 implementation for engine manufacturers. Small-
volume engine manufacturers may delay complying with the Phase 3
exhaust emission standards and requirements that would otherwise apply,
subject to the following conditions:
(1) You may delay meeting the Phase 3 exhaust emission standards
until 2013 for Class II engines and until 2014 for Class I engines. The
running loss standards in Sec. 1054.112 also do not apply to engines
exempted under this paragraph (a), or to equipment using these engines.
[[Page 59268]]
(2) You must certify your engines exempted under this section to
the Phase 2 standards and requirements specified in 40 CFR 90.103 and
summarized in Appendix I of this part. You must meet the labeling
requirements in 40 CFR 90.114, but use the following compliance
statement instead of the compliance statement in 40 CFR 90.114(c)(7):
``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [CURRENT MODEL
YEAR] NONROAD ENGINES UNDER 40 CFR 1054.145(a).''
(3) After the delays indicated in paragraph (a)(1) of this section,
you must comply with the same standards and requirements as all other
manufacturers except as noted elsewhere in this section.
(4) The provisions of this paragraph (a) may not be used to
circumvent the requirements of this part.
(5) You may continue to generate early credits during this two-year
period as described under Sec. 1054.740 as if the Phase 3 emission
standards applied starting in the 2013 model year for Class II engines
and in the 2014 model year for Class I engines.
(b) Delayed Phase 3 implementation for equipment manufacturers. The
provisions of Sec. 1054.625 describe how manufacturers may produce
certain numbers of equipment using Class II engines that meet Phase 2
standards during the first four years that the Phase 3 standards apply.
(c) Special provisions for handheld engines. The following
provisions apply for handheld engines:
(1) You may use the provisions in 40 CFR 90.104(g) to rely on
assigned deterioration factors for small-volume engine manufacturers
and for small-volume engine families.
(2) You may perform maintenance on emission-data engines during
service accumulation as described in 40 CFR part 90. If your scheduled
emission-related maintenance falls within 10 hours of a test point,
delay the maintenance until the engine reaches the test point. Measure
emissions before and after peforming the maintenance. Use the average
values from these two measurements to calculate deterioration factors.
The emission-data engine must meet applicable emission standards before
and after maintenance to be considered in compliance, as described in
Sec. 1054.240(a) and (b).
(3) Engines subject to Phase 3 emission standards must meet the
standards at or above barometric pressures of 96.0 kPa in the standard
configuration and are not required to meet emission standards at lower
barometric pressures. This is intended to allow testing under most
weather conditions at all altitudes up to 1,100 feet above sea level.
In your application for certification, identify the altitude above
which you rely on an altitude kit to meet emission standards and
describe your plan for making information and parts available such that
you would reasonably expect that altitude kits would be widely used at
all such altitudes.
(d) Alignment of model years for exhaust and evaporative standards.
Evaporative emission standards generally apply based on the model year
of the equipment, which is determined by the equipment's date of final
assembly. However, in the first year of new emission standards,
equipment manufacturers may apply evaporative emission standards based
on the model year of the engine as shown on the engine's emission
control information label. For example, for the fuel line permeation
standards starting in 2012, equipment manufacturers may order a batch
of 2011 model year engines for installation in 2012 model year
equipment, subject to the anti-stockpiling provisions of 40 CFR
1068.105(a). The equipment with the 2011 model year engines would not
need to meet fuel line permeation standards, as long as the equipment
is fully assembled by December 31, 2012.
(e) Early compliance with evaporative emission standards--
nonhandheld equipment manufacturers. You may produce nonhandheld
equipment that does not meet the otherwise applicable evaporative
emission standards without violating the prohibition in 40 CFR
1068.101(a)(1) if you earn evaporative emission allowances, as follows:
(1) You may earn an evaporative emission allowance from each piece
of equipment certified to California's evaporative emission standards
by producing it before the requirements of this part start to apply and
selling it outside of California. You may use an evaporative emission
allowance by selling one piece of equipment that does not meet any EPA
evaporative emission standards even though it is subject to the EPA
standards. The early-compliant equipment must be covered by an EPA
certificate of conformity (see 40 CFR 1060.105(e)).
(2) You may earn an evaporative emission allowance with respect to
fuel tank permeation from each piece of equipment certified to EPA's
evaporative emission standards by selling it outside of California or
in an application that is preempted from California's standards before
EPA's fuel tank permeation standards start to apply. The early-
compliant fuel tanks must be covered by an EPA certificate of
conformity, though you may demonstrate compliance based on the
specifications and procedures adopted by the California Air Resources
Board. You may use an evaporative emission allowance by selling one
piece of equipment with a fuel tank that does not meet the EPA emission
standards that would otherwise apply. For example, you can earn an
evaporative emission allowance by selling a low-permeation fuel tank
for Class II equipment before the 2011 model year, in which case you
could sell a piece of Class II equipment in 2011 with a high-permeation
fuel tank. You may not generate allowances under this paragraph (e)(2)
based on your sales of metal fuel tanks.
(3) Evaporative emission allowances you earn under this paragraph
(e) from equipment with Class I engines may be used only for other
equipment with Class I engines. Similarly, evaporative emission
allowances you earn under this paragraph (e) from equipment with Class
II engines may be used only for other equipment with Class II engines.
(4) You must label any equipment using allowances under this
paragraph (e) with the following statement: ``EXEMPT FROM EVAPORATIVE
STANDARDS UNDER 40 CFR 1054.145(e)''.
(5) You may not use the allowances you generate under this
paragraph (e) for 2014 and later model year equipment with Class II
engines or for 2015 and later model year equipment with Class I
engines.
(6) Send the Designated Compliance Officer the following
information for each year in which you use the provisions of this
paragraph (e):
(i) Send us a report within 45 days after the end of the model year
describing how many pieces of equipment you produced in the preceding
model year that generate allowances. You may combine this with the
reports specified in Sec. 1054.250(a) if applicable.
(ii) Describe the number of equipment using allowances under this
paragraph (e) in your end-of-year reports and final reports after the
end of the model year as described in Sec. 1054.730(a). If you do not
participate in the averaging, banking, and trading program, send this
information separately within 90 days after the end of the model year.
(f) Early banking for evaporative emission standards--handheld
equipment manufacturers. You may earn emission credits for handheld
equipment you produce before the evaporative emission standards of
Sec. 1054.110 apply. To do this, your equipment must use fuel tanks
with a
[[Page 59269]]
family emission limit below 1.5 g/m2/day (or 2.5 g/
m2/day for testing at 40 [deg]C). Calculate your credits as
described in Sec. 1054.706 based on the difference between the family
emission limit and 1.5 g/m2/day (or 2.5 g/m2/day
for testing at 40 [deg]C).
(g) Useful life for evaporative emission standards. (1) A useful
life period of two years applies for fuel tanks or fuel caps certified
to meet permeation emission standards in 2013 and earlier model years.
However, for fuel tanks with a family emission limit above or below the
specified emission standard, calculate emission credits under Sec.
1054.706 based on a useful life of five years.
(2) A useful life period of two years applies for cold-weather fuel
lines certified to meet permeation emission standards in 2012 and 2013.
However, for fuel lines with a family emission limit above or below the
specified emission standard, calculate emission credits under Sec.
1054.706 based on a useful life of five years.
(h) Emission credit program for cold-weather fuel lines. In the
2012 through 2015 model years, certifying equipment manufacturers may
generate or use emission credits for averaging to show compliance with
the permeation standards for cold-weather fuel lines, but not for
banking or trading, as follows:
(1) To generate or use emission credits, apply the provisions of
subpart H of this part as they apply for fuel tanks except as specified
in this paragraph (h). For example, calculate emission credits based on
the internal surface area of the fuel lines and a five-year useful
life, even if the standards apply temporarily over a shorter useful
life.
(2) Establish an FEL for each emission family based on emission
measurements as specified in 40 CFR 1060.515. The FEL may not exceed
400 g/m2/day for any emission family.
(3) Use an adjustment factor (AF) of 1.0 for calculating credits.
(4) Cold-weather fuel lines are in a separate averaging set, which
means you may not exchange emission credits between fuel tanks and fuel
lines.
(i) Use of California data for handheld fuel tank permeation. If
you certified handheld fuel tanks to the permeation standards in 40 CFR
90.129 based on emission measurements for demonstrating compliance with
emission standards for California, you may continue to comply with the
provisions of 40 CFR 90.129 instead of the provisions of Sec.
1054.110(b) for the 2010 and 2011 model years, provided that we allow
you to use carryover emission data under 40 CFR 1060.235(e) for your
emission family.
(j) Continued use of 40 CFR part 90 test procedures. You may use
the test procedures for measuring exhaust emissions in 40 CFR part 90
instead of those in subpart F of this part for 2010 through 2012 model
years. This applies for certification, production-line, and in-use
testing. You may continue to use data based on the test procedures in
40 CFR part 90 for engine families in 2013 and later model years,
provided that we allow you to use carryover emission data under 40 CFR
1054.235(d) for your emission family. You may also use the test
procedures for measuring exhaust emissions in 40 CFR part 90 for
production-line testing with any engine family whose certification is
based on testing with those procedures.
(k) Carryover of exhaust emission data from Californa ARB
procedures. You may certify your engines through the 2012 model year
based on exhaust emission data you previously submitted to California
ARB. This applies for certification and production-line testing. This
paragraph (k) no longer applies starting with the 2013 model year. Note
that other regulatory provisions may allow you to use data from
California ARB for EPA certification in certain circumstances.
(l) [Reserved]
(m) Delayed compliance for rotation-molded fuel tanks. (1) You may
produce limited numbers of 2011 and 2012 model year equipment with
rotation-molded fuel tanks that do not meet permeation emission
standards specified in Sec. 1054.112(b) and 40 CFR 1060.103, subject
to the following provisions:
(i) You may use allowances under this paragraph (m) only for Class
II equipment models using identical fuel tanks such that the production
volumes of the fuel tank design used in such equipment is no more than
5,000 units in the 2011 and 2012 model years, with a total corporate
allowance of 10,000 units in 2012. If production volumes are greater
than 5,000 for a given fuel tank design (or greater than 10,000
corporate-wide in the 2012 model year), all those tanks must comply
with emission standards. Tanks are generally considered identical if
they are produced under a single part number to conform to a single
design or blueprint. Tanks should be considered identical if they
differ only with respect to production variability, post-production
changes (such as different fittings or grommets), supplier, color, or
other extraneous design variables. The limit of 5,000 units for a given
fuel tank design applies together for the total production from any
parent or subsidiary companies.
(ii) Include the following statement on the emission label
specified in 40 CFR 1060.135: ``EXEMPT FROM TANK PERMEATION STANDARDS
UNDER 40 CFR 1054.145''.
(iii) You must keep records to demonstrate that you do not exceed
the specified production volumes. Identify the number of exempted
equipment you produced from each model and from each production
facility.
(iv) You may not apply the provisions of this paragraph (m) for
fuel tanks that are not rotation-molded or for equipment that is not
powered by a Class II engine.
(2) Fuel tank manufacturers may produce exempted fuel tanks as
needed for equipment manufacturers under this paragraph (m) without our
prior approval. Fuel tank manufacturers must keep records of the number
of exempted fuel tanks sold to each equipment manufacturer.
(3) Equipment you produce under this paragraph (m) are exempt from
the prohibitions in 40 CFR 1068.101(a)(1) with respect to fuel tank
permeation emissions, subject to the provisions of this paragraph (m).
However, producing more exempted equipment than we allow under this
paragraph (m) violates the prohibitions in 40 CFR 1068.101(a)(1).
Equipment manufacturers and fuel tank manufacturers must keep the
records we require under this paragraph (m) until at least December 31,
2016 and give them to us if we ask for them (see 40 CFR
1068.101(a)(2)).
(n) Ethanol-blended test fuel for nonhandheld engines. During the
first two years of the Phase 3 standards, if you use an ethanol-blended
test fuel for certifying a given engine family as described in Sec.
1054.501(b)(2), we will also use the blended fuel for testing engines
from that engine family, whether or not you use the blended fuel for
certifying all your Class I (or Class II) engine families in that model
year.
Subpart C--Certifying Emission Families
Sec. 1054.201 What are the general requirements for obtaining a
certificate of conformity?
Engine manufacturers must certify their engines with respect to the
exhaust emission standards in this part. Manufacturers of engines,
equipment, or fuel-system components may need to certify their products
with respect to evaporative emission standards as described in 40 CFR
1060.1 and 1060.601. The following general
[[Page 59270]]
requirements apply for obtaining a certificate of conformity:
(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date but it is not valid for any
production after December 31 of the model year for which it is issued.
No certificate will be issued after December 31 of the model year. If
you certify with respect to both exhaust and evaporative emissions, you
must submit separate applications.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1054.255).
(c) We may ask you to include less information than we specify in
this subpart as long as you maintain all the information required by
Sec. 1054.250.
(d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and
sign the application.
(f) See Sec. 1054.255 for provisions describing how we will
process your application.
(g) We may require you to deliver your test engines to a facility
we designate for our testing (see Sec. 1054.235(c)).
Sec. 1054.205 What must I include in my application?
This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1054.201(c). We may require you to provide additional information to
evaluate your application. The provisions of this section apply to
integrated equipment manufacturers and engine manufacturers selling
loose engines. Nonintegrated equipment manufacturers must follow the
requirements of 40 CFR part 1060.
(a) Describe the emission family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, all-
season gasoline). List each distinguishable engine configuration in the
emission family. For each engine configuration in which the maximum
modal power of the emission-data engine is at or above 25 kW (or power
at or above 15 kW if displacement is above 1000 cc), list the maximum
engine power and the range of values for maximum engine power resulting
from production tolerances, as described in Sec. 1054.140.
(b) Explain how the emission control systems operate. Describe the
evaporative emission controls and show how your design will prevent
running loss emissions, if applicable. Also describe in detail all
system components for controlling exhaust emissions, including all
auxiliary emission control devices (AECDs) and all fuel-system
components you will install on any production or test engine. Identify
the part number of each component you describe (or the alphanumeric
designation for catalysts described in Sec. 1054.610, if applicable).
For this paragraph (b), treat as separate AECDs any devices that
modulate or activate differently from each other. Include sufficient
detail to allow us to evaluate whether the AECDs are consistent with
the defeat device prohibition of Sec. 1054.115. For example, if your
engines will routinely experience in-use operation that differs from
the specified duty cycle for certification, describe how the fuel-
metering system responds to varying speeds and loads not represented by
the duty cycle. If you test an emission-data engine by disabling the
governor for full-load operation such that the engine operates at an
air-fuel ratio significantly different than under full-load operation
with an installed governor, explain why these differences are necessary
or appropriate. For conventional carbureted engines without electronic
fuel controls, it is sufficient to state that there is no significant
difference in air-fuel ratios.
(c) [Reserved]
(d) Describe the engines, equipment, and fuel system components you
selected for testing and the reasons for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used. For
handheld engines, describe how you selected the value for rated speed.
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
(g) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
(h) Identify the emission family's useful life. Describe the basis
for selecting useful life values with respect to exhaust emissions (see
Sec. 1054.107).
(i) Include the maintenance and warranty instructions you will give
to the ultimate purchaser of each new engine (see Sec. Sec. 1054.120
and 1054.125). Describe your basis for meeting the warranty-assurance
provisions in Sec. 1054.120(f). Describe your recall repair network if
it is different than your warranty repair network. State that you will
post a bond as specified in Sec. 1054.120(f) and 1054.690 or describe
why those requirements do not apply.
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in nonroad equipment (see
Sec. 1054.130).
(k) Describe your emission control information label (see Sec.
1054.135).
(l) Identify the emission standards or FELs for the emission
family.
(m) Identify the emission family's deterioration factors and
describe how you developed them (see Sec. 1054.245). Present any
emission test data you used for this.
(n) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.
(o) Present emission data to show that you meet exhaust emission
standards, as follows:
(1) Present emission data for hydrocarbons (such as THC, THCE, or
NMHC, as applicable), NOX, and CO on an emission-data engine
to show your engines meet the applicable exhaust emission standards as
specified in Sec. 1054.101. Show emission figures before and after
applying deterioration factors for each engine. Include test data from
each applicable duty cycle specified in Sec. 1054.505(b). If we
specify more than one grade of any fuel type (for example, low-
temperature and all-season gasoline), you need to submit test data only
for one grade, unless the regulations of this part specify otherwise
for your engine.
(2) Note that Sec. Sec. 1054.235 and 1054.245 allow you to submit
an application in certain cases without new emission data.
(p) Report all test results, including those from invalid tests,
whether or not they were conducted according to the test procedures of
subpart F of this part. If you measure CO2, report those
emission levels (in g/kW-hr). We may ask you to send other information
to confirm that your tests were valid under the requirements of this
part and 40 CFR parts 1060 and 1065.
(q) Describe all adjustable operating parameters (see Sec.
1054.115(b)), including production tolerances. Include the following in
your description of each parameter:
[[Page 59271]]
(1) The nominal or recommended setting.
(2) The intended physically adjustable range.
(3) The limits or stops used to establish adjustable ranges.
(4) Information showing why the limits, stops, or other means of
inhibiting adjustment are effective in preventing adjustment of
parameters on in-use engines to settings outside your intended
physically adjustable ranges.
(r) Describe how your nonhandheld engines comply with emission
standards at varying atmospheric pressures. Include a description of
altitude kits you design to comply with the requirements of Sec.
1054.115(c). Identify the part number of each component you describe.
Identify the altitude range for which you expect proper engine
performance and emission control with and without the altitude kit.
State that your engines will comply with applicable emission standards
throughout the useful life with the altitude kit installed according to
your instructions. Describe any relevant testing, engineering analysis,
or other information in sufficient detail to support your statement. In
addition, describe your plan for making information and parts available
such that you would reasonably expect that altitude kits would be
widely used in the high-altitude counties specified in 40 CFR part
1068, Appendix III. For example, engine owners should have ready access
to information describing when an altitude kit is needed and how to
obtain this service. Similarly, parts and service information should be
available to qualified service facilities in addition to authorized
service centers if that is needed for owners to have such altitude kits
installed locally.
(s) If your engines are subject to handheld emission standards on
the basis of meeting weight limitations described in the definition of
``handheld'' in Sec. 1054.801, describe your analysis showing that you
meet the applicable weight-related restrictions.
(t) State whether your certification is limited for certain
engines. If this is the case, describe how you will prevent use of
these engines in applications for which they are not certified. This
applies for engines such as the following:
(1) Wintertime engines not certified to the specified
HC+NOX standard.
(2) Two-stroke snowthrower engines using the provisions of Sec.
1054.101(d).
(u) Unconditionally certify that all the engines in the emission
family comply with the requirements of this part, other referenced
parts of the CFR, and the Clean Air Act.
(v) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes
if they are substantially different than actual production volumes in
earlier years for similar models. Also indicate whether you expect the
engine family to contain only nonroad engines, only stationary engines,
or both.
(w) State that you will post a bond as specified in Sec. 1054.690
or describe why those requirements do not apply.
(x) Include the information required by other subparts of this
part. For example, include the information required by Sec. 1054.725
if you participate in the ABT program.
(y) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(z) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.
(aa) For imported engines or equipment, identify the following:
(1) The port(s) at which you have imported your engines (or
equipment containing your engines) over the previous 12 months.
(2) The names and addresses of the agents you have authorized to
import your engines or equipment.
(3) The location of a test facility in the United States where you
can test your engines if we select them for testing under a selective
enforcement audit, as specified in 40 CFR part 1068, subpart E.
Sec. 1054.210 May I get preliminary approval before I complete my
application?
If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to emission family definitions, auxiliary emission
control devices, deterioration factors, useful life, testing for
service accumulation, maintenance, and delegated final assembly.
Decisions made under this section are considered to be preliminary
approval, subject to final review and approval. We will generally not
reverse a decision where we have given you preliminary approval, unless
we find new information supporting a different decision. If you request
preliminary approval related to the upcoming model year or the model
year after that, we will make the appropriate determinations as soon as
practicable. We will generally not provide preliminary approval related
to a future model year more than two years ahead of time.
Sec. 1054.220 How do I amend the maintenance instructions in my
application?
You may amend your emission-related maintenance instructions after
you submit your application for certification as long as the amended
instructions remain consistent with the provisions of Sec. 1054.125.
You must send the Designated Compliance Officer a written request to
amend your application for certification for an engine family if you
want to change the emission-related maintenance instructions in a way
that could affect emissions. In your request, describe the proposed
changes to the maintenance instructions. If operators follow the
original maintenance instructions rather than the newly specified
maintenance, this does not allow you to disqualify those engines from
in-use testing or deny a warranty claim.
(a) If you are decreasing, replacing, or eliminating any specified
maintenance, you may distribute the new maintenance instructions to
your customers 30 days after we receive your request, unless we
disapprove your request. This would generally include replacing one
maintenance step with another. We may approve a shorter time or waive
this requirement.
(b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions
anytime after you send your request. For example, this paragraph (b)
would cover adding instructions to increase the frequency of filter
changes for engines in severe-duty applications.
(c) You need not request approval if you are making only minor
corrections (such as correcting typographical mistakes), clarifying
your maintenance instructions, or changing instructions for maintenance
unrelated to emission control. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).
Sec. 1054.225 How do I amend my application for certification to
include new or modified engines or fuel systems or change an FEL?
Before we issue you a certificate of conformity, you may amend your
application to include new or modified engine or fuel-system
configurations, subject to the provisions of this section. After we
have issued your certificate of conformity, you may send us an amended
application requesting that we include new or modified configurations
within the scope of the certificate, subject to the provisions of this
section.
[[Page 59272]]
You must amend your application if any changes occur with respect to
any information included in your application.
(a) You must amend your application before you take any of the
following actions:
(1) Add an engine or fuel-system configuration to an emission
family. In this case, the configuration added must be consistent with
other configurations in the emission family with respect to the
criteria listed in Sec. 1054.230.
(2) Change a configuration already included in an emission family
in a way that may affect emissions, or change any of the components you
described in your application for certification. This includes
production and design changes that may affect emissions any time during
the engine's lifetime.
(3) Modify an FEL for an emission family with respect to exhaust
emissions as described in paragraph (f) of this section.
(b) To amend your application for certification, send the
Designated Compliance Officer the following information:
(1) Describe in detail the addition or change in the model or
configuration you intend to make.
(2) Include engineering evaluations or data showing that the
amended emission family complies with all applicable requirements. You
may do this by showing that the original emission-data engine or
emission-data equipment is still appropriate for showing that the
amended family complies with all applicable requirements.
(3) If the original emission-data engine for the engine family is
not appropriate to show compliance for the new or modified engine
configuration, include new test data showing that the new or modified
engine configuration meets the requirements of this part.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For emission families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your new or modified configuration. You may ask for a
hearing if we deny your request (see Sec. 1054.820).
(e) For emission families already covered by a certificate of
conformity, you may start producing the new or modified configuration
anytime after you send us your amended application and before we make a
decision under paragraph (d) of this section. However, if we determine
that the affected configurations do not meet applicable requirements,
we will notify you to cease production of the configurations and may
require you to recall the engine or equipment at no expense to the
owner. Choosing to produce engines under this paragraph (e) is deemed
to be consent to recall all engines or equipment that we determine do
not meet applicable emission standards or other requirements and to
remedy the nonconformity at no expense to the owner. If you do not
provide information required under paragraph (c) of this section within
30 days after we request it, you must stop producing the new or
modified engine or equipment.
(f) You may ask us to approve a change to your FEL with respect to
exhaust emissions in certain cases after the start of production. The
changed FEL may not apply to engines you have already introduced into
U.S. commerce, except as described in this paragraph (f). If we approve
a changed FEL after the start of production, you must identify the date
or serial number for applying the new FEL. If you identify this by
month and year, we will consider that a lowered FEL applies on the last
day of the month and a raised FEL applies on the first day of the
month. You may ask us to approve a change to your FEL in the following
cases:
(1) You may ask to raise your FEL for your emission family at any
time. In your request, you must show that you will still be able to
meet the emission standards as specified in subparts B and H of this
part. If you amend your application by submitting new test data to
include a newly added or modified engine, as described in paragraph
(b)(3) of this section, use the appropriate FELs with corresponding
production volumes to calculate emission credits for the model year, as
described in subpart H of this part. In all other circumstances, you
must use the higher FEL for the entire family to calculate emission
credits under subpart H of this part.
(2) You may ask to lower the FEL for your emission family only if
you have test data from production engines showing that emissions are
below the proposed lower FEL. The lower FEL does not apply to engines
you produce before the new FEL starts to apply, as specified in this
paragraph (f). Use the appropriate FELs with corresponding production
volumes to calculate emission credits for the model year, as described
in subpart H of this part.
Sec. 1054.230 How do I select emission families?
(a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout their useful life as described in this
section. Your emission family is limited to a single model year. For
evaporative emissions, group engines into emission families as
described in 40 CFR 1060.230.
(b) Group engines into the same emission family for exhaust
emissions if they are the same in all the following aspects:
(1) The combustion cycle and fuel. See paragraph (g) of this
section for special provisions that apply for dual-fuel engines.
(2) The cooling system (liquid-cooled vs. air-cooled).
(3) Valve configuration (for example, side-valve vs. overhead
valve).
(4) Method of air aspiration (for example, turbocharged vs.
naturally aspirated).
(5) The number, location, volume, and composition of catalytic
converters.
(6) The number and arrangement of cylinders and approximate total
displacement.
(7) Engine class, as defined in Sec. 1054.801.
(8) Method of control for engine operation, other than governing
(mechanical or electronic).
(9) The numerical level of the applicable emission standards. For
example, an engine family may not include engines certified to
different family emission limits, though you may change family emission
limits without recertifying as specified in Sec. 1054.225.
(10) Useful life.
(c) You may subdivide a group that is identical under paragraph (b)
of this section into different emission families if you show the
expected emission characteristics are different during the useful life.
(d) You may group engines that are not identical with respect to
the things listed in paragraph (b) of this section into the same
emission family, as follows:
(1) In unusual circumstances, you may group such engines into the
same emission family if you show that their emission characteristics
during the useful life will be similar.
(2) If you are a small-volume engine manufacturer, you may group
any nonhandheld engines with the same useful life that are subject to
the same emission standards into a single emission family.
(3) The provisions of this paragraph (d) do not exempt any engines
from meeting all the applicable standards and requirements in subpart B
of this part.
(e) Select test engines from the emission family as described in 40
CFR 1065.401.
[[Page 59273]]
(f) You may combine engines from different classes into a single
emission family under paragraph (d)(1) of this section if you certify
the emission family to the more stringent set of standards from the two
classes in that model year.
(g) You may certify dual-fuel or flexible-fuel engines in a single
engine family. You may include dedicated-fuel versions of this same
engine model in the same engine family, as long as they are identical
to the engine configuration with respect to that fuel type for the
dual-fuel or flexible-fuel version of the engine. For example, if you
produce an engine that can alternately run on gasoline and natural gas,
you can include the gasoline-only and natural gas-only versions of the
engine in the same engine family as the dual-fuel engine if engine
operation on each fuel type is identical with or without installation
of components for operating on the other fuel.
Sec. 1054.235 What exhaust emission testing must I perform for my
application for a certificate of conformity?
This section describes the exhaust emission testing you must
perform to show compliance with the emission standards in Sec. Sec.
1054.103 and 1054.105. See Sec. Sec. 1054.240 and 1054.245 and 40 CFR
part 1065, subpart E, regarding service accumulation before emission
testing.
(a) Select an emission-data engine from each engine family for
testing as described in 40 CFR 1065.401. Select a configuration that is
most likely to exceed the HC+NOX standard, using good
engineering judgment. Configurations must be tested as they will be
produced, including installed governors, if applicable.
(b) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part. In the case of dual-fuel
engines, measure emissions when operating with each type of fuel for
which you intend to certify the engine. In the case of flexible-fuel
engines, measure emissions when operating with the fuel mixture that is
most likely to cause the engine to exceed the applicable
HC+NOX emission standard, though you may ask us to exclude
fuel mixtures that you can show are not likely to occur in use.
(c) We may measure emissions from any of your emission-data engines
or other engines from the emission family, as follows:
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the engine to a test facility
we designate. The engine you provide must include appropriate
manifolds, aftertreatment devices, electronic control units, and other
emission-related components not normally attached directly to the
engine block. If we do the testing at your plant, you must schedule it
as soon as possible and make available the instruments, personnel, and
equipment we need.
(2) If we measure emissions on one of your engines, the results of
that testing become the official emission results for the engine.
(3) We may set the adjustable parameters of your engine to any
point within the physically adjustable ranges (see Sec. 1054.115(b)).
(4) We may calibrate your engine within normal production
tolerances for anything we do not consider an adjustable parameter. For
example, this would apply where we determine that an engine parameter
is not an adjustable parameter (as defined in Sec. 1054.801) but that
it is subject to production variability.
(d) You may ask to use carryover emission data from a previous
model year instead of doing new tests, but only if all the following
are true:
(1) The emission family from the previous model year differs from
the current emission family only with respect to model year or other
characteristics unrelated to emissions. You may also ask to add a
configuration subject to Sec. 1054.225.
(2) The emission-data engine from the previous model year remains
the appropriate emission-data engine under paragraph (b) of this
section.
(3) The data show that the emission-data engine would meet all the
requirements that apply to the emission family covered by the
application for certification. For engines originally tested under the
provisions of 40 CFR part 90, you may consider those test procedures to
be equivalent to the procedures we specify in subpart F of this part.
(e) We may require you to test another engine of the same or
different configuration in addition to the engine(s) tested under
paragraph (b) of this section.
(f) If you use an alternate test procedure under 40 CFR 1065.10 and
later testing shows that such testing does not produce results that are
equivalent to the procedures specified in subpart F of this part, we
may reject data you generated using the alternate procedure.
Sec. 1054.240 How do I demonstrate that my emission family complies
with exhaust emission standards?
(a) For purposes of certification, your emission family is
considered in compliance with the emission standards in Sec.
1054.101(a) if all emission-data engines representing that family have
test results showing deteriorated emission levels at or below these
standards. This includes all test points over the course of the
durability demonstration. Note that your FELs are considered to be the
applicable emission standards with which you must comply if you
participate in the ABT program in subpart H of this part.
(b) Your engine family is deemed not to comply if any emission-data
engine representing that family has test results showing a deteriorated
emission level for any pollutant that is above an applicable emission
standard. This includes all test points over the course of the
durability demonstration.
(c) Determine a deterioration factor to compare emission levels
from the emission-data engine with the applicable emission standards.
Section 1054.245 specifies how to test engines to develop deterioration
factors that represent the expected deterioration in emissions over
your engines' full useful life. Calculate a multiplicative
deterioration factor as described in Sec. 1054.245(b). If the
deterioration factor is less than one, use one. Specify the
deterioration factor to one more significant figure than the emission
standard. You may use assigned deterioration factors that we establish
for up to 10,000 nonhandheld engines from small-volume emission
families in each model year, except that small-volume engine
manufacturers may use assigned deterioration factors for any or all of
their engine families.
(d) Adjust the official emission results for each tested engine at
the low-hour test point by multiplying the measured emissions by the
deterioration factor, then rounding the adjusted figure to the same
number of decimal places as the emission standard. Compare the rounded
emission levels to the emission standard for each emission-data engine.
In the case of HC+NOX standards, add the official emission
results and apply the deterioration factor to the sum of the pollutants
before rounding. However, if your deterioration factors are based on
emission measurements that do not cover the engine's full useful life,
apply deterioration factors to each pollutant and then add the results
before rounding.
(e) The provisions of this paragraph (e) apply only for engine
families with a useful life at or below 300 hours. To apply the
deterioration factor to engines other than the original emission-data
engine, they must be operated for the same number of hours before
starting emission measurements that you used
[[Page 59274]]
for the original emission-data engine, within one hour. For example, if
the original emission-data engine operated for 8 hours before the low-
hour emission test, operate the other test engines for 7 to 9 hours
before starting emission measurements.
Sec. 1054.245 How do I determine deterioration factors from exhaust
durability testing?
This section describes how to determine deterioration factors,
either with pre-existing test data or with new emission measurements.
(a) You may ask us to approve deterioration factors for an emission
family based on emission measurements from similar engines if you have
already given us these data for certifying other engines in the same or
earlier model years. Use good engineering judgment to decide whether
the two engines are similar.
(b) If you are unable to determine deterioration factors for an
emission family under paragraph (a) of this section, select engines,
subsystems, or components for testing. Determine deterioration factors
based on service accumulation and related testing. Include
consideration of wear and other causes of deterioration expected under
typical consumer use. Determine deterioration factors as follows:
(1) Measure emissions from the emission-data engine at a low-hour
test point, at the midpoint of the useful life, and at the end of the
useful life, except as specifically allowed by this paragraph (b). You
may test at additional evenly spaced intermediate points. Collect
emission data using measurements to one more decimal place than the
emission standard.
(2) Operate the engine over a representative duty cycle for a
period at least as long as the useful life (in hours). You may operate
the engine continuously. You may also use an engine installed in
nonroad equipment to accumulate service hours instead of running the
engine only in the laboratory.
(3) In the case of dual-fuel or flexible-fuel engines, you may
accumulate service hours on a single emission-data engine using the
type or mixture of fuel expected to have the highest combustion and
exhaust temperatures. For dual-fuel engines, you must measure emissions
on each fuel type at each test point.
(4) You may perform maintenance on emission-data engines as
described in Sec. 1054.125 and 40 CFR part 1065, subpart E. If you
change one or more spark plugs on an emission-data engine as allowed
under Sec. 1054.125, you must measure emissions before and after this
maintenance. If you clean or change an air filter on an emission-data
engine as allowed under Sec. 1054.125, you must measure emissions
before and after every second time you perform this maintenance. Use
the average values from these two measurements to calculate
deterioration factors. The emission-data engine must meet applicable
emission standards before and after maintenance to be considered in
compliance, as described in Sec. 1054.240(a) and (b).
(5) Calculate your deterioration factor using a linear least-
squares fit of your test data, but treat the low-hour test point as
occurring at hour zero. Your deterioration factor is the ratio of the
calculated emission level at the point representing the full useful
life to the calculated emission level at zero hours.
(6) If you test more than one engine to establish deterioration
factors, average the deterioration factors from all the engines before
rounding.
(7) If your durability engine fails between 80 percent and 100
percent of useful life, you may use the last emission measurement as
the test point representing the full useful life, provided it occurred
after at least 80 percent of the useful life.
(8) If your useful life is 1,000 hours or longer, and your
durability engine fails between 50 percent and 100 percent of useful
life, you may extrapolate your emission results to determine the
emission level representing the full useful life, provided emissions
were measured at least once after 50 percent of the useful life.
(9) Use good engineering judgment for all aspects of the effort to
establish deterioration factors under this paragraph (b).
(10) You may use other testing methods to determine deterioration
factors, consistent with good engineering judgment, as long as we
approve those methods in advance.
(c) Include the following information in your application for
certification:
(1) If you determine your deterioration factors based on test data
from a different emission family, explain why this is appropriate and
include all the emission measurements on which you base the
deterioration factor.
(2) If you do testing to determine deterioration factors, describe
the form and extent of service accumulation, including the method you
use to accumulate hours.
Sec. 1054.250 What records must I keep and what reports must I send
to EPA?
(a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec. 1054.345.
In addition, within 45 days after the end of the model year, you must
send us a report describing information about engines you produced
during the model year as follows:
(1) State the total production volume for each engine family that
is not subject to reporting under Sec. 1054.345.
(2) State the total production volume for any engine family for
which you produce engines after completing the reports required in
Sec. 1054.345.
(3) If you produced exempted engines under the provisions of Sec.
1054.625(j)(1), report the number of exempted engines you produced for
each engine model and identify the buyer or shipping destination for
each exempted engine.
(4) For production volumes you report under this paragraph (a),
identify whether or not the figures include California sales. Include a
separate count of production volumes for California sales if those
figures are available.
(b) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send
us.
(2) Any of the information we specify in Sec. 1054.205 that you
were not required to include in your application.
(3) A detailed history of all emission-data engines. For each
engine, describe all of the following:
(i) The emission-data engine's construction, including its origin
and buildup, steps you took to ensure that it represents production
engines, any components you built specially for it, and all the
components you include in your application for certification.
(ii) How you accumulated engine operating hours (service
accumulation), including the dates and the number of hours accumulated.
(iii) All maintenance, including modifications, parts changes, and
other service, and the dates and reasons for the maintenance.
(iv) All your emission tests, including documentation on routine
and standard tests, as specified in part 40 CFR part 1065, and the date
and purpose of each test.
(v) All tests to diagnose engine or emission control performance,
giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each emission family divided by assembly
plant.
[[Page 59275]]
(5) Keep a list of engine identification numbers for all the
engines you produce under each certificate of conformity.
(c) Keep data from routine emission tests (such as test cell
temperatures and relative humidity readings) for one year after we
issue the associated certificate of conformity. Keep all other
information specified in this section for eight years after we issue
your certificate.
(d) Store these records in any format and on any media as long as
you can promptly send us organized, written records in English if we
ask for them. You must keep these records readily available. We may
review them at any time.
Sec. 1054.255 What decisions may EPA make regarding my certificate of
conformity?
(a) If we determine your application is complete and shows that the
emission family meets all the requirements of this part and the Clean
Air Act, we will issue a certificate of conformity for your emission
family for that model year. We may make the approval subject to
additional conditions.
(b) We may deny your application for certification if we determine
that your emission family fails to comply with emission standards or
other requirements of this part or the Clean Air Act. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
(1) Refuse to comply with any testing, reporting, or bonding
requirements.
(2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent).
(3) Render inaccurate any test data.
(4) Deny us from completing authorized activities (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines or equipment for importation into the United
States at a location where local law prohibits us from carrying out
authorized activities.
(6) Fail to supply requested information or amend your application
to include all engines or equipment being produced.
(7) Take any action that otherwise circumvents the intent of the
Clean Air Act or this part.
(d) We may void your certificate if you do not keep the records we
require or do not give us information as required under this part or
the Clean Air Act.
(e) We may void your certificate if we find that you intentionally
submitted false or incomplete information.
(f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec. 1054.820).
Subpart D--Production-line Testing
Sec. 1054.300 Applicability.
This subpart specifies requirements for engine manufacturers to
test their production engines for exhaust emissions to ensure that the
engines are being produced as described in the application for
certification. The production-line verification described in 40 CFR
part 1060, subpart D, applies for equipment and components for
evaporative emissions.
Sec. 1054.301 When must I test my production-line engines?
(a) If you produce engines that are subject to the requirements of
this part, you must test them as described in this subpart, except as
follows:
(1) Small-volume engine manufacturers may omit testing under this
subpart.
(2) We may exempt small-volume emission families from routine
testing under this subpart. Request this exemption in your application
for certification and include your basis for projecting a production
volume below 5,000 units. We will approve your request if we agree that
you have made good-faith estimates of your production volumes. Your
exemption is approved when we grant your certificate. You must promptly
notify us if your actual production exceeds 5,000 units during the
model year. If you exceed the production limit or if there is evidence
of a nonconformity, we may require you to test production-line engines
under this subpart, or under 40 CFR part 1068, subpart E, even if we
have approved an exemption under this paragraph (a)(2).
(b) We may suspend or revoke your certificate of conformity for
certain engine families if your production-line engines do not meet the
requirements of this part or you do not fulfill your obligations under
this subpart (see Sec. Sec. 1054.325 and 1054.340).
(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not
affect our ability to do selective enforcement audits, as described in
40 CFR part 1068. Individual engines in families that pass these
production-line testing requirements must also conform to all
applicable regulations of this part and 40 CFR part 1068.
(d) You may use alternate programs for testing production-line
engines in the following circumstances:
(1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the
otherwise applicable requirements in 40 CFR part 1065 for laboratory
testing, to demonstrate compliance with emission standards if you
double the minimum sampling rate specified in Sec. 1054.310(b). Use
measured test results to determine whether engines comply with
applicable standards without applying a measurement allowance. This
alternate program does not require prior approval but we may disallow
use of this option where we determine that use of field-grade equipment
would prevent you from being able to demonstrate that your engines are
being produced to conform to the specifications in your application for
certification.
(2) You may ask to use another alternate program for testing
production-line engines. In your request, you must show us that the
alternate program gives equal assurance that your products meet the
requirements of this part. We may waive some or all of this subpart's
requirements if we approve your alternate approach. For example, in
certain circumstances you may be able to give us equal assurance that
your products meet the requirements of this part by using less rigorous
measurement methods if you offset that by increasing the number of test
engines.
(e) If you certify an engine family with carryover emission data,
as described in Sec. 1054.235(d), and these equivalent engine families
consistently pass the production-line testing requirements over the
preceding two-year period, you may ask for a reduced testing rate for
further production-line testing for that family. The minimum testing
rate is one engine per engine family. If we reduce your testing rate,
we may limit our approval to any number of model years. In determining
whether to approve your request, we may consider the number of engines
that have failed the emission tests.
(f) We may ask you to make a reasonable number of production-line
engines available for a reasonable time so we can test or inspect them
for compliance with the requirements of this part.
[[Page 59276]]
Sec. 1054.305 How must I prepare and test my production-line engines?
This section describes how to prepare and test production-line
engines. You must assemble the test engine in a way that represents the
assembly procedures for other engines in the engine family. You must
ask us to approve any deviations from your normal assembly procedures
for other production engines in the engine family.
(a) Test procedures. Test your production-line engines using the
applicable testing procedures in subpart F of this part to show you
meet the emission standards in subpart B of this part.
(b) Modifying a test engine. Once an engine is selected for testing
(see Sec. 1054.310), you may adjust, repair, prepare, or modify it or
check its emissions only if one of the following is true:
(1) You document the need for doing so in your procedures for
assembling and inspecting all your production engines and make the
action routine for all the engines in the engine family.
(2) This subpart otherwise specifically allows your action.
(3) We approve your action in advance.
(c) Engine malfunction. If an engine malfunction prevents further
emission testing, ask us to approve your decision to either repair the
engine or delete it from the test sequence.
(d) Setting adjustable parameters. Before any test, we may require
you to adjust any adjustable parameter to any setting within its
physically adjustable range.
(1) [Reserved]
(2) We may specify adjustments within the physically adjustable
range by considering their effect on emission levels. We may also
consider how likely it is that someone will make such an adjustment
with in-use equipment.
(3) We may specify an air-fuel ratio within the adjustable range
specified in Sec. 1054.115(b).
(e) Stabilizing emission levels. Use good engineering judgment to
operate your engines before testing such that deterioration factors can
be applied appropriately. Determine the stabilization period as
follows:
(1) For engine families with a useful life at or below 300 hours,
operate the engine for the same number of hours before starting
emission measurements that you used for the emission-data engine,
within one hour. For example, if the emission-data engine operated for
8 hours before the low-hour emission test, operate the test engines for
7 to 9 hours before starting emission measurements.
(2) For engine families with a useful life above 300 hours, operate
each engine for no more than the greater of two periods:
(i) 12 hours.
(ii) The number of hours you operated your emission-data engine for
certifying the engine family (see 40 CFR part 1065, subpart E, or the
applicable regulations governing how you should prepare your test
engine).
(f) Damage during shipment. If shipping an engine to a remote
facility for production-line testing makes necessary an adjustment or
repair, you must wait until after the initial emission test to do this
work. We may waive this requirement if the test would be impossible or
unsafe or if it would permanently damage the engine. Report to us, in
your written report under Sec. 1054.345, all adjustments or repairs
you make on test engines before each test.
(g) Retesting after invalid tests. You may retest an engine if you
determine an emission test is invalid under subpart F of this part.
Explain in your written report reasons for invalidating any test and
the emission results from all tests. If we determine that you
improperly invalidated a test, we may require you to ask for our
approval for future testing before substituting results of the new
tests for invalid ones.
Sec. 1054.310 How must I select engines for production-line testing?
(a) Test engines from each engine family as described in this
section based on test periods, as follows:
(1) For engine families with projected U.S.-directed production
volume of at least 1,600, the test periods are consecutive quarters (3
months). However, if your annual production period is less than 12
months long, you may take the following alternative approach to define
quarterly test periods:
(i) If your annual production period is 120 days or less, the whole
model year constitutes a single test period.
(ii) If your annual production period is 121 to 210 days, divide
the annual production period evenly into two test periods.
(iii) If your annual production period is 211 to 300 days, divide
the annual production period evenly into three test periods.
(iv) If your annual production period is 301 days or longer, divide
the annual production period evenly into four test periods.
(2) For engine families with projected U.S.-directed production
volume below 1,600, the whole model year constitutes a single test
period.
(b) Early in each test period, randomly select and test an engine
from the end of the assembly line for each engine family.
(1) In the first test period for newly certified engines, randomly
select and test one more engine. Then, calculate the required sample
size for the model year as described in paragraph (c) of this section.
(2) In later test periods of the same model year, combine the new
test result with all previous testing in the model year. Then,
calculate the required sample size for the model year as described in
paragraph (c) of this section.
(3) In the first test period for engine families relying on
previously submitted test data, combine the new test result with the
last test result from the previous model year. Then, calculate the
required sample size for the model year as described in paragraph (c)
of this section. Use the last test result from the previous model year
only for this first calculation. For all subsequent calculations, use
only results from the current model year.
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC+NOX and CO. The
required sample size is the greater of these calculated values. Use the
following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.095
Where:
N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the
number of tests completed, n, as specified in the table in paragraph
(c)(1) of this section. It defines 95% confidence intervals for a
one-tail distribution.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of
this section).
x = Mean of emission test results of the sample.
STD = Emission standard (or family emission limit, if applicable).
(1) Determine the 95% confidence coefficient, t\95\, from the
following table:
--------------------------------------------------------------------------------------------------------------------------------------------------------
n t95 n t95 n t95
--------------------------------------------------------------------------------------------------------------------------------------------------------
2................................................................. 6.31 12 1.80 22 1.72
[[Page 59277]]
3................................................................. 2.92 13 1.78 23 1.72
4................................................................. 2.35 14 1.77 24 1.71
5................................................................. 2.13 15 1.76 25 1.71
6................................................................. 2.02 16 1.75 26 1.71
7................................................................. 1.94 17 1.75 27 1.71
8................................................................. 1.90 18 1.74 28 1.70
9................................................................. 1.86 19 1.73 29 1.70
10................................................................. 1.83 20 1.73 30 1.70
11................................................................. 1.81 21 1.72 31+ 1.65
--------------------------------------------------------------------------------------------------------------------------------------------------------
(2) Calculate the standard deviation, for the test sample using the
following formula:
[GRAPHIC] [TIFF OMITTED] TR08OC08.096
Where:
Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.
(d) Use final deteriorated test results to calculate the variables
in the equations in paragraph (c) of this section (see Sec.
1054.315(a)(2)).
(e) After each new test, recalculate the required sample size using
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
(f) Distribute the remaining engine tests evenly throughout the
rest of the year. You may need to adjust your schedule for selecting
engines if the required sample size changes. If your scheduled
quarterly testing for the remainder of the model year is sufficient to
meet the calculated sample size, you may wait until the next quarter to
do additional testing. Continue to randomly select engines from each
engine family.
(g) Continue testing until one of the following things happens:
(1) After completing the minimum number of tests required in
paragraph (b) of this section, the number of tests completed in an
engine family, n, is greater than the required sample size, N, and the
sample mean, x, is less than or equal to the emission standard. For
example, if N = 5.1 after the fifth test, the sample-size calculation
does not allow you to stop testing.
(2) The engine family does not comply according to Sec. 1054.315.
(3) You test 30 engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number. Do not count an engine under this paragraph (g)(4) if it fails
to meet an applicable emission standard.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for
one pollutant but not another, you must continue measuring emission
levels of all pollutants for any additional tests required under this
section. However, you need not continue making the calculations
specified in this subpart for the pollutant for which testing is not
required. This paragraph (h) does not affect the number of tests
required under this section, the required calculations in Sec.
1054.315, or the remedial steps required under Sec. 1054.320.
(i) You may elect to test more randomly chosen engines than we
require under this section. Include these engines in the sample-size
calculations.
Sec. 1054.315 How do I know when my engine family fails the
production-line testing requirements?
This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an emission-
family basis. See Sec. 1054.320 for the requirements that apply to
individual engines that fail a production-line test.
(a) Calculate your test results as follows:
(1) Initial and final test results. Calculate and round the test
results for each engine. If you do several tests on an engine,
calculate the initial results for each test, then add all the test
results together and divide by the number of tests. Round this final
calculated value for the final test results on that engine.
(2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec.
1054.240(c)).
(3) Round deteriorated test results. Round the results to the
number of decimal places in the emission standard expressed to one more
decimal place.
(b) Construct the following CumSum Equation for each engine family
for HC+NOX and CO emissions:
Ci = Max [0 or Ci-1 + Xi-(STD +
0.25 x [sigma])]
Where:
Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test,
the CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual
engine.
STD = Emission standard (or family emission limit, if applicable).
(c) Use final deteriorated test results to calculate the variables
in the equation in paragraph (b) of this section (see Sec.
1054.315(a)).
(d) After each new test, recalculate the CumSum statistic.
(e) If you test more than the required number of engines, include
the results from these additional tests in the CumSum Equation.
(f) After each test, compare the current CumSum statistic,
Ci, to the recalculated Action Limit, H, defined as H = 5.0
x [sigma].
(g) If the CumSum statistic exceeds the Action Limit in two
consecutive tests, the engine family fails the production-line testing
requirements of this subpart. Tell us within ten working days if this
happens. You may request to amend the application for certification to
raise the FEL of the entire engine family as described in Sec.
1054.225(f).
(h) If you amend the application for certification for an engine
family under Sec. 1054.225, do not change any previous calculations of
sample size or CumSum statistics for the model year.
Sec. 1054.320 What happens if one of my production-line engines fails
to meet emission standards?
(a) If you have a production-line engine with final deteriorated
test results exceeding one or more emission standards (see Sec.
1054.315(a)), the certificate of conformity is automatically suspended
for that failing engine. You must take the following actions before
your certificate of conformity can cover that engine:
(1) Correct the problem and retest the engine to show it complies
with all emission standards.
(2) Include the test results and describe the remedy for each
engine in
[[Page 59278]]
the written report required under Sec. 1054.345.
(b) You may request to amend the application for certification to
raise the FEL of the entire engine family at this point (see Sec.
1054.225).
Sec. 1054.325 What happens if an engine family fails the production-
line testing requirements?
(a) We may suspend your certificate of conformity for an engine
family if it fails under Sec. 1054.315. The suspension may apply to
all facilities producing engines from an engine family even if you find
noncompliant engines only at one facility.
(b) We will tell you in writing if we suspend your certificate in
whole or in part. We will not suspend a certificate until at least 15
days after the engine family fails. The suspension is effective when
you receive our notice.
(c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec. 1054.820). If we agree
before a hearing occurs that we used erroneous information in deciding
to suspend the certificate, we will reinstate the certificate.
(d) Section 1054.335 specifies steps you must take to remedy the
cause of the engine family's production-line failure. All the engines
you have produced since the end of the last test period are presumed
noncompliant and should be addressed in your proposed remedy. We may
require you to apply the remedy to engines produced earlier if we
determine that the cause of the failure is likely to have affected the
earlier engines.
(e) You may request to amend the application for certification to
raise the FEL of the engine family before or after we suspend your
certificate as described in Sec. 1054.225(f). We will approve your
request if the failure is not caused by a defect and it is clear that
you used good engineering judgment in establishing the original FEL.
Sec. 1054.330 May I sell engines from an engine family with a
suspended certificate of conformity?
You may sell engines that you produce after we suspend the engine
family's certificate of conformity under Sec. 1054.315 only if one of
the following occurs:
(a) You test each engine you produce and show it complies with
emission standards that apply.
(b) We conditionally reinstate the certificate for the engine
family. We may do so if you agree to recall all the affected engines
and remedy any noncompliance at no expense to the owner if later
testing shows that the engine family still does not comply.
Sec. 1054.335 How do I ask EPA to reinstate my suspended certificate?
(a) Send us a written report asking us to reinstate your suspended
certificate. In your report, identify the reason for noncompliance,
propose a remedy for the engine family, and commit to a date for
carrying it out. In your proposed remedy include any quality control
measures you propose to keep the problem from happening again.
(b) Give us data from production-line testing that shows the
remedied engine family complies with all the emission standards that
apply.
Sec. 1054.340 When may EPA revoke my certificate under this subpart
and how may I sell these engines again?
(a) We may revoke your certificate for an engine family in the
following cases:
(1) You do not meet the reporting requirements.
(2) Your engine family fails to comply with the requirements of
this subpart and your proposed remedy to address a suspended
certificate under Sec. 1054.335 is inadequate to solve the problem or
requires you to change the engine's design or emission control system.
(b) To sell engines from an engine family with a revoked
certificate of conformity, you must modify the engine family and then
show it complies with the requirements of this part.
(1) If we determine your proposed design change may not control
emissions for the engine's full useful life, we will tell you within
five working days after receiving your report. In this case we will
decide whether production-line testing will be enough for us to
evaluate the change or whether you need to do more testing.
(2) Unless we require more testing, you may show compliance by
testing production-line engines as described in this subpart.
(3) We will issue a new or updated certificate of conformity when
you have met these requirements.
Sec. 1054.345 What production-line testing records must I send to
EPA?
(a) Within 45 days of the end of each test period, send us a report
with the following information:
(1) Describe any facility used to test production-line engines and
state its location.
(2) State the total U.S.-directed production volume and number of
tests for each engine family.
(3) Describe how you randomly selected engines.
(4) Describe each test engine, including the engine family's
identification and the engine's model year, build date, model number,
identification number, and number of hours of operation before testing.
(5) Identify how you accumulated hours of operation on the engines
and describe the procedure and schedule you used.
(6) Provide the test number; the date, time and duration of
testing; test procedure; all initial test results; final test results;
and final deteriorated test results for all tests. Provide the emission
results for all measured pollutants. Include information for both valid
and invalid tests and the reason for any invalidation.
(7) Describe completely and justify any nonroutine adjustment,
modification, repair, preparation, maintenance, or test for the test
engine if you did not report it separately under this subpart. Include
the results of any emission measurements, regardless of the procedure
or type of engine.
(8) Provide the CumSum analysis required in Sec. 1054.315 and the
sample-size calculation required in Sec. 1054.310 for each engine
family.
(9) Report on each failed engine as described in Sec. 1054.320.
(10) State the date the test period ended for each engine family.
(b) We may ask you to add information to your written report so we
can determine whether your new engines conform with the requirements of
this subpart. We may also ask you to send less information.
(c) An authorized representative of your company must sign the
following statement:
We submit this report under sections 208 and 213 of the Clean
Air Act. Our production-line testing conformed completely with the
requirements of 40 CFR part 1054. We have not changed production
processes or quality-control procedures for test engines in a way
that might affect emission controls. All the information in this
report is true and accurate to the best of my knowledge. I know of
the penalties for violating the Clean Air Act and the regulations.
(Authorized Company Representative)
(d) Send electronic reports of production-line testing to the
Designated Compliance Officer using an approved information format. If
you want to use a different format, send us a written request with
justification for a waiver.
(e) We will send copies of your reports to anyone from the public
who asks for them. Section 1054.815 describes how we treat information
you consider confidential.
Sec. 1054.350 What records must I keep?
(a) Organize and maintain your records as described in this
section. We may review your records at any time.
[[Page 59279]]
(b) Keep paper or electronic records of your production-line
testing for eight years after you complete all the testing required for
an engine family in a model year.
(c) Keep a copy of the written reports described in Sec. 1054.345.
(d) Keep the following additional records:
(1) A description of all test equipment for each test cell that you
can use to test production-line engines.
(2) The names of supervisors involved in each test.
(3) The name of anyone who authorizes adjusting, repairing,
preparing, or modifying a test engine and the names of all supervisors
who oversee this work.
(4) If you shipped the engine for testing, the date you shipped it,
the associated storage or port facility, and the date the engine
arrived at the testing facility.
(5) Any records related to your production-line tests that are not
in the written report.
(6) A brief description of any significant events during testing
not otherwise described in the written report or in this section.
(7) Any information specified in Sec. 1054.345 that you do not
include in your written reports.
(e) If we ask, you must give us a more detailed description of
projected or actual production figures for an engine family. We may ask
you to divide your production figures by maximum engine power,
displacement, fuel type, or assembly plant (if you produce engines at
more than one plant).
(f) Keep records of the engine identification number for each
engine you produce under each certificate of conformity. You may
identify these numbers as a range. Give us these records within 30 days
if we ask for them.
(g) We may ask you to keep or send other information necessary to
implement this subpart.
Subpart E--In-use Testing
Sec. 1054.401 General provisions.
We may perform in-use testing of any engines or equipment subject
to the standards of this part. We will consult with you as needed for
information or special equipment related to testing your engines.
Subpart F--Test Procedures
Sec. 1054.501 How do I run a valid emission test?
(a) Applicability. This subpart is addressed to you as a
manufacturer but it applies equally to anyone who does testing for you,
and to us when we perform testing to determine if your engines or
equipment meet emission standards.
(b) General requirements. Use the equipment and procedures for
spark-ignition engines in 40 CFR part 1065 to determine whether engines
meet the exhaust emission standards, as follows:
(1) Measure the emissions of all regulated pollutants as specified
in Sec. 1054.505 and 40 CFR part 1065. See Sec. 1054.650 for special
provisions that apply for variable-speed engines (including engines
shipped without governors).
(2) Use the fuels and lubricants specified in 40 CFR part 1065,
subpart H, for all the testing we require in this part. Except as
specified in paragraph (d) of this section, use gasoline meeting the
specifications described in 40 CFR 1065.710 for general testing. For
service accumulation, use the test fuel or any commercially available
fuel that is representative of the fuel that in-use engines will use.
You may alternatively use gasoline blended with ethanol as follows:
(i) For handheld engines, you may use the ethanol-blended fuel for
certifying engines under this part without our advance approval. If you
use the blended fuel for certifying a given engine family, you may also
use it for production-line testing or any other testing you perform for
that engine family under this part. If you use the blended fuel for
certifying a given engine family, we may use the blended fuel or the
specified gasoline test fuel with that engine family.
(ii) For nonhandheld engines, you may use the blended fuel for
certifying engines under this part without our advance approval. If you
use the blended fuel for certifying a given engine family, you must
also use it for production-line testing or any other testing you
perform for that engine family under this part. If the certification of
all your Class I (or Class II) engine families in a given model year is
based on test data collected using the blended fuel, we will also use
the blended fuel for testing your Class I (or Class II) engines. If the
certification of some but not all of your Class I (or Class II) engine
families in a given model year is based on test data collected using
the blended fuel, we may use the blended fuel or the specified gasoline
test fuel for testing any of your Class I (or Class II) engines.
(iii) The blended fuel must consist of a mix of gasoline meeting
the specifications described in 40 CFR 1065.710 for general testing and
fuel-grade ethanol meeting the specifications described in 40 CFR
1060.501(c) such that the blended fuel has 10.01.0 percent
ethanol by volume. You may also use ethanol with a higher or lower
purity if you show us that it will not affect your ability to
demonstrate compliance with the applicable emission standards. You do
not need to measure the ethanol concentration of such blended fuels and
may instead calculate the blended composition by assuming that the
ethanol is pure and mixes perfectly with the base fuel.
(iv) You may ask to use the provisions of this paragraph (b)(2) for
a blended test fuel containing less than 10 percent ethanol if your
engine is subject to emission standards from other organizations that
specify testing with that fuel. If we approve testing with such a fuel,
we may test your engines with that test fuel, with gasoline, or with a
10-percent ethanol blend.
(3) Ambient conditions for duty-cycle testing must be within ranges
specified in 40 CFR 1065.520, subject to the provisions of Sec.
1054.115(c).
(i) Corrections. Emissions may not be corrected for the effects of
test temperature or pressure. You may correct emissions for humidity as
specified in 40 CFR 1065.670.
(ii) Intake air temperature. Measure engine intake air temperature
as described in 40 CFR 1065.125, and control it if necessary,
consistent with good engineering judgment. For example, since the
purpose of this requirement is to ensure that the measured air
temperature is consistent with the intake air temperature that would
occur during in-use operation at the same ambient temperature, do not
cool the intake air and do not measure air temperature at a point where
engine heat affects the temperature measurement.
(4) The provisions of 40 CFR 1065.405 describes how to prepare an
engine for testing. However, you may consider emission levels stable
without measurement after 12 hours of engine operation, except for the
following special provisions that apply for engine families with a
useful life of 300 hours or less:
(i) We will not approve a stabilization period longer than 12 hours
even if you show that emissions are not yet stabilized.
(ii) Identify the number of hours you use to stabilize engines for
low-hour emission measurements. You may consider emissions stable at
any point less than 12 hours. For example, you may choose a point at
which emission levels reach a low value before the effects of
deterioration are established.
[[Page 59280]]
(5) Prepare your engines for testing by installing a governor that
you normally use on production engines, consistent with Sec. Sec.
1054.235(b) and 1054.505.
(6) During testing, supply the engine with fuel in a manner
consistent with how it will be supplied with fuel in use. If you sell
engines with complete fuel systems and your production engines will be
equipped with a vapor line that routes running loss vapors into the
engine's intake system, measure exhaust emissions using a complete fuel
system representing a production configuration that sends fuel vapors
to the test engine's intake system in a way that represents the
expected in-use operation. You may alternatively demonstrate by
engineering analysis that your engines will continue to meet emission
standards for any amount of running loss vapor that can reasonably be
expected during in-use operation.
(7) Determine the carbon mass fraction of fuel, wc, using a
calculation based on measured fuel properties as described in 40 CFR
1065.655(d)(1). You may not use the default values specified in 40 CFR
1065.655(d)(2).
(c) Special and alternate procedures. You may use special or
alternate procedures to the extent we allow them under 40 CFR 1065.10.
The following additional provisions apply:
(1) If you are unable to run the test cycle specified in this part
for your engine, use an alternate test cycle that will result in a
cycle-weighted emission measurement equivalent to the expected average
in-use emissions. This cycle must be approved under 40 CFR 1065.10.
(2) Describe in your application for certification any specially
designed fixtures or other hardware if they are needed for proper
testing of your engines. (Note: You do not need to specify the size or
performance characteristics of engine dynamometers.) You must send us
these fixtures or other hardware if we ask for them. We may waive the
requirement of Sec. 1054.205(aa) to identify a test facility in the
United States for such engine families as long as the projected U.S.-
directed production volume of all your engine families using the
provisions of this paragraph (c)(2) is less than 5 percent of your
total production volume from all engine families certified under this
part 1054.
(d) Wintertime engines. You may test wintertime engines at the
ambient temperatures specified in 40 CFR 1065.520, even though this
does not represent in-use operation for these engines (40 CFR
1065.10(c)(1)). In this case, you may use good engineering judgment to
modify the test engine as needed to achieve intake temperatures that
are analogous to in-use conditions. You may also test wintertime
engines at reduced ambient temperatures as specified in 40 CFR
1051.505. Use the gasoline specified for low-temperature testing only
if you test your engines at ambient temperatures below 20 [deg]C.
Sec. 1054.505 How do I test engines?
(a) This section describes how to test engines under steady-state
conditions. For handheld engines you must perform tests with discrete-
mode sampling. For nonhandheld engines we allow you to perform tests
with either discrete-mode or ramped-modal testing methods. You must use
the same modal testing method for certification and all other testing
you perform for an engine family. If we test your engines to confirm
that they meet emission standards, we will use the modal testing method
you select for your own testing. If you submit certification test data
collected with both discrete-mode and ramped-modal testing (either in
your original application or in an amendment to your application),
either method may be used for subsequent testing. We may also perform
other testing as allowed by the Clean Air Act. Conduct duty-cycle
testing as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle
using the weighting factors specified for each mode. In each mode,
operate the engine for at least 5 minutes, then sample emissions for at
least 1 minute. Control engine speed as specified in this section. Use
one of the following methods for confirming torque values for
nonhandheld engines:
(i) Calculate torque-related cycle statistics and compare with the
established criteria as specified in 40 CFR 1065.514 to confirm that
the test is valid.
(ii) Evaluate each mode separately to validate the duty cycle. All
torque feedback values recorded during non-idle sampling periods must
be within 2 percent of the reference value or within 0.27 N[middot]m of the reference value, whichever is greater.
Also, the mean torque value during non-idle sampling periods must be
within 1 percent of the reference value or 0.12
N[middot]m of the reference value, whichever is greater. Control torque
during idle as specified in paragraph (c) of this section.
(2) For ramped-modal testing, start sampling at the beginning of
the first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient
testing as specified in 40 CFR part 1065. Unless we specify otherwise,
you may simulate the governor for ramped-modal testing consistent with
good engineering judgment.
(b) Measure emissions by testing the engine on a dynamometer with
the test procedures for constant-speed engines in 40 CFR part 1065
while using one of the steady-state duty cycles identified in this
paragraph (b) to determine whether it meets the exhaust emission
standards specified in Sec. 1054.101(a). This requirement applies for
all engines, including those not meeting the definition of ``constant-
speed engine'' in 40 CFR 1065.1001.
(1) For handheld engines, use the two-mode duty cycle described in
paragraph (a) of Appendix II of this part. Establish an engine's rated
speed as follows:
(i) For ungoverned handheld engines used in fixed-speed
applications all having approximately the same nominal in-use operating
speed, hold engine speed within 350 rpm of the nominal speed for
testing. We may allow you to include in your engine family without
additional testing a small number engines that will be installed such
that they have a different nominal speed. If your engine family
includes a majority of engines with approximately the same nominal in-
use operating speed and a substantial number of engines with different
nominal speeds, you must test engines as specified in this paragraph
(b)(1)(i) and paragraph (b)(1)(ii) of this section.
(ii) For ungoverned handheld engines for which there is not a
dominant value for nominal in-use operating speeds, hold engine speed
within 350 rpm of the point at which the engine generates maximum
power.
(iii) For governed handheld engines, hold engine speed at maximum
test speed, as defined in 40 CFR 1065.1001.
(2) For nonhandheld engines, use the six-mode duty cycle or the
corresponding ramped-modal cycle described in paragraph (b) of Appendix
II of this part. Control engine speeds and torques during idle mode as
specified in paragraph (c) of this section and during full-load
operating modes as specified in paragraph (d) of this section. For all
other modes, control torque as needed to meet the cycle-validation
criteria in 40 CFR 1065.514; control the engine speed to within 5
percent of the nominal speed specified in paragraph (d) of this section
or let the installed governor (in the production configuration) control
engine speed. The governor may be adjusted before emission sampling to
target the nominal speed identified in paragraph (d) of this section,
but the installed governor must control engine speed throughout the
[[Page 59281]]
emission-sampling period whether the governor is adjusted or not. Note
that ramped-modal testing involves continuous sampling, so governor
adjustments may not occur during such a test. Note also that our
testing may involve running the engine with the governor in the
standard configuration even if you adjust the governor as described in
this paragraph (a)(2) for certification or production-line testing.
(c) During idle mode for nonhandheld engines, operate the engine
with the following parameters:
(1) Allow the engine to operate at the idle speed determined by the
installed governor. If any production engines from the engine family
have a user-selectable idle speed, operate the engine with an installed
governor that controls engine speed to the lowest available speed
setting.
(2) Keep engine torque under 5 percent of the nominal torque value
for Mode 1.
(3) You must conduct testing at the idle mode even if the allowable
torque values overlap with those for another specified mode.
(d) During full-load operation for nonhandheld engines, operate the
engine with the following parameters:
(1) In normal circumstances, select a test speed of either 3060 rpm
or 3600 rpm that is most appropriate for the engine family. If all the
engines in the engine family are used in intermediate-speed equipment,
select a test speed of 3060 rpm. The test associated with intermediate-
speed operation is referred to as the A Cycle. If all the engines in
the engine family are used in rated-speed equipment, select a test
speed of 3600 rpm. The test associated with rated-speed operation is
referred to as the B Cycle. If an engine family includes engines used
in both intermediate-speed equipment and rated-speed equipment, select
the test speed for emission-data engines that will result in worst-case
emissions. In unusual circumstances, you may ask to use a test speed
different than that specified in this paragraph (d)(1) if it better
represents in-use operation.
(2) Operate the engine ungoverned at wide-open throttle at the test
speed established in paragraph (d)(1) of this section until the engine
reaches thermal stability as described in 40 CFR 1065.530(a)(2)(ii).
Record the torque value after stabilization. Use this value for the
full-load torque setting and for denormalizing the rest of the duty
cycle.
(3) Control engine speed during emission sampling to stay within 5
percent of the nominal speed identified in paragraph (d)(1) of this
section.
(4) The provisions of this paragraph (d) apply instead of the
engine mapping procedures in 40 CFR 1065.510.
(e) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.
Sec. 1054.520 What testing must I perform to establish deterioration
factors?
Sections 1054.240 and 1054.245 describe the required methods for
testing to establish deterioration factors for an emission family.
Subpart G--Special Compliance Provisions
Sec. 1054.601 What compliance provisions apply to these engines?
(a) Engine and equipment manufacturers, as well as owners,
operators, and rebuilders of engines subject to the requirements of
this part, and all other persons, must observe the provisions of this
part, the requirements and prohibitions in 40 CFR part 1068, and the
provisions of the Clean Air Act.
(b) Note that the provisions of 40 CFR 1068.103(f) prohibit engine
manufacturers from deviating from normal production and inventory
practices to stockpile engines with a date of manufacture before new or
changed emission standards take effect. If your normal practice for
producing engines subject to this part 1054 includes maintaining
engines in inventory for some engine families for more than 12 months,
you must get our prior approval to continue this practice for model
years in which emission standards change. Include in your request
information showing that this is necessary and it is consistent with
your normal business practice. Unless we specify otherwise, include
relevant inventory and production records from the preceding eight
years. Note that 40 CFR 1068.103(f) applies to any engines inventoried
beyond your normal practice and authorizes us to review your records to
verify your normal practices, whether or not you maintain the engines
in inventory for more than 12 months.
Sec. 1054.610 What is the exemption for delegated final assembly?
The provisions of 40 CFR 1068.261 related to delegated final
assembly do not apply for handheld engines certified under this part
1054. The provisions of 40 CFR 1068.261 apply for nonhandheld engines,
with the following exceptions and clarifications:
(a) Through the 2014 model year, you may use the provisions of this
section for engines you sell to a distributor, where you establish a
contractual arrangement in which you designate the distributor to be
your agent in all matters related to compliance with the requirements
of this section. Identify each of the distributors you intend to
designate as your agent under this paragraph (a) in your application
for certification. You may continue to use the provisions of this
paragraph (a) this for later model years for specific distributors if
we approve it based on your clear and convincing demonstration that
each distributor can be expected to comply fully with the requirements
of this section and 40 CFR 1068.261. We may set additional conditions
beyond the provisions specified in this section to ensure that all
engines will be in a certified configuration when installed by the
equipment manufacturer.
(b) If you identify distributors as your agents under paragraph (a)
of this section, you must perform or arrange for audits of all
participating distributors and equipment manufacturers based on the
following auditing rate instead of the provisions specified in 40 CFR
1068.261(d)(3)(i) and (ii):
(1) If you sell engines to 48 or more equipment manufacturers under
the provisions of this section, you must annually perform or arrange
for audits of twelve equipment manufacturers to whom you sell engines
under this section. To select individual equipment manufacturers,
divide all the affected equipment manufacturers into quartiles based on
the number of engines they buy from you; select equal numbers of
equipment manufacturers from each quartile each model year as much as
possible. Vary the equipment manufacturers selected for auditing from
year to year, though audits may be repeated in later model years if you
find or suspect that a particular equipment manufacturer is not
properly installing aftertreatment devices.
(2) If you sell engines to fewer than 48 equipment manufacturers
under the provisions of this section, set up a plan to perform or
arrange for audits of each equipment manufacturer on average once every
four model years.
Sec. 1054.612 What special provisions apply for equipment
manufacturers modifying certified nonhandheld engines?
The provisions of this section apply for all emission families
through the 2014 model year; starting with the 2015 model year, these
provisions are limited to small-volume emission families.
(a) General provisions. If you buy certified nonhandheld engines
for installation in equipment you produce, but you install the engines
such that they use intake or exhaust systems that are not part of the
originally certified
[[Page 59282]]
configuration, you become the engine manufacturer for those engines and
must certify that they will meet emission standards. We will allow you
to utilize the provisions for simplified certification specified in
paragraph (b) of this section, as long as your design stays within the
overall specifications from the original engine manufacturer (such as
exhaust backpressure) and you use a catalyst as described in the
original engine manufacturer's application for certification.
(b) Simplified certification. You must perform testing with an
emission-data engine to show that you meet exhaust emission standards;
however, you may use the deterioration factor from the original engine
manufacturer. The production-line testing requirements in subpart D of
this part do not apply for engines certified under this section. You
must meet all the other requirements that apply to engine manufacturers
for engines subject to standards under this part. The engine family
must have the same useful life value specified by the original engine
manufacturer for that engine. In your application for certification
describe any differences between the original engine manufacturer's
design and yours and explain why the deterioration data generated by
the original engine manufacturer is appropriate for your configuration.
(c) Engine exemption. As an engine manufacturer, you may produce
nonconforming engines for equipment manufacturers as allowed under this
section. You do not have to request this exemption for your engines,
but you must have written assurance from equipment manufacturers that
they need a certain number of exempted engines under this section. Add
a removable label to the engines as described in 40 CFR 1068.262.
Sec. 1054.615 What is the exemption for engines certified to
standards for Large SI engines?
(a) An engine is exempt from the requirements of this part if it is
in an emission family that has a valid certificate of conformity
showing that it meets emission standards and other requirements under
40 CFR part 1048 for the appropriate model year.
(b) The only requirements or prohibitions from this part that apply
to an engine that is exempt under this section are in this section.
(c) If your engines do not have the certificate required in
paragraph (a) of this section, they will be subject to the provisions
of this part. Introducing these engines into U.S. commerce without a
valid exemption or certificate of conformity violates the prohibitions
in 40 CFR 1068.101(a).
(d) Engines exempted under this section are subject to all the
requirements affecting engines under 40 CFR part 1048, including
evaporative emission standards. The requirements and restrictions of 40
CFR part 1048 apply to anyone manufacturing these engines, anyone
manufacturing equipment that uses these engines, and all other persons
in the same manner as if these were nonroad spark-ignition engines
above 19 kW.
(e) Engines exempted under this section may not generate or use
emission credits under this part 1054.
Sec. 1054.620 What are the provisions for exempting engines used
solely for competition?
The provisions of this section apply for new engines and equipment
built on or after January 1, 2010.
(a) We may grant you an exemption from the standards and
requirements of this part for a new engine on the grounds that it is to
be used solely for competition. The requirements of this part, other
than those in this section, do not apply to engines that we exempt for
use solely for competition.
(b) We will exempt engines that we determine will be used solely
for competition. The basis of our determination is described in
paragraphs (c) and (d) of this section. Exemptions granted under this
section are good for only one model year and you must request renewal
for each subsequent model year. We will not approve your renewal
request if we determine the engine will not be used solely for
competition.
(c) Engines meeting all the following criteria are considered to be
used solely for competition:
(1) Neither the engine nor any equipment containing the engine may
be displayed for sale in any public dealership or otherwise offered for
sale to the general public. Note that this does not preclude display of
these engines as long as they are not available for sale to the general
public.
(2) Sale of the equipment in which the engine is installed must be
limited to professional competition teams, professional competitors, or
other qualified competitors. For replacement engines, the sale of the
engine itself must be limited to professional racing teams,
professional racers, other qualified racers, or to the original
equipment manufacturer.
(3) The engine and the equipment in which it is installed must have
performance characteristics that are substantially superior to
noncompetitive models.
(4) The engines are intended for use only as specified in paragraph
(e) of this section.
(d) You may ask us to approve an exemption for engines not meeting
the criteria listed in paragraph (c) of this section as long as you
have clear and convincing evidence that the engines will be used solely
for competition.
(e) Engines are considered to be used solely for competition only
if their use is limited to competition events sanctioned by a state or
federal government agency or another widely recognized public
organization with authorizing permits for participating competitors.
Operation of such engines may include only racing events, trials to
qualify for racing events, and practice associated with racing events.
Authorized attempts to set speed records are also considered racing
events. Engines will not be considered to be used solely for
competition if they are ever used for any recreational or other
noncompetitive purpose. Any use of exempt engines in recreational
events is a violation of 40 CFR 1068.101(b)(4).
(f) You must permanently label engines exempted under this section
to clearly indicate that they are to be used only for competition.
Failure to properly label an engine will void the exemption for that
engine.
(g) If we request it, you must provide us any information we need
to determine whether the engines are used solely for competition. This
would generally include documentation regarding the number of engines
and the ultimate purchaser of each engine as well as any documentation
showing an equipment manufacturer's request for an exempted engine.
Keep these records for five years.
Sec. 1054.625 What requirements apply under the Transition Program
for Equipment Manufacturers?
The provisions of this section allow equipment manufacturers to
produce equipment with Class II engines that are subject to less
stringent exhaust emission standards after the Phase 3 emission
standards begin to apply. To be eligible to use these provisions, you
must follow all the instructions in this section. See Sec. 1054.626
for requirements that apply specifically to companies that manufacture
equipment outside the United States and to companies that import such
equipment without manufacturing it. Engines and equipment you produce
under this section are exempt from the prohibitions in 40 CFR
1068.101(a)(1) with respect to exhaust emissions,
[[Page 59283]]
subject to the provisions of this section. Except as specified in
paragraph (e) of this section, equipment exempted under this section
must meet all applicable requirements related to evaporative emissions.
(a) General. If you are an equipment manufacturer, you may
introduce into U.S. commerce limited numbers of nonroad equipment with
Class II engines exempted under this section. You may use the
exemptions in this section only if you have primary responsibility for
designing and manufacturing equipment and your manufacturing procedures
include installing some engines in this equipment. Consider all U.S.-
directed equipment production in showing that you meet the requirements
of this section, including those from any parent or subsidiary
companies and those from any other companies you license to produce
equipment for you. If you produce a type of equipment that has more
than one engine, count each engine separately. These provisions are
available during the first four model years that the Phase 3 exhaust
emission standards apply.
(b) Allowances. Calculate how many pieces of equipment with
exempted engines you may produce under this section by determining your
U.S.-directed production volume of equipment with Class II engines from
January 1, 2007 through December 31, 2009, calculating your annual
average production for this period, and multiplying the average value
by 0.3. The same calculation applies for small-volume equipment
manufacturers, except that average annual production is multiplied by
2.0. For companies with no eligible production in a given year,
calculate annual average production based only on those years in which
you produce equipment during the specified period with Class II engines
for sale in the United States. Use these allowances for equipment using
model year 2011 and later Class II engines. You may use these
allowances for equipment you produce before December 31, 2014.
(c) Access to exempted engines. You may use one of the following
approaches to get exempted engines under this section:
(1) Request a certain number of exempted Class II engines from the
engine manufacturer as described in paragraph (j)(1) of this section.
(2) You may make arrangements with the engine manufacturer to
receive an engine without an exhaust system and install exhaust systems
without aftertreatment that would otherwise be required to meet Phase 3
standards, as described in paragraph (j)(2) of this section. You must
follow the engine manufacturer's instructions for installing
noncatalyzed mufflers. You must keep records to show which engines you
modify as described in this paragraph (c)(2) and make them available to
the engine manufacturer for any auditing under the provisions of Sec.
1054.610. If you do not place the label we specify in paragraph (f) of
this section adjacent to the engine manufacturer's emission control
information label, you must place an additional permanent label as
close as possible to the engine's emission control information label
where it will be readily visible in the final installation with at
least the following items:
(i) Your corporate name and trademark.
(ii) The following statement: ``THIS ENGINE MEETS PHASE 2 STANDARDS
UNDER Sec. 1054.625(c)(2).''
(d) Inclusion of engines not subject to Phase 3 standards. The
following provisions apply to engines that are not subject to Phase 3
standards:
(1) If you use the provisions of 40 CFR 1068.105(a) to use up your
inventories of engines not certified to new emission standards, do not
include these units in your count of equipment with exempted engines
under paragraph (g)(2) of this section.
(2) If you install engines that are exempted from the Phase 3
standards for any reason, other than for equipment-manufacturer
allowances under this section, do not include these units in your count
of equipment with exempted engines under paragraph (g)(2) of this
section. For example, if we grant a hardship exemption for the engine
manufacturer, you may count these as compliant engines under this
section. This paragraph (d)(2) applies only if the engine has a
permanent label describing why it is exempted from the Phase 3
standards.
(e) Standards. If you produce equipment with exempted engines under
this section, the engines must meet the Phase 2 emission standards
specified in 40 CFR part 90. Any equipment using exempted engines under
this section is also exempt from the running loss standard specified in
Sec. 1054.112.
(f) Equipment labeling. You must add a permanent label, written
legibly in English, to the engine or another readily visible part of
each piece of equipment with exempted engines you produce under this
section. This label, which supplements the engine manufacturer's
emission control information label, must include at least the following
items:
(1) The label heading ``EMISSION CONTROL INFORMATION''.
(2) Your corporate name and trademark.
(3) The calendar year in which the equipment is manufactured.
(4) An e-mail address and phone number to contact for further
information, or a Web site that includes this contact information.
(5) The following statement: THIS EQUIPMENT [or identify the type
of equipment] HAS AN ENGINE THAT MEETS U.S. EPA EMISSION STANDARDS
UNDER 40 CFR 1054.625.
(g) Notification and reporting. You must notify us of your intent
to produce equipment under the provisions of this section and send us
an annual report to verify that you are not exceeding the production
limits for equipment with exempted engines, as follows:
(1) Send the Designated Compliance Officer a written notice of your
intent before you use the provisions of this section including all the
following:
(i) Your company's name and address, and your parent company's name
and address, if applicable. Also identify the names of any other
companies operating under the same parent company.
(ii) The name, phone number and e-mail address of a person to
contact for more information.
(iii) The calendar years in which you expect to use the exemption
provisions of this section.
(iv) The name and address of each company you expect to produce
engines for the equipment you manufacture under this section.
(v) How many pieces of equipment with exempted engines you may sell
under this section, as described in paragraph (b) of this section.
Include your production figures for the period from January 1, 2007
through December 31, 2009, including figures broken down by equipment
model and calendar year. You may send corrected figures with lower
production volumes anytime after your initial notification. To make a
correction for higher production volumes, send us the corrected figures
by September 30, 2010. We may ask you to give us additional information
to confirm your production figures.
(2) For each year that you use the provisions of this section, send
the Designated Compliance Officer a written report by March 31 of the
following year. Identify the following things in your report:
(i) The total count of equipment with exempted engines you sold in
the preceding year, based on actual U.S.-directed production
information. If you produce equipment in the 2010 calendar year with
exempted engines from the
[[Page 59284]]
2011 model year, include these units in your March 31, 2012 report.
(ii) Cumulative figures describing how many pieces of equipment
with exempted engines you have produced for all the years you used the
provisions of this section.
(iii) The manufacturer of the engine installed in the equipment you
produce under this section, if this is different than you specified
under paragraph (g)(1)(iv) of this section.
(3) If you send your initial notification under paragraph (g)(1) of
this section after the specified deadline, we may approve your use of
allowances under this section. In your request, describe why you were
unable to meet the deadline.
(h) Recordkeeping. Keep the following records of all equipment with
exempted engines you produce under this section until at least December
31, 2019:
(1) The model number for each piece of equipment.
(2) Detailed figures for determining how many pieces of equipment
with exempted engines you may produce under this section, as described
in paragraph (b) of this section.
(3) The notifications and reports we require under paragraph (g) of
this section.
(i) Enforcement. Producing more exempted engines or equipment than
we allow under this section or installing engines that do not meet the
emission standards of paragraph (e) of this section violates the
prohibitions in 40 CFR 1068.101(a)(1). You must give us the records we
require under this section if we ask for them (see 40 CFR
1068.101(a)(2)).
(j) Provisions for engine manufacturers. As an engine manufacturer,
use one of the following approaches to produce exempted engines under
this section:
(1) The provisions of this paragraph (j)(1) apply if you do not use
the delegated-assembly provisions of Sec. 1054.610 for any of the
engines in an engine family. You must have written assurance from
equipment manufacturers or your authorized distributors that they need
a certain number of exempted engines under this section. Keep these
records for at least five years after you stop producing engines under
this section. You must also send us an annual report of the engines you
produce under this section, as described under Sec. 1054.250(a). The
engines must meet the emission standards in paragraph (e) of this
section and you must meet all the requirements of 40 CFR 1068.265. You
must meet the labeling requirements in 40 CFR 90.114, but add the
following statement instead of the compliance statement in 40 CFR
90.114(b)(7): THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40
CFR 1054.625 AND MUST BE USED ONLY UNDER THOSE FLEXIBILITY PROVISIONS.
(2) The following provisions apply if you notify us that you plan
to use the delegated-assembly provisions of Sec. 1054.610 for one or
more equipment manufacturers for an engine family:
(i) Include test data in your application for certification showing
that your engines will meet the standards specified in paragraph (e) of
this section if they have a noncatalyzed muffler in place of the
aftertreatment that is part of the certified configuration. Use good
engineering judgment for these measurements, which may involve sampling
exhaust upstream of the catalyst or operating the engine with a
noncatalyzed muffler. This may be based on emission measurements from
previous model years if the data is still appropriate for the current
engine configuration.
(ii) Produce all your engines with the emission control information
label we specify in Sec. 1054.135. The engines must also be labeled as
specified in 40 CFR 1068.261.
(iii) Include in the installation instructions required under Sec.
1054.610 any appropriate instructions or limitations on installing
noncatalyzed mufflers to ensure that the fully assembled engine will
meet the emission standards specified in paragraph (e) of this section.
You may identify an appropriate range of backpressures, but this may
not involve any instructions related to changing the fuel system for
different fueling rates.
(iv) Use one of the following approaches to properly account for
emission credits if your engine family generates exhaust emission
credits under subpart H of this part:
(A) Multiply the credits calculated under Sec. 1054.705 by 0.9.
This is based on the expectation that equipment manufacturers will
modify 10 percent of the engines to no longer meet Phase 3 standards.
(B) Include in your emission-credit calculations only those engines
for which you can establish that the equipment manufacturer did not use
the provisions of this section. This would involve an evaluation for
each affected equipment manufacturer. For example, under this provision
you may count emission credits for engines that you sell to equipment
manufacturers with which you have no contract for delegated assembly.
You may also count emission credits for engines that you sell to
equipment manufacturers with which you have a delegated-assembly
relationship if you confirm that the equipment manufacturer did not use
the provisions of this section for those engines.
(k) Additional exemptions for mid-sized companies. If your annual
production of equipment with Class II engines in 2007, 2008, and 2009
is between 5,000 and 50,000 units, you may request additional engine
allowances under this section. To do this, notify us by January 31,
2010 if you believe the provisions of this section will not allow you
to sell certain equipment models starting in the 2011 model year. In
your notification, show us that you will be able to produce a number of
Class II equipment models representing at least half your total U.S.-
directed production volume in the 2011 model year that will be
compliant with all Phase 3 exhaust and evaporative emission standards.
Also describe why you need more allowances under this section to
accommodate anticipated changes in engine designs resulting from engine
manufacturers' compliance with changing exhaust emission standards.
Include a proposal for the number of additional allowances you would
need, with supporting rationale. We may approve allowances up to a
total of 100 percent of the average annual U.S.-directed production
volume you report under paragraph (b) of this section (in place of the
30 percent that is otherwise allowed).
Sec. 1054.626 What special provisions apply to equipment imported
under the Transition Program for Equipment Manufacturers?
This section describes requirements that apply to equipment
manufacturers using the provisions of Sec. 1054.625 for equipment
produced outside the United States. Note that Sec. 1054.625 limits
these provisions to equipment manufacturers that install some engines
and have primary responsibility for designing and manufacturing
equipment. Companies that import equipment into the United States
without meeting these criteria are not eligible for allowances under
Sec. 1054.625. Such importers may import equipment with exempted
engines only as described in paragraph (b) of this section.
(a) You or someone else may import your equipment with exempted
engines under this section if you comply with the provisions in Sec.
1054.625 and commit to the following:
(1) Give any EPA inspector or auditor complete and immediate access
to inspect and audit, as follows:
(i) Inspections and audits may be announced or unannounced.
[[Page 59285]]
(ii) Inspections and audits may be performed by EPA employees or
EPA contractors.
(iii) You must provide access to any location where--
(A) Any nonroad engine, equipment, or vehicle is produced or
stored.
(B) Documents related to manufacturer operations are kept.
(C) Equipment, engines, or vehicles are tested or stored for
testing.
(iv) You must provide any documents requested by an EPA inspector
or auditor that are related to matters covered by the inspections or
audit.
(v) EPA inspections and audits may include review and copying of
any documents related to demonstrating compliance with the exemptions
in Sec. 1054.625.
(vi) EPA inspections and audits may include inspection and
evaluation of complete or incomplete equipment, engines, or vehicles,
and interviewing employees.
(vii) You must make any of your employees available for interview
by the EPA inspector or auditor, on request, within a reasonable time
period.
(viii) You must provide English language translations of any
documents to an EPA inspector or auditor, on request, within 10 working
days.
(ix) You must provide English-language interpreters to accompany
EPA inspectors and auditors, on request.
(2) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.
(3) The forum for any civil or criminal enforcement action related
to the provisions of this section for violations of the Clean Air Act
or regulations promulgated thereunder shall be governed by the Clean
Air Act.
(4) The substantive and procedural laws of the United States shall
apply to any civil or criminal enforcement action against you or any of
your officers or employees related to the provisions of this section.
(5) Provide the notification required by Sec. 1054.625(g). Include
in the notice of intent in Sec. 1054.625(g)(1) a commitment to comply
with the requirements and obligations of Sec. 1054.625 and this
section. This commitment must be signed by the owner or president.
(6) You, your agents, officers, and employees must not seek to
detain or to impose civil or criminal remedies against EPA inspectors
or auditors, whether EPA employees or EPA contractors, for actions
performed within the scope of EPA employment related to the provisions
of this section.
(7) By submitting notification of your intent to use the provisions
of Sec. 1054.625, producing and exporting for resale to the United
States nonroad equipment under this section, or taking other actions to
comply with the requirements of this part, you, your agents, officers,
and employees, without exception, become subject to the full operation
of the administrative and judicial enforcement powers and provisions of
the United States as described in 28 U.S.C. 1605(a)(2), without
limitation based on sovereign immunity, for conduct that violates the
requirements applicable to you under this part 1054--including such
conduct that violates 18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other
applicable provisions of the Clean Air Act--with respect to actions
instituted against you and your agents, officers, and employees in any
court or other tribunal in the United States.
(8) Any report or other document you submit to us must be in the
English language or include a complete translation in English.
(9) You may be required to post a bond to cover any potential
enforcement actions under the Clean Air Act before you or anyone else
imports your equipment with exempted engines under this section, as
specified in Sec. 1054.690. Use the bond amount specified in Sec.
1054.690 without adjusting for inflation. Note that you may post a
single bond to meet the requirements of this section and Sec. 1054.690
together.
(b) The provisions of this paragraph (b) apply to importers that do
not install engines into equipment and do not have primary
responsibility for designing and manufacturing equipment. Such
importers may import equipment with engines exempted under Sec.
1054.625 only if each engine is exempted under an allowance provided to
an equipment manufacturer meeting the requirements of Sec. 1054.625
and this section. You must notify us of your intent to use the
provisions of this section and send us an annual report, as follows:
(1) Notify the Designated Compliance Officer in writing before you
use the provisions of Sec. 1054.625. Include the following
information:
(i) Your company's name and address, and your parent company's name
and address, if applicable.
(ii) The name and address of the companies that produce the
equipment and engines you will be importing under this section.
(iii) Your best estimate of the number of units you will import
under this section in the upcoming calendar year, broken down by
equipment manufacturer.
(2) For each year that you use the provisions of this section, send
the Designated Compliance Officer a written report by March 31 of the
following year. Include in your report the total number of engines you
imported under this section in the preceding calendar year, broken down
by engine manufacturer and by equipment manufacturer.
Sec. 1054.630 What provisions apply for importation of individual
items for personal use?
(a) Any individual may import previously used nonconforming engines
for purposes other than resale, but no more than once in any five-year
period. This may include up to three nonconforming engines imported at
the same time. To import engines under this section, provide to the
Customs official the following information:
(1) Identify your name, address, and telephone number.
(2) If you are importing engines under this section on behalf of
another person, identify the ultimate engine owner's name, address, and
telephone number.
(3) Identify the total number of engines you are importing and
specify the make, model, identification number, and original production
year of each engine.
(4) State: ``I am importing these previously used engines for
personal use. I have not imported any engines under the provisions of
40 CFR 1054.630 within the previous five years. I am not importing
these engines for purpose of resale. I authorize EPA enforcement
officers to inspect my engines and my facilities as permitted by the
Clean Air Act.''
(b) We may require you to send us additional information but you do
not need written approval from us to import engines under this section.
We will also not require a U.S. Customs Service bond for engines you
import under this section.
(c) The provisions of this section may not be used to circumvent
emission standards that apply to new engines under this part. For
example, you may not purchase new engines and use them in a trivial
manner outside of the United States to qualify for importation under
this section.
(d) If you violate the provisions of this section, or submit false
information to obtain this exemption, you will be subject to civil
penalties as specified in 40 CFR 1068.101(a)(2) and (b)(5).
[[Page 59286]]
Sec. 1054.635 What special provisions apply for small-volume engine
and equipment manufacturers?
This section describes how we apply the special provisions in this
part for small-volume engine and equipment manufacturers.
(a) If you qualify under paragraph (1) or (2) of the definition of
small-volume engine manufacturer or under paragraph (1) or (2) of the
definition of small-volume equipment manufacturer in Sec. 1054.801,
the small-volume provisions apply as specified in this part.
(b) If you are a small business (as defined by the Small Business
Administration at 13 CFR 121.201) that manufactures nonroad spark-
ignition engines or equipment, but you do not qualify under paragraph
(1) or (2) of the definition of small-volume engine manufacturer or
under paragraph (1) or (2) of the definition of small-volume equipment
manufacturer in Sec. 1054.801, you may ask us to designate you to be a
small-volume engine or equipment manufacturer. You may do this whether
you began manufacturing engines before, during, or after 2007. We may
set other reasonable conditions that are consistent with the intent of
this section and the Clean Air Act.
(c) Special provisions apply for small-volume engine and equipment
manufacturers, as illustrated by the following examples:
(1) Additional lead time and other provisions related to the
transition to new emission standards. See Sec. 1054.145.
(2) More flexible arrangements for creating engine families. See
Sec. 1054.230.
(3) Assigned deterioration factors. See Sec. 1054.240.
(4) Waived requirements for production-line testing. See Sec.
1054.301.
(5) Streamlined certification provisions for equipment
manufacturers relying on engine manufacturer's design parameters. See
Sec. 1054.612.
(6) Additional allowances under the Transition Program for
Equipment Manufacturers. See Sec. 1054.625.
(7) Additional special provisions apply for small-volume engine and
equipment manufacturers under 40 CFR part 1068. For example, see 40 CFR
1068.250.
(d) Small-volume engine and equipment manufacturers may ask us to
waive or modify the requirements of Sec. 1054.690 if this would cause
a serious economic hardship, as long as you demonstrate to us in some
other way that you will meet any potential compliance-or enforcement-
related obligations. In evaluating such a request, we would consider
the extent to which there is a risk of noncompliance or nonconformity
and the extent to which the manufacturer could be expected to fulfill
future regulatory obligations and administrative judgments. We may also
consider how many years the manufacturer has certified engines without
a violation or a finding of noncompliance to determine whether to
adjust applicable asset thresholds or to reduce the minimum bond value.
We may set other reasonable conditions to ensure that the manufacturer
will meet applicable requirements.
(e) If you use any of the provisions of this part that apply
specifically to small-volume manufacturers and we find that you exceed
the production limits or otherwise do not qualify as a small-volume
manufacturer, we may consider you to be in violation of the
requirements that apply for companies that are not small-volume
manufacturers for those engines produced in excess of the specified
production limits. If you no longer qualify as a small-volume engine
manufacturer (based on increased production volumes or other factors),
we will work with you to determine a reasonable schedule for complying
with additional requirements that apply. For example, if you no longer
qualify as a small-volume engine manufacturer shortly before you
certify your engines for the next model year, we might allow you to use
assigned deterioration factors for one more model year.
Sec. 1054.640 What special provisions apply to branded engines?
The following provisions apply if you identify the name and
trademark of another company instead of your own on your emission
control information label, as provided by Sec. 1054.135(c)(2):
(a) You must have a contractual agreement with the other company
that obligates that company to take the following steps:
(1) Meet the emission warranty requirements that apply under Sec.
1054.120. This may involve a separate agreement involving reimbursement
of warranty-related expenses.
(2) Report all warranty-related information to the certificate
holder.
(b) In your application for certification, identify the company
whose trademark you will use.
(c) You remain responsible for meeting all the requirements of this
chapter, including warranty and defect-reporting provisions.
Sec. 1054.645 What special provisions apply for converting an engine
to use an alternate fuel?
A certificate of conformity is no longer valid for an engine if the
engine is modified such that it is not in a configuration covered by
the certificate. This section applies if such modifications are done to
convert the engine to run on a different fuel type. Such engines may
need to be recertified as specified in this section if the certificate
is no longer valid for that engine.
(a) Converting a certified new engine to run on a different fuel
type violates 40 CFR 1068.101(a)(1) if the modified engine is not
covered by a certificate of conformity.
(b) Converting a certified engine that is not new to run on a
different fuel type violates 40 CFR 1068.101(b)(1) if the modified
engine is not covered by a certificate of conformity. We may specify
alternate certification provisions consistent with the requirements of
this part. For example, you may certify the modified engine for a
partial useful life. For example, if the engine is modified halfway
through its original useful life period, you may generally certify the
engine based on completing the original useful life period; or if the
engine is modified after the original useful life period is past, you
may generally certify the engine based on testing that does not involve
further durability demonstration.
(c) Engines may be certified using the certification procedures for
new engines as specified in this part or using the certification
procedures for aftermarket parts as specified in 40 CFR part 85,
subpart V. Unless the original engine manufacturer continues to be
responsible for the engine as specified in paragraph (d) of this
section, you must remove the original engine manufacturer's emission
control information label if you recertify the engine.
(d) The original engine manufacturer is not responsible for
operation of modified engines in configurations resulting from
modifications performed by others. In cases where the modification
allows an engine to be operated in either its original configuration or
a modified configuration, the original engine manufacturer remains
responsible for operation of the modified engine in its original
configuration.
(e) Entities producing conversion kits may obtain certificates of
conformity for the converted engines. Such entities are engine
manufacturers for purposes of this part.
Sec. 1054.650 What special provisions apply for adding or changing
governors?
The special provisions in this section apply for engines that will
not be governed to control engine speeds
[[Page 59287]]
consistent with the constant-speed operation reflected by the duty
cycles specified in Sec. 1054.505. We refer to these as constant-speed
governors in this section. Paragraph (a) of this section also applies
for any engines shipped without installed governors.
(a) The representative-testing requirements of 40 CFR 1065.10(c)(1)
related to in-use duty cycles do not apply to engines you produce and
ship without constant-speed governors if you comply with all the
following requirements:
(1) You must have test data showing that the effectiveness of the
engine's emission controls over the expected range of in-use operation
will be similar to that measured over the specified duty cycle.
Alternatively, if your emission controls depend on maintaining a
consistent air-fuel ratio, you may demonstrate that the engine is
calibrated to maintain a consistent air-fuel ratio over the expected
range of in-use operation.
(2) Describe in your application for certification the data and
analysis that supports your conclusion.
(b) It is a violation of the tampering provisions in 40 CFR
1068.101(b)(1) to remove a governor from a certified engine unless you
recertify the engine in the modified configuration.
Sec. 1054.655 What special provisions apply for installing and
removing altitude kits?
An action for the purpose of installing or modifying altitude kits
and performing other changes to compensate for changing altitude is not
considered a prohibited act under 40 CFR 1068.101(b) as long as as it
is done consistent with the manufacturer's instructions.
Sec. 1054.660 What are the provisions for exempting emergency rescue
equipment?
The provisions of this section apply for new equipment built on or
after January 1, 2010.
(a) Equipment manufacturers may introduce into U.S. commerce
equipment that is not certified to current emission standards under the
following conditions if the equipment will be used solely in emergency
rescue situations:
(1) You must determine annually that no engines certified to
current emission standards are available to power the equipment safely
and practically. We may review your records supporting this
determination at any time.
(2) You may not use exempted engines for the following equipment
used to provide remote power to a rescue tool: generators, alternators,
compressors, or pumps.
(3) If engines that meet less stringent emission standards are
capable of powering your equipment safely and practically, you must use
them as a condition of this exemption. You must use available engines
meeting the most stringent standards feasible.
(4) You must send the engine manufacturer a written request for
each exempted equipment model.
(5) You must notify the Designated Compliance Officer of your
intent to use the provisions of this section. We may require you to
notify us annually or to send us annual reports describing how you meet
the conditions of this section.
(b) For the purposes of this section, ``emergency rescue
situations'' means firefighting or other situations in which a person
is retrieved from imminent danger.
(c) As an engine manufacturer, you may produce exempt engines under
this section without our prior approval if you have a written request
for an exempted engine for use in emergency rescue equipment from the
equipment manufacturer. You must permanently label engines with the
following statement: ``EMERGENCY RESCUE EQUIPMENT--EXEMPT FROM EMISSION
STANDARDS UNDER 40 CFR 1054.660.'' Failure to properly label an engine
will void the exemption.
(d) We may discontinue an exemption under this section if we find
that engines are not used solely for emergency rescue equipment or if
we find that a certified engine is available to power the equipment
safely and practically.
Sec. 1054.690 What bond requirements apply for certified engines?
(a) Before introducing certified engines into U.S. commerce, you
must post a bond to cover any potential compliance or enforcement
actions under the Clean Air Act unless you demonstrate to us in your
application for certification that you are able to meet any potential
compliance-or enforcement-related obligations, as described in this
section. See paragraph (i) of this section for the requirements related
to importing engines that have been certified by someone else. Note
that you might also post bond under this section to meet your
obligations under Sec. 1054.120.
(b) The bonding requirements apply if you do not have long-term
assets in the United States meeting any of the following thresholds:
(1) A threshold of $3 million applies if you have been a
certificate holder in each of the preceding ten years without failing a
test conducted by EPA officials or having been found by EPA to be
noncompliant under applicable regulations.
(2) A threshold of $6 million applies if you are a secondary engine
manufacturer.
(3) A threshold of $10 million applies if you do not qualify for
the smaller bond thresholds in paragraph (b)(1) or (2) of this section.
(c) For the purpose of establishing your level of long-term assets
under paragraph (b) of this section, include the values from your most
recent balance sheet for buildings, land, and fixed equipment, but
subtract depreciation and related long-term liabilities (such as a
mortgage). If you have sufficient long-term assets to avoid bond
payments under this section, you must identify the location of these
assets in your application for certification.
(d) The minimum value of the bond is $500,000. A higher bond value
may apply based on the per-engine bond values shown in Table 1 to this
section and on the U.S.-directed production volume from each
displacement grouping for the calendar year. For example, if you have
projected U.S.-directed production volumes of 10,000 engines with 180
cc displacement and 10,000 engines with 400 cc displacement in 2013,
the appropriate bond amount is $750,000. Adjust the value of the bond
as follows:
(1) If your estimated or actual U.S.-directed production volume in
any later calendar year increases beyond the level appropriate for your
current bond payment, you must post additional bond to reflect the
increased volume within 90 days after you change your estimate or
determine the actual production volume. You may not decrease your bond.
(2) If you sell engines without aftertreatment components under the
provisions of Sec. 1054.610, you must increase the per-engine bond
values for the current year by 20 percent. Round calculated values to
the nearest dollar.
Table 1 to Sec. 1054.690--Per-Engine Bond Values
------------------------------------------------------------------------
The per-
For engines with displacement falling in the following engine bond
ranges . . . value is . . .
------------------------------------------------------------------------
Disp. < 225 cc.......................................... $25
225 <= Disp. < 740 cc................................... 50
740 <= Disp. <= 1,000 cc................................ 100
Disp. > 1,000 cc........................................ 200
------------------------------------------------------------------------
(e) The threshold identified in paragraph (b) of this section and
the bond values identified in paragraph (d) of this section are in 2008
dollars. Adjust these values in 2010 and later calendar years by
comparing the
[[Page 59288]]
Consumer Price Index values published by the Bureau of Labor Statistics
for the preceding June and June 2008 (see ftp://ftp.bls.gov/pub/special.requests/cpi/cpiai.txt). Round calculated values for the
thresholds and for total bond obligations to the nearest thousand
dollars.
(f) You may meet the bond requirements of this section by obtaining
a bond from a third-party surety that is cited in the U.S. Department
of Treasury Circular 570, ``Companies Holding Certificates of Authority
as Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring
Companies'' (http://www.fms.treas.gov/c570/c570.html#certified). You
must maintain this bond for every year in which you sell certified
engines and for five years after you no longer hold a certificate of
conformity.
(g) If you forfeit some or all of your bond in an enforcement
action, you must post any appropriate bond for continuing sale within
90 days after you forfeit the bond amount.
(h) You will forfeit the proceeds of the bond posted under this
section if you need to satisfy any United States administrative
settlement agreement, administrative final order, or judicial judgment
against you arising from your violation of this chapter, or violation
of 18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other applicable provisions
of the Clean Air Act.
(i) If you are required to post a bond under this section, you must
note that in your application for certification as described in Sec.
1054.205. Your certification is conditioned on your compliance with
this section. Your certificate is automatically suspended if you fail
to comply with the requirements of this section. We may also revoke
your certificate.
(j) The following provisions apply if you import engines for resale
when those engines have been certified by someone else (or equipment
containing such engines):
(1) You and the certificate holder are each responsible for
compliance with the requirements of this part and the Clean Air Act.
For example, we may require you to comply with the warranty
requirements in the standard-setting part.
(2) You do not need to post bond if the certificate holder complies
with the bond requirements of this section. You also do not need to
post bond if the certificate holder complies with the asset
requirements of this section and the repair-network provisions of Sec.
1054.120(f)(4).
Subpart H--Averaging, Banking, and Trading for Certification
Sec. 1054.701 General provisions.
(a) You may average, bank, and trade (ABT) emission credits for
purposes of certification as described in this subpart to show
compliance with the standards of this part. This applies for engines
with respect to exhaust emissions and for equipment with respect to
evaporative emissions. Participation in this program is voluntary.
(b) The definitions of subpart I of this part apply to this
subpart. The following definitions also apply:
(1) Actual emission credits means emission credits you have
generated that we have verified by reviewing your final report.
(2) Averaging set means a set of engines (or equipment) in which
emission credits may be exchanged only with other engines (or
equipment) in the same averaging set.
(3) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
(4) Buyer means the entity that receives emission credits as a
result of a trade.
(5) Family means engine family for exhaust credits or emission
family for evaporative credits.
(6) Reserved emission credits means emission credits you have
generated that we have not yet verified by reviewing your final report.
(7) Seller means the entity that provides emission credits during a
trade.
(8) Standard means the emission standard that applies under subpart
B of this part for engines or fuel-system components not participating
in the ABT program of this subpart.
(9) Trade means to exchange emission credits, either as a buyer or
seller.
(c) The use of emission credits is limited to averaging sets, as
follows:
(1) You may not average or exchange exhaust credits with
evaporative credits, or vice versa.
(2) Handheld engines and nonhandheld engines are in separate
averaging sets with respect to exhaust emissions except as specified in
Sec. 1054.740(e). You may use emission credits generated under 40 CFR
part 90 for handheld engines subject to the standards in Sec. 1054.103
only if you can demonstrate that those credits were generated by
handheld engines, except as specified in Sec. 1054.740(e). You may use
emission credits generated under 40 CFR part 90 for nonhandheld engines
only if you can demonstrate that those credits were generated by
nonhandheld engines, subject to the provisions of Sec. 1054.740.
(3) Equipment using handheld engines and equipment using
nonhandheld engines are in separate averaging sets with respect to
evaporative emissions. You may not average or exchange evaporative
credits between either of these averaging sets.
(4) For purposes of calculating emission credits under this
subpart, engines with displacement at or below 80 cc are presumed to be
handheld engines. You may treat these as nonhandheld engines for
calculating exhaust or evaporative emission credits only for those
engines you can demonstrate will be installed in nonhandheld equipment.
For example, if 50 percent of engines in a family will be used in
nonhandheld equipment, you may calculate the emission credits for 50
percent of the engines to be nonhandheld credits. Use the specified
calculation methods for handheld engines to quantify positive or
negative exhaust emission credits for all engines at or below 80 cc.
(d) You may not generate evaporative credits based on permeation
measurements from metal fuel tanks.
(e) You may not use emission credits generated under this subpart
to offset any emissions that exceed an FEL or standard. This applies
for all testing, including certification testing, in-use testing,
selective enforcement audits, and other production-line testing.
However, if exhaust emissions from an engine exceed an exhaust FEL or
standard (for example, during a selective enforcement audit), you may
use emission credits to recertify the family with a higher FEL that
applies only to future production.
(f) Emission credits may be used in the model year they are
generated (averaging) and in future model years (banking). Emission
credits may not be used for past model years.
(g) You may increase or decrease an exhaust FEL during the model
year by amending your application for certification under Sec.
1054.225. See 40 CFR 1060.225 for provisions related to changing an FEL
for fuel tank permeation.
(h) Engine and equipment manufacturers certifying with respect to
evaporative emissions may use emission credits to demonstrate
compliance under this subpart. Component manufacturers may establish
FELs for their certified products, but they may not generate or use
emission credits under this subpart.
(i) In your application for certification, base your showing of
compliance on projected production
[[Page 59289]]
volumes for engines or equipment intended for sale in the United
States. As described in Sec. 1054.730, compliance with the
requirements of this subpart is determined at the end of the model year
based on actual production volumes for engines or equipment intended
for sale in the United States. Do not include any of the following
engines or equipment to calculate emission credits:
(1) Engines or equipment exempted under subpart G of this part or
under 40 CFR part 1068.
(2) Engines or equipment intended for export.
(3) Engines or equipment that are subject to state emission
standards for that model year. However, this restriction does not apply
if we determine that the state standards and requirements are
equivalent to those of this part and that products sold in such a state
will not generate credits under the state program. For example, you may
not include engines or equipment certified for California if California
has more stringent emission standards for these products or if your
products generate or use emission credits under the California program.
(4) Engines or equipment not subject to the requirements of this
part, such as those excluded under Sec. 1054.5.
(5) Any other engines or equipment where we indicate elsewhere in
this part 1054 that they are not to be included in the calculations of
this subpart.
Sec. 1054.705 How do I generate and calculate exhaust emission
credits?
The provisions of this section apply for calculating exhaust
emission credits. You may generate exhaust emission credits only if you
are a certifying engine manufacturer.
(a) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission
standard. Calculate positive emission credits for a family that has an
FEL below the standard. Calculate negative emission credits for a
family that has an FEL above the standard. Sum your positive and
negative credits for the model year before rounding. Round the sum of
emission credits to the nearest kilogram (kg) using consistent units
throughout the following equation:
Emission credits (kg) = (STD - FEL) x (Volume) x (Power) x (UL) x (LF)
x (10-3)
Where:
STD = the emission standard, in g/kW-hr.
FEL = the family emission limit for the family, in g/kW-hr.
Volume = the number of engines eligible to participate in the
averaging, banking, and trading program within the given family
during the model year, as described in Sec. 1054.701(i).
Power = the maximum modal power of the emission-data engine as
calculated from the applicable test procedure described in subpart F
of this part, in kilowatts.
UL = the useful life for the given family, in hours.
LF = load factor. Use 0.47 for nonhandheld engines and 0.85 for
handheld engines. We may specify a different load factor if we
approve the use of special test procedures for a family under 40 CFR
1065.10(c)(2), consistent with good engineering judgment.
(b) [Reserved]
Sec. 1054.706 How do I generate and calculate evaporative emission
credits?
The provisions of this section apply for calculating evaporative
emission credits related to fuel tank permeation. You may generate
credits only if you are a certifying equipment manufacturer. This may
include engine manufacturers that make engines with complete fuel
systems as described in Sec. 1054.2.
(a) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission
standard. Calculate positive emission credits for a family that has an
FEL below the standard. Calculate negative emission credits for a
family that has an FEL above the standard. Sum your positive and
negative credits for the model year before rounding. Round the sum of
emission credits to the nearest kilogram (kg) using consistent units
throughout the following equation:
Emission credits (kg) = (STD-FEL) x (Total Area) x (UL) x (AF) x (365)
x (10-3)
Where:STD = the emission standard, in g/m2/day.
FEL = the family emission limit for the family, in g/m2/
day, as described in paragraph (b) of this section.
Total Area = The combined internal surface area of all fuel tanks in
the family, taking production volume into account, in m2.
UL = 5 years, which represents the useful life for the given family.
AF= adjustment factor. Use 1.0 for testing at 28 [deg]C; use 0.60
for testing at 40 [deg]C.
(b) For calculating credits under paragraph (a) of this section,
the emission standard and FEL must both be based on test measurements
at the same temperature (28 [deg] or 40 [deg]C). Determine the FEL for
calculating emission credits relative to testing at 28 [deg]C as
described in paragraphs (b)(1) and (2) of this section. Determine the
FEL for calculating emission credits relative to testing at 40 [deg]C
as described in paragraph (b)(3) of this section.
(1) To use an FEL below 5.0 g/m2/day, it must be based
on emission measurements.
(2) The provisions of this paragraph (b)(2) apply for all emission
families with FELs at or above 5.0 g/m2/day. To calculate
emission credits for such emission families, you must choose from one
of the following options and apply it to all your emission families
with FELs at or above 5.0 g/m2/day:
(i) Option 1: Establish all your FELs based on emission
measurements. This may include measurements from a certifying fuel tank
manufacturer.
(ii) Option 2: Use an assigned FEL of 10.4 g/m2/day.
This would apply without regard to whether any of these emission
families have measured emission levels below 10.4 g/m2/day.
If any of your fuel tanks were otherwise certified (by you or the fuel
tank manufacturer) with an FEL at or above 5.0 g/m2/day, the
assigned FEL of 10.4 g/m2/day applies only for emission
credit calculations.
(3) Determine the FEL for calculating emission credits relative to
testing at 40 [deg]C as described in paragraph (b)(1) and (2) of this
section, but use 8.3 g/m2/day instead of 5.0 g/
m2/day and use 17.3 g/m2/day instead of 10.4 g/
m2/day.
Sec. 1054.710 How do I average emission credits?
(a) Averaging is the exchange of emission credits among your
families. You may average emission credits only within the same
averaging set.
(b) You may certify one or more families to an FEL above the
emission standard, subject to the FEL caps and other provisions in
subpart B of this part, if you show in your application for
certification that your projected balance of all emission-credit
transactions in that model year is greater than or equal to zero.
(c) If you certify a family to an FEL that exceeds the otherwise
applicable standard, you must obtain enough emission credits to offset
the family's deficit by the due date for the final report required in
Sec. 1054.730. The emission credits used to address the deficit may
come from your other families that generate emission credits in the
same model year, from emission credits you have banked, or from
emission credits you obtain through trading.
Sec. 1054.715 How do I bank emission credits?
(a) Banking is the retention of emission credits by the
manufacturer generating the emission credits for use in future model
years for averaging or trading. You may use banked emission credits
only within the averaging set in which they were generated, except as
described in this subpart.
[[Page 59290]]
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1054.730. During the model year and
before the due date for the final report, you may designate your
reserved emission credits for averaging or trading.
(c) Reserved credits become actual emission credits when you submit
your final report. However, we may revoke these emission credits if we
are unable to verify them after reviewing your reports or auditing your
records.
Sec. 1054.720 How do I trade emission credits?
(a) Trading is the exchange of emission credits between
manufacturers. You may use traded emission credits for averaging,
banking, or further trading transactions. Traded emission credits may
be used only within the averaging set in which they were generated,
except as described in this subpart.
(b) You may trade actual emission credits as described in this
subpart. You may also trade reserved emission credits, but we may
revoke these emission credits based on our review of your records or
reports or those of the company with which you traded emission credits.
You may trade banked credits within an averaging set to any certifying
engine or equipment manufacturer.
(c) If a negative emission credit balance results from a
transaction, both the buyer and seller are liable, except in cases we
deem to involve fraud. See Sec. 1054.255(e) for cases involving fraud.
We may void the certificates of all families participating in a trade
that results in a manufacturer having a negative balance of emission
credits. See Sec. 1054.745.
Sec. 1054.725 What must I include in my application for
certification?
(a) You must declare in your application for certification your
intent to use the provisions of this subpart for each family that will
be certified using the ABT program. You must also declare the FELs you
select for the family for each pollutant for which you are using the
ABT program. Your FELs must comply with the specifications of subpart B
of this part, including the FEL caps. FELs must be expressed to the
same number of decimal places as the emission standard.
(b) Include the following in your application for certification:
(1) A statement that, to the best of your belief, you will not have
a negative balance of emission credits for any averaging set when all
emission credits are calculated at the end of the year.
(2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. We may require you
to include similar calculations from your other engine families to
demonstrate that you will be able to avoid a negative credit balance
for the model year. If you project negative emission credits for a
family, state the source of positive emission credits you expect to use
to offset the negative emission credits.
Sec. 1054.730 What ABT reports must I send to EPA?
(a) If any of your families are certified using the ABT provisions
of this subpart, you must send an end-of-year report within 90 days
after the end of the model year and a final report within 270 days
after the end of the model year. We may waive the requirement to send
the end-of-year report as long as you send the final report on time.
(b) Your end-of-year and final reports must include the following
information for each family participating in the ABT program:
(1) Family designation.
(2) The emission standards that would otherwise apply to the
family.
(3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the engine identification number for the first engine
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits under each FEL.
(4) The projected and actual production volumes for the model year
with a point of retail sale in the United States, as described in Sec.
1054.701(i). For fuel tanks, state the production volume in terms of
surface area and production volume for each fuel tank configuration and
state the total surface area for the emission family. If you changed an
FEL during the model year, identify the actual production volume
associated with each FEL.
(5) The maximum modal power of the emission-data engine or the
appropriate internal surface area of the fuel tank.
(6) Useful life.
(7) Calculated positive or negative emission credits for the whole
family. Identify any emission credits that you traded, as described in
paragraph (d)(1) of this section.
(c) Your end-of-year and final reports must include the following
additional information:
(1) Show that your net balance of emission credits from all your
participating families in each averaging set in the applicable model
year is not negative.
(2) State whether you will retain any emission credits for banking.
(3) State that the report's contents are accurate.
(d) If you trade emission credits, you must send us a report within
90 days after the transaction, as follows:
(1) As the seller, you must include the following information in
your report:
(i) The corporate names of the buyer and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) The families that generated emission credits for the trade,
including the number of emission credits from each family.
(2) As the buyer, you must include the following information in
your report:
(i) The corporate names of the seller and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply to each family (if
known).
(e) Send your reports electronically to the Designated Compliance
Officer using an approved information format. If you want to use a
different format, send us a written request with justification for a
waiver.
(f) Correct errors in your end-of-year report or final report as
follows:
(1) You may correct any errors in your end-of-year report when you
prepare the final report as long as you send us the final report by the
time it is due.
(2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decreased your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that
are determined more than 270 days after the end of the model year. If
you report a negative balance of emission credits, we may disallow
corrections under this paragraph (f)(2).
(3) If you or we determine anytime that errors mistakenly increased
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.
Sec. 1054.735 What records must I keep?
(a) You must organize and maintain your records as described in
this section. We may review your records at any time.
(b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for any engines or equipment if you do not keep all
the records required under this section. You must therefore keep these
[[Page 59291]]
records to continue to bank valid credits. Store these records in any
format and on any media as long as you can promptly send us organized,
written records in English if we ask for them. You must keep these
records readily available. We may review them at any time.
(c) Keep a copy of the reports we require in Sec. 1054.730.
(d) Keep records of the engine identification number for each
engine or piece of equipment you produce that generates or uses
emission credits under the ABT program. You may identify these numbers
as a range. If you change the FEL after the start of production,
identify the date you started using each FEL and the range of engine
identification numbers associated with each FEL.
(e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with
the Clean Air Act.
Sec. 1054.740 What special provisions apply for generating and using
emission credits?
(a) You may generate Phase 3 emission credits from 2008 through
2011 model year Class I engines if you voluntarily meet the Phase 3
exhaust emission standards specified in Sec. 1054.105. Divide these
into transitional and enduring emission credits as follows:
(1) Transitional credits are based on reducing emissions from Phase
2 levels down to Phase 3 levels. Calculate the value of transitional
emission credits as described in Sec. 1054.705, based on setting STD
equal to 15.0 g/kW-hr and FEL equal to 10.0 g/kW-hr. You may use these
transitional credits only for Class I engines in 2012 through 2014
model years. You may not use these transitional credits for Class II
engines.
(2) Enduring credits are based on reducing emissions below Phase 3
levels. Calculate the value of enduring credits as described in Sec.
1054.705, based on setting STD equal to 10.0 g/kW-hr and FEL to the
value of the family emission limit you select for the family. You may
use these enduring credits for any nonhandheld engines certified to the
Phase 3 standards under this part, except as specified in paragraph (d)
of this section.
(b) You may generate Phase 3 emission credits from 2008 through
2010 model year Class II engines if you voluntarily meet the Phase 3
exhaust emission standards specified in Sec. 1054.105. Divide these
into transitional and enduring emission credits as follows:
(1) Transitional credits are based on reducing emissions from Phase
2 levels down to Phase 3 levels. Calculate the value of transitional
emission credits as described in Sec. 1054.705, based on setting STD
equal to 11.0 g/kW-hr and FEL equal to 8.0 g/kW-hr. You may use these
transitional credits only for Class II engines in 2011 through 2013
model years. You may not use these transitional credits for Class I
engines.
(2) Enduring credits are based on reducing emissions below Phase 3
levels. Calculate the value of enduring credits as described in Sec.
1054.705, based on setting STD equal to 8.0 g/kW-hr and FEL to the
value of the family emission limit you select for the family. You may
use these enduring credits for any nonhandheld engines certified to the
Phase 3 standards under this part, except as specified in paragraph (d)
of this section.
(c) You may use emission credits generated by Class I and Class II
engines subject to Phase 2 emission standards under 40 CFR part 90 to
demonstrate compliance with the Phase 3 exhaust emission standards, but
only after you have exhausted all transitional credits from engines
meeting Phase 3 standards, subject to the conditions of paragraph (d)
of this section. You may use these Phase 2 emission credits only in the
2012 and 2013 model years for Class I engines and only in the 2011
through 2013 model years for Class II engines. Determine a maximum
number of Phase 2 emission credits for demonstrating compliance with
the Phase 3 standards for a given engine class (Class I or Class II) as
follows:
(1) Calculate a Phase 2 credit allowance for each engine class
based on production information for model years 2007, 2008, and 2009
using the following equation:
Credit allowance (kg) = (Emissions Delta) x (Volume) x (Avg. Power) x
(Avg. UL) x (LF) x(10-3)
Where:
Emissions Delta = 1.6 g/kW-hr for Class I and 2.1 g/kW-hr for Class
II.
Volume = the number of your engines eligible to participate in the
averaging, banking, and trading program, as described in Sec.
1054.701(i), based on actual U.S.-directed production volumes.
Avg. Power = the production-weighted average value of the maximum
modal power for all your engine families in the engine class, as
described in Sec. 1054.705(a), in kilowatts.
Avg. UL = the production-weighted average value of the useful life
for all your engine families in the engine class, in hours.
LF = load factor. Use 0.47.
(2) Do not include wintertime engines in the calculation of credit
allowances unless they are certified to meet the otherwise applicable
HC+NOX emission standard.
(3) Calculate the average annual Phase 2 credit allowance for each
engine class over three model years as specified in paragraph (c)(1) of
this section. The resulting average value is the maximum number of
Phase 2 emission credits you may use under this paragraph (c) for each
engine class.
(4) For 2013 and earlier model years, include in the reports
described in Sec. 1054.730 the total allowable number of Phase 2
emission credits and your cumulative totals of Phase 2 credits you have
used to comply with the requirements of this part for each engine
class.
(d) If you generate enduring emission credits from Class I engines
under paragraph (a) of this section, you may not use these for Class II
engines in the 2011 or 2012 model year. Similarly, if you generate
enduring emission credits from Class II engines under paragraph (b) of
this section, you may not use these for Class I engines in the 2012
model year. These restrictions also apply for emission credits you
generate for engines subject to the standards of this part in the 2011
or 2012 model year.
(e) You may use Phase 2 or Phase 3 emission credits from
nonhandheld engines to demonstrate compliance with the Phase 3
standards for handheld engines subject to the following restrictions:
(1) The handheld family must be certified in 2008 and all later
model years using carryover of emission data from an engine family that
was most recently certified with new emission data in 2007 or an
earlier model year.
(2) The handheld family's FEL may not increase above the level
selected for the 2007 model year in later years unless such an increase
is based on emission data from production engines.
(3) Your total production of handheld engines certified under this
paragraph (e) may not exceed 30,000 in any model year.
Sec. 1054.745 What can happen if I do not comply with the provisions
of this subpart?
(a) For each family participating in the ABT program, the
certificate of conformity is conditional upon full compliance with the
provisions of this subpart during and after the model year. You are
responsible to establish to our satisfaction that you fully comply with
applicable requirements. We may void the certificate of conformity for
a family if you fail to comply with any provisions of this subpart.
(b) You may certify your family to an FEL above an emission
standard based on a projection that you will have
[[Page 59292]]
enough emission credits to offset the deficit for the family. However,
we may void the certificate of conformity if you cannot show in your
final report that you have enough actual emission credits to offset a
deficit for any pollutant in a family.
(c) We may void the certificate of conformity for a family if you
fail to keep records, send reports, or give us information we request.
(d) You may ask for a hearing if we void your certificate under
this section (see Sec. 1054.820).
Subpart I--Definitions and Other Reference Information
Sec. 1054.801 What definitions apply to this part?
The following definitions apply to this part. The definitions apply
to all subparts unless we note otherwise. All undefined terms have the
meaning the Clean Air Act gives to them. The definitions follow:
Adjustable parameter means any device, system, or element of design
that someone can adjust (including those which are difficult to access)
and that, if adjusted, may affect emissions or engine performance
during emission testing or normal in-use operation. This includes, but
is not limited to, parameters related to injection timing and fueling
rate. You may ask us to exclude a parameter that is difficult to access
if it cannot be adjusted to affect emissions without significantly
degrading engine performance, or if you otherwise show us that it will
not be adjusted in a way that affects emissions during in-use
operation.
Aftertreatment means relating to a catalytic converter, particulate
filter, thermal reactor, or any other system, component, or technology
mounted downstream of the exhaust valve (or exhaust port) whose design
function is to decrease emissions in the engine exhaust before it is
exhausted to the environment. Exhaust-gas recirculation (EGR),
turbochargers, and oxygen sensors are not aftertreatment.
Alcohol-fueled engine means an engine that is designed to run using
an alcohol fuel. For purposes of this definition, alcohol fuels do not
include fuels with a nominal alcohol content below 25 percent by
volume.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
Applicable emission standard or applicable standard means an
emission standard to which an engine (or equipment) is subject.
Additionally, if an engine (or equipment) has been or is being
certified to another standard or FEL, applicable emission standard
means the FEL or other standard to which the engine (or equipment) has
been or is being certified. This definition does not apply to subpart H
of this part.
Auxiliary emission control device means any element of design that
senses temperature, motive speed, engine RPM, transmission gear, or any
other parameter for the purpose of activating, modulating, delaying, or
deactivating the operation of any part of the emission control system.
Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
Calibration means the set of specifications and tolerances specific
to a particular design, version, or application of a component or
assembly capable of functionally describing its operation over its
working range.
Carryover means relating to certification based on emission data
generated from an earlier model year as described in Sec. 1054.235(d).
Certification means relating to the process of obtaining a
certificate of conformity for an emission family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an emission family for a given pollutant from either transient
or steady-state testing.
Class I means relating to nonhandheld engines with total
displacement below 225 cc. See Sec. 1054.101 for special provisions
that apply for engines with total displacement at or below 80 cc.
Class II means relating to nonhandheld engines with total
displacement at or above 225 cc.
Class III means relating to handheld engines with total
displacement below 20 cc.
Class IV means relating to handheld engines with total displacement
at or above 20 cc but below 50 cc.
Class V means relating to handheld engines with total displacement
at or above 50 cc.
Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
Cold-weather equipment is limited to the following types of
handheld equipment: chainsaws, cut-off saws, clearing saws, brush
cutters with engines at or above 40cc, commercial earth and wood
drills, and ice augers. This includes earth augers if they are also
marketed as ice augers.
Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the engine crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft
and other related internal parts.
Critical emission-related component means any of the following
components:
(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, air filters,
spark plugs, and all sensors and actuators associated with any of these
components.
(2) Any other component whose primary purpose is to reduce
emissions.
Date of manufacture has the meaning given in 40 CFR 1068.30.
Days means calendar days unless otherwise specified. For example,
when we specify working days we mean calendar days, excluding weekends
and U.S. national holidays.
Designated Compliance Officer means the Manager, Heavy-Duty and
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency,
1200 Pennsylvania Ave., NW., Washington, DC 20460.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW.,Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data engine.
Deterioration factor means the relationship between emissions at
the end of useful life and emissions at the low-hour test point (see
Sec. Sec. 1054.240 and 1054.245), expressed in one of the following
ways:
(1) For multiplicative deterioration factors, the ratio of
emissions at the end of useful life to emissions at the low-hour test
point.
(2) For additive deterioration factors, the difference between
emissions at the end of useful life and emissions at the low-hour test
point.
Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1054.505.
Displacement has the meaning given in Sec. 1054.140.
Dry weight means the weight of the equipment as sold without fuel,
oil, or engine coolant.
Dual-fuel engine means an engine designed for operation on two
different fuels but not on a continuous mixture of those fuels.
[[Page 59293]]
Emission control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
from an engine.
Emission-data engine means an engine that is tested for
certification. This includes engines tested to establish deterioration
factors.
Emission-data equipment means an engine, piece of equipment, or
fuel system component that is tested for certification. This includes
units tested to establish deterioration factors.
Emission family has the meaning given in Sec. 1054.230. We may
refer to emission families as ``engine families'' where provisions
relate only to exhaust emissions from engines.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Engine has the meaning given in 40 CFR 1068.30. This includes
complete and partially complete engines.
Engine configuration means a unique combination of engine hardware
and calibration within an emission family. Engines within a single
engine configuration differ only with respect to normal production
variability.
Engine manufacturer means the manufacturer of the engine. See the
definition of ``manufacturer'' in this section.
Equipment means any mechanical device commonly known as equipment,
including vehicles. If the equipment has an installed engine, the term
equipment includes the installed engine and fuel system components.
Equipment manufacturer means a manufacturer of nonroad equipment.
All nonroad equipment manufacturing entities under the control of the
same person are considered to be a single nonroad equipment
manufacturer. (Note: In Sec. 1054.626, the term ``equipment
manufacturer'' has a narrower meaning that applies only to that
section.).
Evaporative means relating to fuel emissions controlled by 40 CFR
part 1060. This generally includes emissions that result from
permeation of fuel through the fuel-system materials or from
ventilation of the fuel system.
Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that, according to Sec. 1054.5, is not
subject to this part 1054.
Exempted has the meaning given in 40 CFR 1068.30.
Exhaust-gas recirculation (EGR) means a technology that reduces
emissions by routing exhaust gases that had been exhausted from the
combustion chamber(s) back into the engine to be mixed with incoming
air before or during combustion. The use of valve timing to increase
the amount of residual exhaust gas in the combustion chamber(s) that is
mixed with incoming air before or during combustion is not considered
exhaust-gas recirculation for the purposes of this part.
Family emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard under the ABT program in subpart H of this part. The family
emission limit must be expressed to the same number of decimal places
as the emission standard it replaces. The family emission limit serves
as the emission standard for the engine family (exhaust) or emission
family (evaporative) with respect to all required testing.
Flexible-fuel engine means an engine designed for operation on any
mixture of two or more different fuels.
Fuel line means hose or tubing designed to contain liquid fuel
(including molded hose or tubing). This does not include any of the
following:
(1) Fuel tank vent lines.
(2) Segments of hose or tubing whose external surface is normally
exposed to liquid fuel inside the fuel tank.
(3) Hose or tubing designed to return unused fuel from the
carburetor to the fuel tank for handheld engines.
(4) Primer bulbs that contain liquid fuel only for priming the
engine before starting.
Fuel system means all components involved in transporting,
metering, and mixing the fuel from the fuel tank to the combustion
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel
filters, fuel lines, carburetor or fuel-injection components, and all
fuel-system vents.
Fuel type means a general category of fuels such as gasoline or
natural gas. There can be multiple grades within a single fuel type,
such as low-temperature or all-season gasoline.
Good engineering judgment has the meaning given in 40 CFR 1068.30.
See 40 CFR 1068.5 for the administrative process we use to evaluate
good engineering judgment.
Handheld means relating to equipment that meets any of the
following criteria:
(1) It is carried by the operator throughout the performance of its
intended function.
(2) It is designed to operate multi-positionally, such as upside
down or sideways, to complete its intended function.
(3) It has a combined engine and equipment dry weight under 16.0
kilograms, has no more than two wheels, and at least one of the
following attributes is also present:
(i) The operator provides support or carries the equipment
throughout the performance of its intended function. Carry means to
completely bear the weight of the equipment, including the engine.
Support means to hold a piece of equipment in position to prevent it
from falling, slipping, or sinking, without carrying it.
(ii) The operator provides support or attitudinal control for the
equipment throughout the performance of its intended function.
Attitudinal control involves regulating the horizontal or vertical
position of the equipment.
(4) It is an auger with a combined engine and equipment dry weight
under 22.0 kilograms.
(5) It is used in a recreational application with a combined total
vehicle dry weight under 20.0 kilograms. Note that snowmobiles, offroad
motorcycles, and all-terrain vehicles are regulated under 40 CFR part
1051 and marine vessels are regulated under 40 CFR part 1045.
(6) It is a hand-supported jackhammer or rammer/compactor. This
does not include equipment that can remain upright without operator
support, such as a plate compactor.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type, as described in subpart B of
this part.
Identification number means a unique specification (for example, a
model number/serial number combination) that allows someone to
distinguish a particular engine from other similar engines.
Integrated equipment manufacturer means an equipment manufacturer
that also manufactures the engines for its equipment. Equipment
manufacturers that manufacture the engines for some but not all of
their equipment are considered to be integrated manufacturers for that
equipment using the manufacturer's own engines.
Intermediate-speed equipment means nonhandheld equipment in which
the installed engine is intended for operation at speeds substantially
below 3600 rpm.
Low-hour means relating to an engine that is considered to have
stabilized emissions and represents the undeteriorated emission level.
A low-hour engine typically operates no more than a few hours beyond
the minimum stabilization period. However, a low-hour engine could have
more hours as
[[Page 59294]]
long as emissions remain stable. In the absence of other information, a
low-hour engine with a useful life of 300 hours or less would generally
have operated no more than 15 hours and a low-hour engine with a longer
useful life would generally have operated no more than 24 hours.
Manufacture means the physical and engineering process of
designing, constructing, and assembling an engine or piece of
equipment.
Manufacturer has the meaning given in section 216(1) of the Clean
Air Act (42 U.S.C. 7550(1)). In general, this term includes any person
who manufactures an engine, vehicle, vessel, or piece of equipment for
sale in the United States or otherwise introduces a new nonroad engine
or piece of equipment into U.S. commerce. This includes importers who
import engines, equipment, or vehicles for resale, but not dealers. All
manufacturing entities under the control of the same person are
considered to be a single manufacturer.
Marine engine means a nonroad engine that is installed or intended
to be installed on a vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion. This includes a portable auxiliary marine engine only if
its fueling, cooling, or exhaust system is an integral part of the
vessel.
Marine generator engine means an auxiliary marine engine used
primarily to operate an electrical generator or alternator to produce
electric power.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Maximum engine power has the meaning given in Sec. 1054.140.
Maximum test torque has the meaning given in 40 CFR 1065.1001.
Model year has the meaning given in 40 CFR part 1060 for equipment
and means one of the following things for engines:
(1) For freshly manufactured engines (see definition of ``new
nonroad engine,'' paragraph (1)), model year means your annual new
model production period. This must include January 1 of the calendar
year for which the model year is named. It may not begin before January
2 of the previous calendar year and it must end by December 31 of the
named calendar year. For seasonal production periods not including
January 1, model year means the calendar year in which the production
occurs, unless you choose to certify the applicable emission family
with the following model year. For example, if your production period
is June 1, 2010 through November 30, 2010, your model year would be
2010 unless you choose to certify the emission family for model year
2011.
(2) For an engine that is converted to a nonroad engine after being
placed into service as a stationary engine, or being certified and
placed into service as a motor vehicle engine, model year means the
calendar year in which the engine was originally produced. For a motor
vehicle engine that is converted to be a nonroad engine without having
been certified, model year means the calendar year in which the engine
becomes a new nonroad engine. (See definition of ``new nonroad
engine,'' paragraph (2).)
(3) For a nonroad engine excluded under Sec. 1054.5 that is later
converted to operate in an application that is not excluded, model year
means the calendar year in which the engine was originally produced
(see definition of ``new nonroad engine,'' paragraph (3)).
(4) For engines that are not freshly manufactured but are installed
in new nonroad equipment, model year means the calendar year in which
the engine is installed in the new nonroad equipment (see definition of
``new nonroad engine,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new nonroad engine,'' model year has the meaning given
in paragraphs (1) through (4) of this definition.
(ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new nonroad engine,'' model year means the calendar
year in which the engine is assembled in its final certified
configuration.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new nonroad engine,'' model year means the calendar
year in which the engine is assembled in its imported configuration,
unless specified otherwise in this part or in 40 CFR part 1068.
Motor vehicle has the meaning given in 40 CFR 85.1703(a).
New nonroad engine means any of the following things:
(1) A freshly manufactured nonroad engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
engine might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine is new from the time it is produced
until the ultimate purchaser receives the title or the product is
placed into service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine or
a stationary engine that is later used or intended to be used in a
piece of nonroad equipment. In this case, the engine is no longer a
motor vehicle or stationary engine and becomes a ``new nonroad
engine.'' The engine is no longer new when it is placed into nonroad
service. This paragraph (2) applies if a motor vehicle engine or a
stationary engine is installed in nonroad equipment, or if a motor
vehicle or a piece of stationary equipment is modified (or moved) to
become nonroad equipment.
(3) A nonroad engine that has been previously placed into service
in an application we exclude under Sec. 1054.5, when that engine is
installed in a piece of equipment that is covered by this part 1054.
The engine is no longer new when it is placed into nonroad service
covered by this part 1054. For example, this would apply to a marine-
propulsion engine that is no longer used in a marine vessel but is
instead installed in a piece of nonroad equipment subject to the
provisions of this part.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in new nonroad equipment.
This generally includes installation of used engines in new equipment.
The engine is no longer new when the ultimate purchaser receives a
title for the equipment or the product is placed into service,
whichever comes first.
(5) An imported nonroad engine, subject to the following
provisions:
(i) An imported nonroad engine covered by a certificate of
conformity issued under this part that meets the criteria of one or
more of paragraphs (1) through (4) of this definition, where the
original engine manufacturer holds the certificate, is new as defined
by those applicable paragraphs.
(ii) An imported engine that will be covered by a certificate of
conformity issued under this part, where someone other than the
original engine manufacturer holds the certificate (such as when the
engine is modified after its initial assembly), is a new nonroad engine
when it is imported. It is no longer new when the ultimate purchaser
receives a title for the engine or it is placed into service, whichever
comes first.
(iii) An imported nonroad engine that is not covered by a
certificate of conformity issued under this part at the time of
importation is new. This addresses uncertified engines and
[[Page 59295]]
equipment initially placed into service that someone seeks to import
into the United States. Importation of this kind of engine (or
equipment containing such an engine) is generally prohibited by 40 CFR
part 1068. However, the importation of such an engine is not prohibited
if the engine has a model year before 1997, since it is not subject to
standards.
New nonroad equipment means either of the following things:
(1) A nonroad piece of equipment for which the ultimate purchaser
has never received the equitable or legal title. The product is no
longer new when the ultimate purchaser receives this title or the
product is placed into service, whichever comes first.
(2) A nonroad piece of equipment with an engine that becomes new
while installed in the equipment. For example a complete piece of
equipment that was imported without being covered by a certificate of
conformity would be new nonroad equipment because the engine would be
considered to be new at the time of importation.
Noncompliant engine or noncompliant equipment means an engine or
equipment that was originally covered by a certificate of conformity
but is not in the certified configuration or otherwise does not comply
with the conditions of the certificate.
Nonconforming engine or nonconforming equipment means an engine or
equipment not covered by a certificate of conformity that would
otherwise be subject to emission standards.
Nonhandheld means relating to an engine (or equipment) subject to
the standards of this part that is not a handheld engine (or
equipment).
Nonintegrated equipment manufacturer means an equipment
manufacturer that is not an integrated equipment manufacturer.
Equipment manufacturers that manufacture the engines for some but not
all of their equipment are considered to be nonintegrated manufacturers
for that equipment using a different engine manufacturer's engines.
Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
This generally means the difference between the emitted mass of total
hydrocarbons and the emitted mass of methane.
Nonroad means relating to nonroad engines or equipment that
includes nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general
this means all internal-combustion engines except motor vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft.
Official emission result means the measured emission rate for an
emission-data engine on a given duty cycle before the application of
any deterioration factor.
Overhead valve means relating to a four-stroke spark-ignition
engine in which the intake and exhaust valves are located above the
combustion chamber within the cylinder head. Such engines are sometimes
referred to as ``valve-in-head'' engines.
Owners manual means a document or collection of documents prepared
by the engine manufacturer for the owner or operator to describe
appropriate engine maintenance, applicable warranties, and any other
information related to operating or keeping the engine. The owners
manual is typically provided to the ultimate purchaser at the time of
sale. The owners manual may be in paper or electronic format.
Oxides of nitrogen has the meaning given in 40 CFR part 1065.1001
Percent has the meaning given in 40 CFR 1065.1001.
Permeation emissions means fuel that escapes from the fuel system
by diffusing through the walls of fuel-system components.
Phase 1 means relating to the Phase 1 emission standards described
in 40 CFR 90.103.
Phase 2 means relating to the Phase 2 emission standards described
in 40 CFR 90.103.
Phase 3 means relating to the Phase 3 exhaust emission standards
described in Sec. 1054.105.
Placed into service means put into initial use for its intended
purpose.
Pressurized oil system means a system designed to deliver
lubricating oil to internal engine components, including a step to
circulate oil through a filter.
Ramped-modal means relating to the ramped-modal type of steady-
state test described in Sec. 1054.505.
Rated-speed equipment means nonhandheld equipment in which the
installed engine is intended for operation at a rated speed that is
nominally 3600 rpm or higher.
Recreational application means an application in which a vehicle is
ridden primarily for pleasure. Note that engines used in reduced-scale
model vehicles that cannot be ridden (such as model airplanes) are
excluded from this part under Sec. 1054.5.
Relating to as used in this section means relating to something in
a specific, direct manner. This expression is used in this section only
to define terms as adjectives and not to broaden the meaning of the
terms.
Revoke has the meaning given in 40 CFR 1068.30. In general this
means to terminate the certificate or an exemption for an engine
family.
Round has the meaning given in 40 CFR 1065.1001.
Running loss emissions has the meaning given in 40 CFR 1060.801.
Scheduled maintenance means adjusting, repairing, removing,
disassembling, cleaning, or replacing components or systems
periodically to keep a part or system from failing, malfunctioning, or
wearing prematurely. It also may mean actions you expect are necessary
to correct an overt indication of failure or malfunction for which
periodic maintenance is not appropriate.
Side valve means relating to a four-stroke spark-ignition engine in
which the intake and exhaust valves are located to the side of the
cylinder, not within the cylinder head. Such engines are sometimes
referred to as ``L-head'' engines.
Small-volume emission family means one of the following:
(1) For requirements related to exhaust emissions for nonhandheld
engines and to exhaust and evaporative emissions for handheld engines,
small-volume emission family means any emission family whose U.S.-
directed production volume in a given model year is projected at the
time of certification to be no more than 5,000 engines.
(2) For requirements related to evaporative emissions for
nonhandheld equipment, small-volume emission family means any equipment
manufacturer's U.S.-directed production volume for identical fuel tank
is projected at the time of certification to be no more than 5,000
units. Tanks are generally considered identical if they are produced
under a single part number to conform to a single design or blueprint.
Tanks should be considered identical if they differ only with respect
to production variability, post-production changes (such as different
fittings or grommets), supplier, color, or other extraneous design
variables.
Small-volume engine manufacturer means one of the following:
(1) For handheld engines, an engine manufacturer that had U.S.-
directed production volume of handheld engines of no more than 25,000
handheld engines in any calendar year. For manufacturers owned by a
parent company, this production limit applies to the production of the
parent company and all its subsidiaries.
(2) For nonhandheld engines, an engine manufacturer that had U.S.-
directed production volume of no more
[[Page 59296]]
than 10,000 nonhandheld engines in any calendar year. For manufacturers
owned by a parent company, this production limit applies to the
production of the parent company and all its subsidiaries.
(3) An engine manufacturer that we designate to be a small-volume
engine manufacturer under Sec. 1054.635.
Small-volume equipment manufacturer means one of the following:
(1) For handheld equipment, an equipment manufacturer that had a
U.S.-directed production volume of no more than 25,000 pieces of
handheld equipment in any calendar year. For manufacturers owned by a
parent company, this production limit applies to the production of the
parent company and all its subsidiaries.
(2) For nonhandheld equipment, an equipment manufacturer with
annual U.S.-directed production volumes of no more than 5,000 pieces of
nonhandheld equipment in 2007, 2008, and 2009. For manufacturers owned
by a parent company, this production limit applies to the production of
the parent company and all its subsidiaries.
(3) An equipment manufacturer that we designate to be a small-
volume equipment manufacturer under Sec. 1054.635.
Snowthrower engine means an engine used exclusively to power
snowthrowers.
Spark-ignition means relating to a gasoline-fueled engine or any
other type of engine with a spark plug (or other sparking device) and
with operating characteristics significantly similar to the theoretical
Otto combustion cycle. Spark-ignition engines usually use a throttle to
regulate intake air flow to control power during normal operation.
Steady-state means relating to emission tests in which engine speed
and load are held at a finite set of essentially constant values.
Steady-state tests are either discrete-mode tests or ramped-modal
tests.
Structurally integrated nylon fuel tank has the meaning given in 40
CFR 1060.801.
Subchapter U means the portion of the Code of Federal Regulations
including 40 CFR parts 1000 through 1299.
Suspend has the meaning given in 40 CFR 1068.30. In general this
means to temporarily discontinue the certificate or an exemption for an
engine family.
Test engine means an engine in a test sample.
Test sample means the collection of engines selected from the
population of an emission family for emission testing. This may include
testing for certification, production-line testing, or in-use testing.
Tethered gas cap means a gas cap that is loosely but permanently
connected to the fuel tank.
Thermal reactor means a hot surface in the engine exhaust system
that has the effect of significantly lowering emissions of one or more
regulated pollutants. Hot surfaces that have an inconsequential effect
on emissions are not thermal reactors.
Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This
generally means the combined mass of organic compounds measured by the
specified procedure for measuring total hydrocarbon, expressed as a
hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001. This generally means the sum of the carbon mass
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
engines. The hydrogen-to-carbon ratio of the equivalent hydrocarbon is
1.85:1.
Ultimate purchaser means, with respect to any new nonroad equipment
or new nonroad engine, the first person who in good faith purchases
such new nonroad equipment or new nonroad engine for purposes other
than resale.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year for an emission family means the model year
after the one currently in production.
U.S.-directed production volume means the number of engine or
equipment units, subject to the requirements of this part, produced by
a manufacturer for which the manufacturer has a reasonable assurance
that sale was or will be made to ultimate purchasers in the United
States.
Useful life means the period during which the engine and equipment
are designed to properly function in terms of power output and intended
function, without being remanufactured, specified as a number of hours
of operation or calendar years, whichever comes first. It is the period
during which a nonroad engine is required to comply with all applicable
emission standards. See, for example, Sec. Sec. 1054.107, 1054.110,
and 1054.112. If an engine has no hour meter, the specified number of
hours does not limit the period during which an in-use engine is
required to comply with emission standards unless the degree of service
accumulation can be verified separately.
Variable-speed engine means an engine that is not a constant-speed
engine.
Vessel means marine vessel.
Void has the meaning given in 40 CFR 1068.30. In general this means
to invalidate a certificate or an exemption both retroactively and
prospectively.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
We (us, our) means the Administrator of the Environmental
Protection Agency and any authorized representatives.
Wide-open throttle means maximum throttle opening.
Wintertime engine means an engine used exclusively to power
equipment that is used only in wintertime, such as snowthrowers and ice
augers.
Sec. 1054.805 What symbols, acronyms, and abbreviations does this
part use?
The following symbols, acronyms, and abbreviations apply to this
part:
ABT Averaging, banking, and trading.
cc cubic centimeters.
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g gram.
HC hydrocarbon.
hr hour.
kPa kilopascals.
kW kilowatts.
N2O nitrous oxide.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
psig pounds per square inch of gauge pressure.
RPM revolutions per minute.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
U.S.C. United States Code.
Sec. 1054.815 What provisions apply to confidential information?
(a) Clearly show what you consider confidential by marking,
circling, bracketing, stamping, or some other method.
(b) We will store your confidential information as described in 40
CFR part 2. Also, we will disclose it only as specified in 40 CFR part
2. This applies both to any information you send us and to any
information we collect from inspections, audits, or other site visits.
(c) If you send us a second copy without the confidential
information, we will assume it contains nothing
[[Page 59297]]
confidential whenever we need to release information from it.
(d) If you send us information without claiming it is confidential,
we may make it available to the public without further notice to you,
as described in 40 CFR 2.204.
Sec. 1054.820 How do I request a hearing?
(a) You may request a hearing under certain circumstances as
described elsewhere in this part. To do this, you must file a written
request, including a description of your objection and any supporting
data, within 30 days after we make a decision.
(b) For a hearing you request under the provisions of this part, we
will approve your request if we find that your request raises a
substantial factual issue.
(c) If we agree to hold a hearing, we will use the procedures
specified in 40 CFR part 1068, subpart G.
Sec. 1054.825 What reporting and recordkeeping requirements apply
under this part?
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. The following
items illustrate the kind of reporting and recordkeeping we require for
engines and equipment regulated under this part:
(a) We specify the following requirements related to engine and
equipment certification in this part 1054:
(1) In Sec. 1054.20 we require equipment manufacturers to label
their equipment if they are relying on component certification.
(2) In Sec. 1054.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to equipment
manufacturers.
(3) In Sec. 1054.145 we include various reporting and
recordkeeping requirements related to interim provisions.
(4) In subpart C of this part we identify a wide range of
information required to certify engines.
(5) In Sec. Sec. 1054.345 and 1054.350 we specify certain records
related to production-line testing.
(6) [Reserved]
(7) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
(8) In Sec. Sec. 1054.725, 1054.730, and 1054.735 we specify
certain records related to averaging, banking, and trading.
(b) We specify the following requirements related to equipment and
component certification in 40 CFR part 1060:
(1) In 40 CFR 1060.20 we give an overview of principles for
reporting information.
(2) In 40 CFR part 1060, subpart C, we identify a wide range of
information required to certify products.
(3) In 40 CFR 1060.301 we require manufacturers to make engines or
equipment available for our testing if we make such a request.
(4) In 40 CFR 1060.505 we specify information needs for
establishing various changes to published test procedures.
(c) We specify the following requirements related to testing in 40
CFR part 1065:
(1) In 40 CFR 1065.2 we give an overview of principles for
reporting information.
(2) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
(3) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
(4) In 40 CFR 1065.695 we identify data that may be appropriate for
collecting during testing of in-use engines using portable analyzers.
(d) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
(1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
(3) In 40 CFR 1068.27 we require manufacturers to make engines
available for our testing or inspection if we make such a request.
(4) In 40 CFR 1068.105 we require equipment manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
(5) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
(6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
(7) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines.
(8) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines in a selective enforcement
audit.
(9) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
(10) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming engines.
Appendix I to Part 1054--Summary of Previous Emission Standards
The following standards apply to nonroad spark-ignition engines
produced before the model years specified in Sec. 1054.1:
(a) Handheld engines. Phase 1 and Phase 2 standards apply for
handheld engines as specified in 40 CFR 90.103 and summarized in the
following tables:
Table 1 to Appendix I--Phase 1 Emission Standards for Handheld Engines
(g/kW-hr) \a\
------------------------------------------------------------------------
Engine displacement class HC NOX CO
------------------------------------------------------------------------
Class III.......................................... 295 5.36 805
Class IV........................................... 241 5.36 805
Class V............................................ 161 5.36 603
------------------------------------------------------------------------
\a\ Phase 1 standards are based on testing with new engines only.
Table 2 to Appendix I--Phase 2 Emission Standards for Handheld Engines
(g/kW-hr) \a\
------------------------------------------------------------------------
Engine displacement class HC+NOX CO
------------------------------------------------------------------------
Class III................................................. 50 805
Class IV.................................................. 50 805
Class V................................................... 72 603
------------------------------------------------------------------------
\a\ The standards shown are the fully phased-in standards. See 40 CFR
90.103 for standards that applied during the phase-in period.
(b) Nonhandheld engines. Phase 1 and Phase 2 standards apply for
nonhandheld engines as specified in 40 CFR 90.103 and summarized in the
following tables:
Table 3 to Appendix I--Phase 1 Emission Standards for Nonhandheld
Engines (g/kW-hr) \a\
------------------------------------------------------------------------
Engine displacement class HC+NOX CO
------------------------------------------------------------------------
Class I............................................. 16.1 519
Class II............................................ 13.4 519
------------------------------------------------------------------------
\a\ Phase 1 standards are based on testing with new engines only.
[[Page 59298]]
Table 4 to Appendix I--Phase 2 Emission Standards for Nonhandheld
Engines (g/kW-hr)
------------------------------------------------------------------------
Engine displacement class HC+NOX NMHC+ NOX CO
------------------------------------------------------------------------
Class I-A................................ 50 ......... 610
Class I-B................................ 40 37 610
Class I.................................. 16.1 14.8 610
Class II \a\............................. 12.1 11.3 610
------------------------------------------------------------------------
\a\ The Class II standards shown are the fully phased-in standards. See
40 CFR 90.103 for standards that applied during the phase-in period.
Appendix II to Part 1054--Duty Cycles for Laboratory Testing
(a) Test handheld engines with the following steady-state duty
cycle:
------------------------------------------------------------------------
Torque
G3 mode No. Engine speed \a\ (percent) Weighting
\b\ factors
------------------------------------------------------------------------
1............................. Rated speed....... 100 0.85
2............................. Warm idle 0 0.15
------------------------------------------------------------------------
\a\ Test engines at the specified speeds as described in Sec.
1054.505.
\b\ Test engines at 100 percent torque by setting operator demand to
maximum. Control torque during idle at its warm idle speed as
described in 40 CFR 1065.510.
(b) Test nonhandheld engines with one of the following steady-
state duty cycles:
(1) The following duty cycle applies for discrete-mode testing:
------------------------------------------------------------------------
Torque
G2 mode No.\a\ (percent) Weighting
\b\ factors
------------------------------------------------------------------------
1................................................ 100 0.09
2................................................ 75 0.2
3................................................ 50 0.29
4................................................ 25 0.3
5................................................ 10 0.07
6................................................ 0 0.05
------------------------------------------------------------------------
\a\ Control engine speed as described in Sec. 1054.505. Control engine
speed for Mode 6 as described in Sec. 1054.505(c) for idle
operation.
\b\ The percent torque is relative to the value established for full-
load torque, as described in Sec. 1054.505.
(2) The following duty cycle applies for ramped-modal testing:
------------------------------------------------------------------------
Time in Torque
RMC mode \a\ mode (percent)
(seconds) \b,\ \c\
------------------------------------------------------------------------
1a Steady-state................................... 41 0
1b Transition..................................... 20 *
2a Steady-state................................... 135 100
2b Transition..................................... 20 *
3a Steady-state................................... 112 10
3b Transition..................................... 20 *
4a Steady-state................................... 337 75
4b Transition..................................... 20 *
5a Steady-state................................... 518 25
5b Transition..................................... 20 *
6a Steady-state................................... 494 50
6b Transition..................................... 20 *
7 Steady-state.................................... 43 0
------------------------------------------------------------------------
* Linear transition.
\a\ Control engine speed as described in Sec. 1054.505. Control engine
speed for Mode 6 as described in Sec. 1054.505(c) for idle
operation.
\b\ Advance from one mode to the next within a 20-second transition
phase. During the transition phase, command a linear progression from
the torque setting of the current mode to the torque setting of the
next mode.
\c\ The percent torque is relative to the value established for full-
load torque, as described in Sec. 1054.505.
0
Sec. 208. A new part 1060 is added to subchapter U of chapter I to
read as follows:
PART 1060--CONTROL OF EVAPORATIVE EMISSIONS FROM NEW AND IN--USE
NONROAD AND STATIONARY EQUIPMENT
Subpart A--Overview and Applicability
Sec.
1060.1 Which products are subject to this part's requirements?
1060.5 Do the requirements of this part apply to me?
1060.10 How is this part organized?
1060.15 Do any other CFR parts apply to me?
1060.30 Submission of information.
Subpart B--Emission Standards and Related Requirements
1060.101 What evaporative emission requirements apply under this
part?
1060.102 What permeation emission control requirements apply for
fuel lines?
1060.103 What permeation emission control requirements apply for
fuel tanks?
1060.104 What running loss emission control requirements apply?
1060.105 What diurnal requirements apply for equipment?
1060.120 What emission-related warranty requirements apply?
1060.125 What maintenance instructions must I give to buyers?
1060.130 What installation instructions must I give to equipment
manufacturers?
1060.135 How must I label and identify the engines and equipment I
produce?
1060.137 How must I label and identify the fuel-system components I
produce?
Subpart C--Certifying Emission Families
1060.201 What are the general requirements for obtaining a
certificate of conformity?
1060.202 What are the certification requirements related to the
general standards in Sec. 1060.101?
1060.205 What must I include in my application?
1060.210 What records should equipment manufacturers keep if they do
not apply for certification?
1060.225 How do I amend my application for certification?
1060.230 How do I select emission families?
1060.235 What emission testing must I perform for my application for
a certificate of conformity?
1060.240 How do I demonstrate that my emission family complies with
evaporative emission standards?
1060.250 What records must I keep?
1060.255 What decisions may EPA make regarding my certificate of
conformity?
Subpart D--Production Verification Testing
1060.301 Manufacturer testing.
1060.310 Supplying products to EPA for testing.
Subpart E--In-Use Testing
1060.401 General Provisions.
Subpart F--Test Procedures
1060.501 General testing provisions.
1060.505 Other procedures.
1060.510 How do I test EPA Low-Emission Fuel Lines for permeation
emissions?
1060.515 How do I test EPA Nonroad Fuel Lines and EPA Cold-Weather
Fuel Lines for permeation emissions?
1060.520 How do I test fuel tanks for permeation emissions?
1060.521 How do I test fuel caps for permeation emissions?
1060.525 How do I test fuel systems for diurnal emissions?
Subpart G--Special Compliance Provisions
1060.601 How do the prohibitions of 40 CFR 1068.101 apply with
respect to the requirements of this part?
1060.605 Exemptions from evaporative emission standards.
1060.640 What special provisions apply to branded equipment?
Subpart H--Averaging, Banking, and Trading Provisions
1060.701 Applicability.
1060.705 How do I certify components to an emission level other than
the standard under this part or use such components in my equipment?
Subpart I--Definitions and Other Reference Information
1060.801 What definitions apply to this part?
1060.805 What symbols, acronyms, and abbreviations does this part
use?
1060.810 What materials does this part reference?
1060.815 What provisions apply to confidential information?
1060.820 How do I request a hearing?
1060.825 What reporting and recordkeeping requirements apply under
this part?
Authority: 42 U.S.C. 7401-7671q.
[[Page 59299]]
Subpart A--Overview and Applicability
Sec. 1060.1 Which products are subject to this part's requirements?
(a) The standards and other requirements in this part 1060 apply to
the fuel lines, fuel tanks, couplings and fittings, and fuel caps used
or intended to be used in the following categories of new engines and
equipment that are fueled with a volatile liquid fuel (such as
gasoline, but not including diesel fuel), and to the equipment in which
these components are installed, starting with the model years shown in
Table 1 to this section:
(1) Compression-ignition engines we regulate under 40 CFR part
1039. This includes stationary compression-ignition engines we regulate
under the provisions of 40 CFR part 1039, as indicated under 40 CFR
part 60, subpart IIII. See the evaporative emission standards specified
in 40 CFR 1048.105. These engines are considered to be Large SI engines
for purposes of this part 1060.
(2) Marine compression-ignition engines we regulate under 40 CFR
part 1042. See the evaporative emission standards specified in 40 CFR
1045.112. These engines are considered to be Marine SI engines for
purposes of this part 1060.
(3) Marine SI engines we regulate under 40 CFR part 1045. See the
evaporative emission standards specified in 40 CFR 1045.112.
(4) Large SI engines we regulate under 40 CFR part 1048. This
includes stationary spark-ignition engines subject to standards under
40 CFR parts 1048 or 1054 as indicated in 40 CFR part 60, subpart JJJJ.
See the evaporative emission standards specified in 40 CFR 1048.105.
(5) Recreational vehicles and engines we regulate under 40 CFR part
1051 (such as snowmobiles and off-highway motorcycles). This includes
highway motorcycles subject to standards under 40 CFR part 1051 as
indicated in 40 CFR part 86, subpart E since these motorcycles are
considered to be recreational vehicles for purposes of this part 1060.
See the evaporative emission standards specified in 40 CFR 1051.110.
(6) Small SI engines we regulate under 40 CFR part 1054. See the
evaporative emission standards specified for handheld engines in 40 CFR
1054.110 and for nonhandheld engines in 40 CFR 1054.112.
(7) Portable marine fuel tanks and fuel lines associated with such
fuel tanks must meet evaporative emission standards specified in 40 CFR
1045.112. Portable nonroad fuel tanks and fuel lines associated with
such fuel tanks must also meet evaporative emission standards specified
in 40 CFR 1045.112, whether or not they are used with marine vessels.
Portable nonroad fuel tanks are considered to be portable marine fuel
tanks for purposes of this part 1060.
(b) The regulations in this part 1060 apply for new replacement
components used with any of the engines or equipment specified in
paragraph (a) of this section as described in Sec. 1060.601.
(c) Fuel caps are subject to evaporative emission standards at the
point of installation on a fuel tank. If a fuel cap is certified for
use with Marine SI engines or Small SI engines under the optional
standards of Sec. 1060.103, it is subject to all the requirements of
this part 1060 as if these optional standards were mandatory.
(d) This part 1060 does not apply to any diesel-fueled engine or
any other engine that does not use a volatile liquid fuel. In addition,
this part does not apply to any engines or equipment in the following
categories even if they use a volatile liquid fuel:
(1) Light-duty motor vehicles (see 40 CFR part 86).
(2) Heavy-duty motor vehicles and heavy-duty motor vehicle engines
(see 40 CFR part 86). This part 1060 also does not apply to fuel
systems for nonroad engines where such fuel systems are subject to part
86 because they are part of a heavy-duty motor vehicle.
(3) Aircraft engines (see 40 CFR part 87).
(4) Locomotives (see 40 CFR part 92 and 1033).
(5) Land-based nonroad diesel engines we regulate under 40 CFR part
89.
(6) Marine diesel engines we regulate under 40 CFR part 89, 94, or
1042.
(7) Land-based spark-ignition engines at or below 19 kW that we
regulate under 40 CFR part 90. Note that there are provisions in 40 CFR
part 90 that reference specific portions of this part 1060.
(8) Marine spark-ignition engines we regulate under 40 CFR part 91.
(e) This part 1060 does not apply for fuel lines made wholly of
metal.
Table 1 to Sec. 1060.1--Part 1060 Applicability \a\
----------------------------------------------------------------------------------------------------------------
Equipment category or Fuel line Running loss
subcategory permeation Tank permeation Diurnal emissions emissions
----------------------------------------------------------------------------------------------------------------
Marine SI--portable marine fuel January 1, 2009 January 1, 2011... January 1, 2010... Not applicable.
tanks. \b\.
Marine SI--personal watercraft.. January 1, 2009... Model year 2011... Model year 2010... Not applicable.
Marine SI--other vessels with January 1, 2009 Model year 2012... July 31, 2011..... Not applicable.
installed fuel tanks. \b\.
Large SI........................ Model year 2007... Not applicable.... Model year 2007 Model year 2007.
(includes tank
permeation).
Recreational vehicles........... Model year 2008... Model year 2008... Not applicable.... Not applicable.
Small SI--handheld.............. Model year 2012 Model year 2010 Not applicable.... Not applicable.
\c\. \d\.
Small SI--Class I nonhandheld... January 1, 2009... Model year 2012... Not applicable \e\ Model year 2012.
Small SI--Class II nonhandheld.. January 1, 2009... Model year 2011... Not applicable \e\ Model year 2011.
----------------------------------------------------------------------------------------------------------------
\a\ Implementation is based on the date of manufacture of the equipment. Where we do not identify a specific
date, the emission standards start to apply at the beginning of the model year.
\b\ January 1, 2011 for primer bulbs. Standards phase in for under-cowl fuel lines on outboard engines, by
length: 30% in 2010, 60% in 2011, 90% in 2012-2014, 100% in 2015.
\c\ 2013 for small-volume emission families that do not include cold-weather fuel lines.
\d\ 2011 for structurally integrated nylon fuel tanks and 2013 for all small-volume emission families.
\e\ Manufacturers may optionally meet diurnal standards as specified in Sec. 1060.105(e).
[[Page 59300]]
Sec. 1060.5 Do the requirements of this part apply to me?
The requirements of this part are generally addressed to the
manufacturers that are subject to this part's requirements as described
in paragraph (a) of this section. The term ``you'' generally means the
manufacturer or manufacturers that are subject to these requirements.
Paragraphs (b) through (e) of this section describe which manufacturers
may or must certify their products. (Note: Sec. 1060.601(f) allows the
certification responsibility to be delegated in certain circumstances.)
(a) Overall responsibilities. Manufacturers of the engines,
equipment, and fuel-system components described in Sec. 1060.1 are
subject to the standards and other requirements of this part 1060
except as otherwise noted. Multiple manufacturers may be subject to
these standards and other requirements. For example, when a Small SI
equipment manufacturer buys fuel line manufactured by another person
and installs them in its equipment, both the equipment manufacturer and
the fuel line manufacturer are subject to the standards and other
requirements of this part. The following provisions apply in such
cases:
(1) Each person meeting the definition of manufacturer for a
product that is subject to the standards and other requirements of this
part must comply with such requirements. However, if one person
complies with a specific requirement for a given product, then all
manufacturers are deemed to have complied with that specific
requirement. For example, if a Small SI equipment manufacturer uses
fuel lines manufactured and certified by another company, the equipment
manufacturer is not required to obtain a certificate with respect to
the fuel line emission standards. Such an equipment manufacturer
remains subject to the standards and other requirements of this part.
However, where a provision requires a specific manufacturer to comply
with certain provisions, this paragraph (a) does not change or modify
such a requirement. For example, this paragraph (a) does not allow you
to rely on another company to certify instead of you if we specifically
require you to certify.
(2) The requirements of subparts C and D of this part apply to the
manufacturer that obtains the certificate of conformity. Other
manufacturers are required to comply with the requirements of subparts
C and D of this part only when we send notification. In our
notification, we will specify a reasonable period for complying with
the requirements identified in the notice. See Sec. 1060.601 for the
applicability of 40 CFR part 1068 to these other manufacturers.
(3) Certificate holders are responsible for meeting all applicable
requirements even if other manufacturers are also subject to those
requirements.
(b) Marine SI. Certify vessels, engines, and fuel-system components
as follows:
(1) Component manufacturers must certify their fuel lines and fuel
tanks intended for installation with Marine SI engines and vessels
under this part 1060, except as allowed by Sec. 1060.601(f). This
includes permeation and diurnal emission standards.
(2) Vessel manufacturers are subject to all the requirements of
this part 1060 that apply to Marine SI engines and fuel systems.
However, they must certify their vessels to the emission standards
specified in Sec. Sec. 1060.102 through 1060.105 only if one or more
of the following conditions apply:
(i) Vessel manufacturers install certified components that are not
certified to meet all applicable evaporative emission standards,
including both permeation and diurnal standards. This would include
vessel manufacturers that make their own fuel tanks. Vessel
manufacturers would certify under this part 1060.
(ii) Vessel manufacturers intend to generate or use evaporative
emission credits, even if they use only certified components to meet
all applicable evaporative emission standards. Vessel manufacturers
would certify under part 40 CFR part 1045 using the emission-credit
provisions in subpart H of that part to demonstrate compliance with the
emission standard.
(3) Engine manufacturers must meet all the requirements of this
part 1060 that apply to vessel manufacturers for all fuel-system
components they install on their engines. For example, engine
manufacturers that install under-cowl fuel lines and fuel tanks must
comply with the requirements specified for vessel manufacturers with
respect to those components.
(c) Large SI. Certify engines, equipment, and fuel-system
components as follows:
(1) Engine manufacturers must certify their engines under 40 CFR
part 1048.
(2) Equipment manufacturers and component manufacturers may certify
fuel lines and fuel tanks intended for use with Large SI engines under
this part 1060.
(d) Recreational vehicles. Certify vehicles, engines and fuel-
system components as follows:
(1) Vehicle manufacturers must certify their vehicles under 40 CFR
part 1051.
(2) Engine manufacturers must meet all the requirements of 40 CFR
part 1051 that apply to vehicle manufacturers for all fuel-system
components they install on their engines. For example, engine
manufacturers that install fuel-line segments on the engines they ship
to vehicle manufacturers must comply with the requirements specified
for equipment manufacturers with respect to those components.
(3) Component manufacturers may certify fuel lines and fuel tanks
intended for recreational vehicles under this part 1060.
(e) Small SI. Certify engines, equipment, and fuel-system
components as follows:
(1) Component manufacturers must certify their fuel lines and fuel
tanks intended for Small SI engines and equipment under this part 1060,
except as allowed by Sec. 1060.601(f).
(2) Engine manufacturers must meet all the requirements of this
part 1060 that apply to equipment manufacturers for all fuel-system
components they install on their engines. Engine manufacturers that
produce Small SI engines with complete fuel systems are considered the
equipment manufacturers for those engines under this part 1060.
(3) Equipment manufacturers must certify their equipment and are
subject to all the requirements of this part 1060.
(f) Summary of certification responsibilities. Tables 1 through 3
of this section summarize the certification responsibilities for
different kinds of manufacturers as described in paragraphs (b) through
(e) of this section. The term ``No'' as used in the tables means that a
manufacturer is not required to obtain a certificate of conformity
under paragraphs (b) through (e) of this section. In situations where
multiple manufacturers are subject to the standards and other
requirements of this part, such a manufacturer must nevertheless
certify if the manufacturer who is required to certify under paragraphs
(b) through (e) of this section fails to obtain a certificate of
conformity.
[[Page 59301]]
Table 1 to Sec. 1060.5--Summary of Engine Manufacturer Certification
Responsibilities
------------------------------------------------------------------------
Is the engine Code of Federal
manufacturer required Regulations cite
Equipment type to certify fuel for
systems? \a\ certification
------------------------------------------------------------------------
Marine SI..................... No....................
Large SI...................... Yes................... 40 CFR part
1048.
Recreational vehicles......... No....................
Small SI...................... No, unless engines are 40 CFR part
sold with complete 1060.
fuel systems.
------------------------------------------------------------------------
\a\ Fuel lines and fuel tanks that are attached to or sold with engines
must be covered by a certificate of conformity.
Table 2 to Sec. 1060.5--Summary of Equipment Manufacturer
Certification Responsibilities
------------------------------------------------------------------------
Is the equipment Code of Federal
manufacturer required Regulations cite
Equipment type to certify fuel for
systems? certification
------------------------------------------------------------------------
Marine SI..................... Yes, but only if 40 CFR part
vessel manufacturers 1060.\a\
install uncertified
fuel lines or fuel
tanks or intend to
generate or use
evaporative emission
credits.
Large SI...................... Allowed but not 40 CFR part
required. 1060.
Recreational vehicles......... Yes, even if vehicle 40 CFR part
manufacturers install 1051.
certified components.
Small SI...................... Yes................... 40 CFR part
1060.\a\
------------------------------------------------------------------------
\a\ See the exhaust standard-setting part for provisions related to
generating or using evaporative emission credits.
Table 3 of Sec. 1060.5--Summary of Component Manufacturer
Certification Responsibilities
------------------------------------------------------------------------
Is the component Code of Federal
manufacturer required Regulations cite
Equipment type to certify fuel lines for
and fuel tanks? certification
------------------------------------------------------------------------
Marine SI..................... Yes, including 40 CFR part
portable marine fuel 1060.
tanks and associated
fuel lines.
Large SI...................... Allowed but not 40 CFR part
required. 1060.
Recreational vehicles......... Allowed but not 40 CFR part
required. 1060.
Small SI...................... Yes \a\............... 40 CFR part
1060.
------------------------------------------------------------------------
\a\ See Sec. 1060.601 for an allowance to make contractual
arrangements with engine or equipment manufacturers instead of
certifying.
Sec. 1060.10 How is this part organized?
This part 1060 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1060
and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify equipment or components
under this part. Note that Sec. 1060.110 discusses certain interim
requirements and compliance provisions that apply only for a limited
time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part describes the requirements related to
verifying that products are being produced as described in an approved
application for certification.
(e) Subpart E of this part describes the requirements related to
verifying that products are meeting the standards in use.
(f) Subpart F of this part describes how to measure evaporative
emissions.
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to
manufacturers, owners, operators, and all others.
(h) Subpart H of this part describes how to certify your equipment
or components for inclusion in an emission averaging program allowed by
an exhaust standard-setting part.
(i) Subpart I of this part contains definitions and other reference
information.
Sec. 1060.15 Do any other CFR parts apply to me?
(a) There is a separate part of the CFR that includes exhaust
emission requirements for each particular application, as described in
Sec. 1060.1(a). We refer to these as the exhaust standard-setting
parts. In cases where an exhaust standard-setting part includes
evaporative requirements, apply this part 1060 as specified in the
exhaust standard-setting part, as follows:
(1) The requirements in the exhaust standard-setting part may
differ from the requirements in this part. In cases where it is not
possible to comply with both the exhaust standard-setting part and this
part, you must comply with the requirements in the exhaust standard-
setting part. The exhaust standard-setting part may also allow you to
deviate from the procedures of this part for other reasons.
(2) The exhaust standard-setting parts may reference some sections
of this part 1060 or may allow or require certification under this part
1060. See the exhaust standard-setting parts to determine what
provisions of this part 1060 apply for these equipment types.
(b) The requirements and prohibitions of part 1068 of this chapter
apply to everyone, including anyone who manufactures, imports, owns,
operates, or services any of the fuel systems subject to this part
1060. Part 1068 of this chapter describes general provisions, including
the following areas:
(1) Prohibited acts and penalties for engine manufacturers,
equipment manufacturers, and others.
(2) Exclusions and exemptions for certain products.
(3) Importing products.
(4) Defect reporting and recall.
(5) Procedures for hearings.
(c) Other parts of this chapter apply if referenced in this part.
Sec. 1060.30 Submission of information.
(a) This part includes various requirements to record data or other
information. Refer to Sec. 1060.825, 40 CFR
[[Page 59302]]
1068.25, and the exhaust standard-setting part regarding recordkeeping
requirements. If recordkeeping requirements are not specified, store
these records in any format and on any media and keep them readily
available for one year after you send an associated application for
certification, or one year after you generate the data if they do not
support an application for certification. You must promptly send us
organized, written records in English if we ask for them. We may review
them at any time.
(b) The regulations in Sec. 1060.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1060.801).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
Subpart B--Emission Standards and Related Requirements
Sec. 1060.101 What evaporative emission requirements apply under this
part?
Products subject to this part must meet emission standards and
related requirements as follows:
(a) Section 1060.102 describes permeation emission control
requirements for fuel lines.
(b) Section 1060.103 describes permeation emission control
requirements for fuel tanks.
(c) Section 1060.104 describes running loss emission control
requirements for fuel systems.
(d) Section 1060.105 describes diurnal emission control
requirements for fuel tanks.
(e) The following general requirements apply for components and
equipment subject to the emission standards in Sec. Sec. 1060.102
through 1060.105:
(1) Adjustable parameters. Components or equipment with adjustable
parameters must meet all the requirements of this part for any
adjustment in the physically adjustable range.
(2) Prohibited controls. The following controls are prohibited:
(i) For anyone to design, manufacture, or install emission control
systems so they cause or contribute to an unreasonable risk to public
health, welfare, or safety while operating.
(ii) For anyone to design, manufacture, or install emission control
systems with features that disable, deactivate, or bypass the emission
controls, either actively or passively. For example, you may not
include a manual vent that the operator can open to bypass emission
controls. You may ask us to allow such features if needed for safety
reasons or if the features are fully functional during emission tests
described in subpart F of this part.
(3) Emission credits. Equipment manufacturers are allowed to comply
with the emission standards in this part using evaporative emission
credits only if the exhaust standard-setting part explicitly allows it
for evaporative emissions. See the exhaust standard-setting part and
subpart H of this part for information about complying with evaporative
emission credits. For equipment manufacturers to generate or use
evaporative emission credits, components must be certified to a family
emission limit, which serves as the standard for those components.
(f) This paragraph (f) specifies requirements that apply to
equipment manufacturers subject to requirements under this part,
whether or not they are subject to and certify to any of the emission
standards in Sec. Sec. 1060.102 through 1060.105. Equipment
manufacturers meeting these requirements will be deemed to be certified
as in conformity with the requirements of this paragraph (f) without
submitting an application for certification, as follows:
(1) Fuel caps, vents, and carbon canisters. You are responsible for
ensuring that proper caps and vents are installed on each new piece of
equipment that is subject to emission standards under this part. The
following particular requirements apply to equipment that is subject to
running loss or diurnal emission standards, including portable marine
fuel tanks:
(i) All equipment must have a tethered fuel cap. Fuel caps must
also include a visual, audible, or other physical indication that they
have been properly sealed.
(ii) You may not add vents unless they are specified in or allowed
by the applicable certificates of conformity.
(iii) If the emission controls rely on carbon canisters, they must
be installed in a way that prevents exposing the carbon to water or
liquid fuel.
(2) Fuel-line fittings. The following requirements apply for fuel-
line fittings that will be used with fuel lines that must meet
permeation emission standards:
(i) Use good engineering judgment to ensure that all fuel-line
fittings will remain securely connected to prevent fuel leakage
throughout the useful life of the equipment.
(ii) Fuel lines that are intended to be detachable (such as those
for portable marine fuel tanks) must be self-sealing when detached from
the fuel tank or engine.
(3) Refueling. For any equipment using fuel tanks that are subject
to diurnal or permeation emission standards under this part, you must
design and build your equipment such that operators can reasonably be
expected to fill the fuel tank without spitback or spillage during the
refueling event. The following examples illustrate designs that meet
this requirement:
(i) Equipment that is commonly refueled using a portable gasoline
container should have a fuel tank inlet that is larger than a typical
dispensing spout. The fuel tank inlet should be located so the operator
can place the nozzle directly in the fuel tank inlet and see the fuel
level in the tank while pouring the fuel from an appropriately sized
refueling container (either through the tank wall or the fuel tank
inlet). We will deem you to comply with the requirements of this
paragraph (f)(3)(i) if you design your equipment to meet applicable
industry standards related to fuel tank inlets.
(ii) Marine SI vessels with a filler neck extending to the side of
the boat should be designed for automatic fuel shutoff. Alternatively,
the filler neck should be designed such that the orientation of the
filler neck allows dispensed fuel that collects in the filler neck to
flow back into the fuel tank. A filler neck that ends with a horizontal
or nearly horizontal segment at the opening where fuel is dispensed
would not be an acceptable design.
(g) Components and equipment must meet the standards specified in
this part throughout the applicable useful life. Where we do not
specify procedures for demonstrating the durability of emission
controls, use good engineering judgment to ensure that your products
will meet the standards throughout the useful life. The useful life is
one of the following values:
(1) The useful life in years specified for the components or
equipment in the exhaust standard-setting part.
(2) The useful life in years specified for the engine in the
exhaust standard-setting part if the exhaust standards are specified
for the engine rather than the equipment and there is no useful life
given for components or equipment.
(3) Five years if no useful life is specified in years for the
components, equipment, or engines in the exhaust standard-setting part.
[[Page 59303]]
Sec. 1060.102 What permeation emission control requirements apply for
fuel lines?
(a) Nonmetal fuel lines must meet permeation requirements as
follows:
(1) Marine SI fuel lines, including fuel lines associated with
outboard engines or portable marine fuel tanks, must meet the
permeation requirements in this section.
(2) Large SI fuel lines must meet the permeation requirements
specified in 40 CFR 1048.105.
(3) Fuel lines for recreational vehicles must meet the permeation
requirements specified in 40 CFR 1051.110 or in this section.
(4) Small SI fuel lines must meet the permeation requirements in
this section, unless they are installed in equipment certified to meet
diurnal emission standards under Sec. 1060.105(e).
(b) Different categories of nonroad equipment are subject to
different requirements with respect to fuel line permeation. Fuel lines
are classified based on measured emissions over the test procedure
specified for the class.
(c) The regulations in 40 CFR part 1048 require that fuel lines
used with Large SI engines must meet the standards for EPA Low-Emission
Fuel Lines. The regulations in 40 CFR part 1054 require that fuel lines
used with handheld Small SI engines installed in cold-weather equipment
must meet the standards for EPA Cold-Weather Fuel Lines. Unless
specified otherwise in this subchapter U, fuel lines used with all
other engines and equipment subject to the provisions of this part
1060, including fuel lines associated with outboard engines or portable
marine fuel tanks, must meet the standards for EPA Nonroad Fuel Lines.
(d) The following standards apply for each fuel line
classification:
(1) EPA Low-Emission Fuel Lines must have permeation emissions at
or below 10 g/m2/day when measured according to the test
procedure described in Sec. 1060.510.
(2) EPA Nonroad Fuel Lines must have permeation emissions at or
below 15 g/m2/day when measured according to the test
procedure described in Sec. 1060.515.
(3) EPA Cold-Weather Fuel Lines must meet the following permeation
emission standards when measured according to the test procedure
described in Sec. 1060.515:
Table 1 to Sec. 1060.102--Permeation Standards for EPA Cold-Weather
Fuel Lines
------------------------------------------------------------------------
Standard (g/
Model year m\2\/day)
------------------------------------------------------------------------
2012.................................................... 290
2013.................................................... 275
2014.................................................... 260
2015.................................................... 245
2016 and later.......................................... 225
------------------------------------------------------------------------
(e) You may certify fuel lines as follow:
(1) You may certify straight-run fuel lines as sections of any
length.
(2) You may certify molded fuel lines in any configuration
representing your actual production, subject to the provisions for
selecting a worst-case configuration in Sec. 1060.235(b).
(3) You may certify fuel line assemblies as aggregated systems that
include multiple sections of fuel line with connectors and fittings.
For example, you may certify fuel lines for portable marine fuel tanks
as assemblies of fuel hose, primer bulbs, and self-sealing end
connections. The length of such an assembly must not be longer than a
typical in-use installation and must always be less than 2.5 meters
long. You may also certify primer bulbs separately. The standard
applies with respect to the total permeation emissions divided by the
wetted internal surface area of the assembly. Where it is not practical
to determine the actual internal surface area of the assembly, you may
assume that the internal surface area per unit length of the assembly
is equal to the ratio of internal surface area per unit length of the
hose section of the assembly.
Sec. 1060.103 What permeation emission control requirements apply for
fuel tanks?
(a) Fuel tanks must meet permeation requirements as follows:
(1) Marine SI fuel tanks, including engine-mounted fuel tanks and
portable marine fuel tanks, must meet the permeation requirements in
this section.
(2) Large SI fuel tanks must meet diurnal emission standards as
specified in Sec. 1060.105, which includes measurement of permeation
emissions. No separate permeation standard applies.
(3) Fuel tanks for recreational vehicles must meet the permeation
requirements specified in 40 CFR 1051.110 or in this section.
(4) Small SI fuel tanks must meet the permeation requirements in
this section unless they are installed in equipment certified to meet
diurnal emission standards under Sec. 1060.105(e).
(b) Permeation emissions from fuel tanks may not exceed 1.5 g/
m2/day when measured at a nominal temperature of 28 [deg]C
with the test procedures for tank permeation in Sec. 1060.520. You may
also choose to meet a standard of 2.5 g/m2/day if you
perform testing at a nominal temperature of 40 [deg]C under Sec.
1060.520(d).
(c) The exhaust standard-setting part may allow for certification
of fuel tanks to a family emission limit for calculating evaporative
emission credits as described in subpart H of this part instead of
meeting the emission standards in this section.
(d) For purposes of this part, fuel tanks do not include fuel lines
that are subject to Sec. 1060.102, petcocks designed for draining
fuel, or grommets used with fuel lines. Fuel tanks include other
fittings (such as fuel caps, gaskets, and O-rings) that are directly
mounted to the fuel tank.
(e) Fuel caps may be certified separately to the permeation
emission standard in paragraph (b) of this section using the test
procedures specified in Sec. 1060.521. For the purposes of this
paragraph (e), gaskets or O-rings that are produced as part of an
assembly with the fuel cap are considered part of the fuel cap.
(f) Metal fuel tanks that meet the permeation criteria in Sec.
1060.240(d)(2) or use certified nonmetal fuel caps will be deemed to be
certified as in conformity with the requirements of this section
without submitting an application for certification.
Sec. 1060.104 What running loss emission control requirements apply?
(a) Engines and equipment must meet running loss requirements as
follows:
(1) Marine SI engines and vessels are not subject to running loss
emission standards.
(2) Large SI engines and equipment must prevent fuel boiling during
operation as specified in 40 CFR 1048.105.
(3) Recreational vehicles are not subject to running loss emission
standards.
(4) Nonhandheld Small SI engines and equipment that are not used in
wintertime equipment must meet running loss requirements described in
this section. Handheld Small SI engines and equipment are not subject
to running loss emission standards.
(b) You must demonstrate control of running loss emissions in one
of the following ways if your engines or equipment are subject to the
requirements of this section:
[[Page 59304]]
(1) Route running loss emissions into the engine intake system so
fuel vapors vented from the tank during engine operation are combusted
in the engine. This may involve routing vapors through a carbon
canister. If another company has certified the engine with respect to
exhaust emissions, state in your application for certification that you
have followed the engine manufacturer's installation instructions.
(2) Use a fuel tank that remains sealed under normal operating
conditions. This may involve a bladder or other means to prevent
pressurized fuel tanks.
(3) Get an approved Executive Order from the California Air
Resources Board showing that your system meets applicable running loss
standards in California.
(c) If you are subject to both running loss and diurnal emission
standards, use good engineering judgment to ensure that the emission
controls are compatible.
Sec. 1060.105 What diurnal requirements apply for equipment?
(a) Fuel tanks must meet diurnal emission requirements as follows:
(1) Marine SI fuel tanks, including engine-mounted fuel tanks and
portable marine fuel tanks, must meet the requirements related to
diurnal emissions specified in this section.
(2) Large SI fuel tanks must meet the requirements related to
diurnal emissions specified in 40 CFR 1048.105.
(3) Recreational vehicles are not subject to diurnal emission
standards.
(4) Small SI fuel tanks are not subject to diurnal emission
standards, except as specified in paragraph (e) of this section.
(b) Diurnal emissions from Marine SI fuel tanks may not exceed 0.40
g/gal/day when measured using the test procedures specified in Sec.
1060.525 for general fuel temperatures. An alternative standard of 0.16
g/gal/day applies for fuel tanks installed in nontrailerable boats when
measured using the corresponding fuel temperature profile in Sec.
1060.525. Portable marine fuel tanks are not subject to the
requirements of this paragraph (b), but must instead comply with the
requirements of paragraphs (c) and (d) of this section.
(c) Portable marine fuel tanks and associated fuel-system
components must meet the following requirements:
(1) They must be self-sealing (without any manual vents) when not
attached to the engines. The tanks may not vent to the atmosphere when
attached to an engine.
(2) They must remain sealed up to a positive pressure of 34.5 kPa
(5.0 psig); however, they may contain air inlets that open when there
is a vacuum pressure inside the tank.
(d) Detachable fuel lines that are intended for use with portable
marine fuel tanks must be self-sealing (without any manual vents) when
not attached to the engine or fuel tank.
(e) Manufacturers of nonhandheld Small SI equipment may optionally
meet the diurnal emission standards adopted by the California Air
Resources Board in the Final Regulation Order, Article 1, Chapter 15,
Division 3, Title 13, California Code of Regulations, July 26, 2004
(incorporated by reference in Sec. 1060.810). To meet this
requirement, equipment must be certified to the performance standards
specified in Title 13 CCR Sec. 2754(a) based on the applicable
requirements specified in CP-902 and TP-902, including the requirements
related to fuel caps in Title 13 CCR Sec. 2756. Equipment certified
under this paragraph (e) does not need to use fuel lines or fuel tanks
that have been certified separately. Equipment certified under this
paragraph (e) are subject to all the referenced requirements as if
these specifications were mandatory.
(f) The following general provisions apply for controlling diurnal
emissions:
(1) If you are subject to both running loss and diurnal emission
standards, use good engineering judgment to ensure that the emission
controls are compatible.
(2) You may not use diurnal emission controls that increase the
occurrence of fuel spitback or spillage during in-use refueling. Also,
if you use a carbon canister, you must incorporate design features that
prevent liquid gasoline from reaching the canister during refueling or
as a result of fuel sloshing or fuel expansion.
Sec. 1060.120 What emission-related warranty requirements apply?
(a) General requirements. The certifying manufacturer must warrant
to the ultimate purchaser and each subsequent purchaser that the new
nonroad equipment, including its evaporative emission control system,
meets two conditions:
(1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
(2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
(b) Warranty period. Your emission-related warranty must be valid
for at least two years from the point of first retail sale.
(c) Components covered. The emission-related warranty covers all
components whose failure would increase the evaporative emissions,
including those listed in 40 CFR part 1068, Appendix I, and those from
any other system you develop to control emissions. Your emission-
related warranty does not cover components whose failure would not
increase evaporative emissions.
(d) Relationships between manufacturers.
(1) The emission-related warranty required for equipment
manufacturers that certify equipment must cover all specified
components even if another company produces the component.
(2) Where an equipment manufacturer fulfills a warranty obligation
for a given component, the component manufacturer is deemed to have
also met that obligation.
Sec. 1060.125 What maintenance instructions must I give to buyers?
Give ultimate purchasers written instructions for properly
maintaining and using the emission control system. You may not specify
any maintenance more frequently than once per year. For example, if you
produce cold-weather equipment that requires replacement of fuel cap
gaskets or O-rings, provide clear instructions to the ultimate
purchaser, including the required replacement interval.
Sec. 1060.130 What installation instructions must I give to equipment
manufacturers?
(a) If you sell a certified fuel-system component for someone else
to install in equipment, give the installer instructions for installing
it consistent with the requirements of this part.
(b) Make sure the instructions have the following information:
(1) Include the heading: ``Emission-related installation
instructions''.
(2) State: ``Failing to follow these instructions when installing
[IDENTIFY COMPONENT(S)] in a piece of nonroad equipment violates
federal law (40 CFR 1068.105(b)), subject to fines or other penalties
as described in the Clean Air Act.''
(3) Describe any limits on the range of applications needed to
ensure that the component operates consistently with your application
for certification. For example:
(i) For fuel tanks sold without fuel caps, you must specify the
requirements for the fuel cap, such as the allowable materials, thread
pattern, how it must seal, etc. You must also include instructions to
tether the fuel cap as described in Sec. 1060.101(f)(1) if you do not
sell your fuel tanks with tethered fuel caps.
[[Page 59305]]
(ii) If your fuel lines do not meet permeation standards specified
in Sec. 1060.102 for EPA Low-Emission Fuel Lines, tell equipment
manufacturers not to install the fuel lines with Large SI engines that
operate on gasoline or another volatile liquid fuel.
(4) Describe instructions for installing components so they will
operate according to design specifications in your application for
certification. Specify sufficient detail to ensure that the equipment
will meet the applicable standards when your component is installed.
(5) If you certify a component with a family emission limit above
the emission standard, be sure to indicate that the equipment
manufacturer must have a source of credits to offset the higher
emissions. Also indicate the applications for which the regulations
allow for compliance using evaporative emission credits.
(6) Instruct the equipment manufacturers that they must comply with
the requirements of Sec. 1060.202.
(c) You do not need installation instructions for components you
install in your own equipment.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing, provided you keep a copy of these instructions
in your records. If you do not provide the instructions in writing,
explain in your application for certification how you will ensure that
each installer is informed of the installation requirements.
Sec. 1060.135 How must I label and identify the engines and equipment
I produce?
The labeling requirements of this section apply for all equipment
manufacturers and for engine manufacturers that certify with respect to
evaporative emissions. See Sec. 1060.137 for the labeling requirements
that apply separately for fuel lines, fuel tanks, and other fuel-system
components.
(a) You must affix a permanent and legible label identifying each
engine or piece of equipment before introducing it into U.S. commerce.
The label must be--
(1) Attached in one piece so it is not removable without being
destroyed or defaced.
(2) Secured to a part of the engine or equipment needed for normal
operation and not normally requiring replacement.
(3) Durable and readable for the equipment's entire life.
(4) Written in English.
(5) Readily visible in the final installation. It may be under a
hinged door or other readily opened cover. It may not be hidden by any
cover attached with screws or any similar designs. Labels on marine
vessels must be visible from the helm.
(b) If you hold a certificate for your engine or equipment with
respect to evaporative emissions, the engine or equipment label
specified in paragraph (a) of this section must--
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your corporate name and trademark. You may identify
another company and use its trademark instead of yours if you comply
with the provisions of Sec. 1060.640.
(3) State the date of manufacture [MONTH and YEAR] of the
equipment; however, you may omit this from the label if you stamp or
engrave it on the equipment.
(4) State: ``THIS EQUIPMENT [or VEHICLE or BOAT] MEETS U.S. EPA
EVAP STANDARDS.''
(5) Identify the certified fuel-system components installed on the
equipment as described in this paragraph (b)(5). Establish a component
code for each certified fuel-system component, including those
certified by other companies. You may use part numbers, certification
numbers, or any other unique code that you or the certifying component
manufacturer establish. This identifying information must correspond to
printing or other labeling on each certified fuel-system component,
whether you or the component manufacturer certifies the individual
component. You may identify multiple part numbers if your equipment
design might include an option to use more than one component design
(such as from multiple component manufacturers). Use one of the
following methods to include information on the label that identifies
certified fuel-system components:
(i) Use the component codes to identify each certified fuel-system
component on the label specified in this paragraph (b).
(ii) Identify the emission family on the label using EPA's
standardized designation or an abbreviated equipment code that you
establish in your application for certification. Equipment
manufacturers that also certify their engines with respect to exhaust
emissions may use the same emission family name for both exhaust and
evaporative emissions. If you use the provisions of this paragraph
(b)(5)(ii), you must identify all the certified fuel-system components
and the associated component codes in your application for
certification. In this case the label specified in this paragraph (b)
may omit the information related to specific fuel-system components.
(c) If you produce equipment without certifying with respect to
evaporative emissions, the equipment label specified in paragraph (a)
of this section must--
(1) State: ``MEETS U.S. EPA EVAP STANDARDS USING CERTIFIED
COMPONENTS.''
(2) Include your corporate name.
(d) You may add information to the emission control information
label as follows:
(1) You may identify other emission standards that the engine meets
or does not meet (such as California standards). You may include this
information by adding it to the statement we specify or by including a
separate statement.
(2) You may add other information to ensure that the engine will be
properly maintained and used.
(3) You may add appropriate features to prevent counterfeit labels.
For example, you may include the engine's unique identification number
on the label.
(e) Anyone subject to the labeling requirements in this part 1060
may ask us to approve modified labeling requirements if it is necessary
or appropriate. We will approve the request if the alternate label is
consistent with the requirements of this part.
Sec. 1060.137 How must I label and identify the fuel-system
components I produce?
The requirements of this section apply for manufacturers of fuel-
system components subject to emission standards under this part 1060.
However, these requirements do not apply if you produce fuel-system
components that will be covered by a certificate of conformity from
another company under Sec. 1060.601(f). These requirements also do not
apply for components you certify if you also certify the equipment in
which the component is installed and meet the labeling requirements in
Sec. 1060.135.
(a) Label the following components as described in this section:
(1) All fuel tanks, except for metal fuel tanks that are deemed
certified under Sec. 1060.103(f).
(2) Fuel lines. This includes primer bulbs unless they are excluded
from the definition of ``fuel line'' under the standard-setting part.
Label primer bulbs separately.
(3) Carbon canisters.
(4) Fuel caps, as described in this paragraph (a)(4). Fuel caps
must be labeled if they are separately certified under Sec. 1060.103
or if the diurnal control system requires that the fuel
[[Page 59306]]
tank hold pressure. Fuel caps must also be labeled if they are attached
directly to the fuel tank, unless the fuel tank is certified based on a
worst-case fuel cap.
(5) Replaceable pressure-relief assemblies. This does not apply if
the component is integral to the fuel tank or fuel cap.
(6) Other components we determine to be critical to the proper
functioning of evaporative emission controls.
(b) Label your certified fuel-system components at the time of
manufacture. The label must be--
(1) Attached so it is not removable without being destroyed or
defaced. This may involve printing directly on the product. For molded
products, you may use the mold to apply the label.
(2) Durable and readable for the equipment's entire life.
(3) Written in English.
(c) Except as specified in paragraph (d) of this section, you must
create the label specified in paragraph (b) of this section as follows:
(1) Include your corporate name. You may identify another company
instead of yours if you comply with the provisions of Sec. 1054.640.
(2) Include EPA's standardized designation for the emission family.
(3) State: ``EPA COMPLIANT''.
(4) Fuel tank labels must identify the FEL, if applicable.
(5) Fuel line labels must identify the applicable permeation level.
This may involve any of the following approaches:
(i) Identify the applicable numerical emission standard (such as 15
g/m \2\/day).
(ii) Identify the applicable emission standards using EPA
classifications (such as EPA Nonroad Fuel Lines).
(iii) Identify the applicable industry standard specification (such
as SAE J30 R12).
(6) Fuel line labels must be continuous, with no more than 12
inches before repeating. We will consider labels to be continuous if
the space between repeating segments is no longer than that of the
repeated information. You may add a continuous stripe or other pattern
to help identify the particular type or grade of your products.
(d) You may create an abbreviated label for your components. Such a
label may rely on codes to identify the component. The code must at a
minimum identify the certification status, your corporate name, and the
emission family. For example, XYZ Manufacturing may label its fuel
lines as ``EPA-XYZ-A15'' to designate that their ``A15'' family was
certified to meet EPA's 15 g/m \2\/day standard. If you do this, you
must describe the abbreviated label in your application for
certification and identify all the associated information specified in
paragraph (c) of this section.
(e) You may ask us to approve modified labeling requirements in
this section as described in Sec. 1060.135(e).
Subpart C--Certifying Emission Families
Sec. 1060.201 What are the general requirements for obtaining a
certificate of conformity?
Manufacturers of engines, equipment, or fuel-system components may
need to certify their products with respect to evaporative emission
standards as described in Sec. Sec. 1060.1 and 1060.601. See Sec.
1060.202 for requirements related to certifying with respect to the
requirements specified in Sec. 1060.101(f). The following general
requirements apply for obtaining a certificate of conformity:
(a) You must send us a separate application for a certificate of
conformity for each emission family. A certificate of conformity for
equipment is valid starting with the indicated effective date but it is
not valid for any production after December 31 of the model year for
which it is issued. No certificate will be issued after December 31 of
the model year. A certificate of conformity for a component is valid
starting with the indicated effective date but it is not valid for any
production after the end of the production period for which it is
issued.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1060.255).
(c) We may ask you to include less information than we specify in
this subpart as long as you maintain all the information required by
Sec. 1060.250. For example, equipment manufacturers might use only
components that are certified by other companies to meet applicable
emission standards, in which case we would not require submission of
emission data already submitted by the component manufacturer.
(d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and
sign the application.
(f) See Sec. 1060.255 for provisions describing how we will
process your application.
(g) We may specify streamlined procedures for small-volume
equipment manufacturers.
Sec. 1060.202 What are the certification requirements related to the
general standards in Sec. 1060.101?
Equipment manufacturers must ensure that their equipment is
certified with respect to the general standards specified in Sec.
1060.101(f) as follows:
(a) If Sec. 1060.5 requires you to certify your equipment to any
of the emission standards specified in Sec. Sec. 1060.102 through
1060.105, describe in your application for certification how you will
meet the general standards specified in Sec. 1060.101(f).
(b) If Sec. 1060.5 does not require you to certify your equipment
to any of the emission standards specified in Sec. Sec. 1060.102
through 1060.105, your equipment is deemed to be certified with respect
to the general standards specified in Sec. 1060.101(f) if you design
and produce your equipment to meet those standards.
(1) You must keep records as described in Sec. 1060.210. The other
provisions of this part for certificate holders apply only as specified
in Sec. 1060.5.
(2) Your equipment is deemed to be certified only to the extent
that it meets the general standards in Sec. 1060.101(f). Thus, it is a
violation of 40 CFR 1068.101(a)(1) to introduce into U.S. commerce such
equipment that does not meet applicable requirements under Sec.
1060.101(f).
(c) Instead of relying on paragraph (b) of this section, you may
submit an application for certification and obtain a certificate from
us. The provisions of this part apply in the same manner for
certificates issued under this paragraph (c) as for any other
certificate issued under this part.
Sec. 1060.205 What must I include in my application?
This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1060.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the emission family's specifications and other basic
parameters of the emission controls. Describe how you meet the running
loss emission control requirements in Sec. 1060.104, if applicable.
Describe how you meet any applicable equipment-based requirements of
Sec. 1060.101(e) and (f). State whether you are requesting
certification for gasoline or some other fuel type. List each
distinguishable configuration in the emission family.
(b) Describe the products you selected for testing and the reasons
for selecting them.
[[Page 59307]]
(c) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used (see Sec.
1060.501).
(d) List the specifications of the test fuel to show that it falls
within the required ranges specified in subpart F of this part.
(e) State the equipment applications to which your certification is
limited. For example, if your fuel system meets the emission
requirements of this part applicable only to handheld Small SI
equipment, state that the requested certificate would apply only for
handheld Small SI equipment.
(f) Identify the emission family's useful life.
(g) Include the maintenance instructions you will give to the
ultimate purchaser of each new nonroad engine (see Sec. 1060.125).
(h) Include the emission-related installation instructions you will
provide if someone else will install your component in a piece of
nonroad equipment (see Sec. 1060.130).
(i) Describe your emission control information label (see
Sec. Sec. 1060.135 and 1060.137).
(j) Identify the emission standards or FELs to which you are
certifying the emission family.
(k) Present emission data to show your products meet the applicable
emission standards. Note that Sec. Sec. 1060.235 and 1060.240 allow
you to submit an application in certain cases without new emission
data.
(l) State that your product was tested as described in the
application (including the test procedures, test parameters, and test
fuels) to show you meet the requirements of this part. If you did not
do the testing, identify the source of the data.
(m) Report all test results, including those from invalid tests,
whether or not they were conducted according to the test procedures of
subpart F of this part. We may ask you to send other information to
confirm that your tests were valid under the requirements of this part.
(n) Unconditionally certify that all the products in the emission
family comply with the requirements of this part, other referenced
parts of the CFR, and the Clean Air Act.
(o) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes
if they are substantially different than actual production volumes in
earlier years for similar models.
(p) Include other applicable information, such as information
required by other subparts of this part.
(q) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.
Sec. 1060.210 What records should equipment manufacturers keep if
they do not apply for certification?
If you are an equipment manufacturer that does not need to obtain a
certificate of conformity for your equipment as described in Sec.
1060.5, you must keep the records specified in this section to document
compliance with applicable requirements. We may review these records at
any time. If we ask, you must send us these records within 30 days. You
must keep these records for eight years from the end of the model year.
(a) Identify your equipment models and the annual U.S.-directed
production volumes for each model.
(b) Identify the emission family names of the certificates that
will cover your equipment, the part numbers of those certified
components, and the names of the companies that hold the certificates.
You must be able to identify this information for each piece of
equipment you produce.
(c) Describe how you comply with any emission-related installation
instructions, labeling requirements, and the general standards in Sec.
1060.101(e) and (f).
Sec. 1060.225 How do I amend my application for certification?
Before we issue a certificate of conformity, you may amend your
application to include new or modified configurations, subject to the
provisions of this section. After we have issued your certificate of
conformity, you may send us an amended application requesting that we
include new or modified configurations within the scope of the
certificate, subject to the provisions of this section. You must amend
your application if any changes occur with respect to any information
included in your application.
(a) You must amend your application before you take any of the
following actions:
(1) Add a configuration to an emission family. In this case, the
configuration added must be consistent with other configurations in the
emission family with respect to the criteria listed in Sec. 1060.230.
(2) Change a configuration already included in an emission family
in a way that may affect emissions, or change any of the components you
described in your application for certification. This includes
production and design changes that may affect emissions any time during
the equipment's lifetime.
(3) Modify an FEL for an emission family as described in paragraph
(f) of this section. Note however that component manufacturers may not
modify an FEL for their products unless they submit a separate
application for a new emission family.
(b) To amend your application for certification, send the
Designated Compliance Officer the following information:
(1) Describe in detail the addition or change in the configuration
you intend to make.
(2) Include engineering evaluations or data showing that the
amended emission family complies with all applicable requirements. You
may do this by showing that the original emission data are still
appropriate for showing that the amended family complies with all
applicable requirements.
(3) If the original emission data for the emission family are not
appropriate to show compliance for the new or modified configuration,
include new test data showing that the new or modified configuration
meets the requirements of this part.
(c) We may ask for more test data or engineering evaluations.
Within 30 days after we make our request, you must provide the
information or describe your plan for providing it in a timely manner.
(d) For emission families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your new or modified configuration. You may ask for a
hearing if we deny your request (see Sec. 1060.820).
(e) For emission families already covered by a certificate of
conformity, you may start producing the new or modified configuration
anytime after you send us your amended application and before we make a
decision under paragraph (d) of this section. However, if we determine
that the affected configurations do not meet applicable requirements,
we will notify you to cease production of the configurations and may
require you to recall the equipment at no expense to the owner.
Choosing to produce equipment under this paragraph (e) is deemed to be
consent to recall all equipment that we determine do not meet
applicable emission standards or other requirements and to remedy the
nonconformity at no expense to the owner. If you do not provide
information we request under paragraph (c) of this section within 30
days after
[[Page 59308]]
we request it, you must stop producing the new or modified equipment.
(f) If you hold a certificate of conformity for equipment and you
have certified the fuel tank that you install in the equipment, you may
ask us to approve a change to your FEL after the start of production.
The changed FEL may not apply to equipment you have already introduced
into U.S. commerce, except as described in this paragraph (f). If we
approve a changed FEL after the start of production, you must identify
the date or serial number for applying the new FEL. If you identify
this by month and year, we will consider that a lowered FEL applies on
the last day of the month and a raised FEL applies on the first day of
the month. You may ask us to approve a change to your FEL in the
following cases:
(1) You may ask to raise your FEL for your emission family at any
time. In your request, you must show that you will still be able to
meet the emission standards as specified in the exhaust standard-
setting part. If you amend your application by submitting new test data
to include a newly added or modified fuel tank configuration, as
described in paragraph (b)(3) of this section, use the appropriate FELs
with corresponding production volumes to calculate your production-
weighted average FEL for the model year. In all other circumstances,
you must use the higher FEL for the entire family to calculate your
production-weighted average FEL under subpart H of this part.
(2) You may ask to lower the FEL for your emission family only if
you have test data from production units showing that emissions are
below the proposed lower FEL. The lower FEL applies only for units you
produce after we approve the new FEL. Use the appropriate FELs with
corresponding production volumes to calculate your production-weighted
average FEL for the model year.
(g) Component manufacturers may not change an emission family's FEL
under any circumstances. Changing the FEL would require submission of a
new application for certification.
Sec. 1060.230 How do I select emission families?
(a) For purposes of certification, divide your product line into
families of equipment (or components) that are expected to have similar
emission characteristics throughout their useful life.
(b) Group fuel lines into the same emission family if they are the
same in all the following aspects:
(1) Type of material including barrier layer.
(2) Production method.
(3) Types of connectors and fittings (material, approximate wall
thickness, etc.) for fuel line assemblies certified together.
(c) Group fuel tanks (or fuel systems including fuel tanks) into
the same emission family if they are the same in all the following
aspects:
(1) Type of material, including any pigments, plasticizers, UV
inhibitors, or other additives that are expected to affect control of
emissions.
(2) Production method.
(3) Relevant characteristics of fuel cap design for fuel systems
subject to diurnal emission requirements.
(4) Gasket material.
(5) Emission control strategy.
(6) Family emission limit, if applicable.
(d) Group other fuel-system components and equipment into the same
emission family if they are the same in all the following aspects:
(1) Emission control strategy and design.
(2) Type of material (such as type of charcoal used in a carbon
canister). This criteria does not apply for materials that are
unrelated to emission control performance.
(3) The fuel systems meet the running loss emission standard based
on the same type of compliance demonstration specified in Sec.
1060.104(b), if applicable.
(e) You may subdivide a group of equipment or components that are
identical under paragraphs (b) through (d) of this section into
different emission families if you show the expected emission
characteristics are different during the useful life.
(f) In unusual circumstances, you may group equipment or components
that are not identical with respect to the things listed in paragraph
(b) through (d) of this section into the same emission family if you
show that their emission characteristics during the useful life will be
similar. The provisions of this paragraph (f) do not exempt any engines
or equipment from meeting all the applicable standards and requirements
in subpart B of this part.
(g) Emission families may include components used in multiple
equipment categories. Such families are covered by a single
certificate. For example, a single emission family may contain fuel
tanks used in both Small SI equipment and Marine SI vessels.
Sec. 1060.235 What emission testing must I perform for my application
for a certificate of conformity?
This section describes the emission testing you must perform to
show compliance with the emission standards in subpart B of this part.
(a) Test your products using the procedures and equipment specified
in subpart F of this part.
(b) Select an emission-data unit from each emission family for
testing. If you are certifying with a family emission limit, you must
test at least three emission-data units. In general, you must test a
preproduction product that will represent actual production. However,
for fuel tank permeation, you may test a tank with standardized
geometry provided that it is made of the same material(s) and
appropriate wall thickness. In general, the test procedures specify
that components or systems be tested rather than complete equipment.
For example, to certify your family of Small SI equipment, you would
need to test a sample of fuel line for permeation emissions and a fuel
tank for permeation emissions. Note that paragraph (e) of this section
and Sec. 1060.240 allow you in certain circumstances to certify
without testing an emission-data unit from the emission family. Select
test components that are most likely to exceed (or have emissions
nearer to) the applicable emission standards as follows:
(1) For fuel tanks, consider the following factors associated with
higher emission levels:
(i) Smallest average wall thickness (or barrier thickness, as
appropriate).
(ii) Greatest extent of pinch welds for tanks using barrier
technologies.
(iii) Greatest relative area of gasket material, especially if
gaskets are made of high-permeation materials.
(2) For fuel lines, consider the following factors associated with
higher emission levels:
(i) Smallest average wall thickness (or barrier thickness, as
appropriate).
(ii) Smallest inner diameter.
(c) You may not do maintenance on emission-data units.
(d) We may measure emissions from any of your products from the
emission family, as follows:
(1) You must supply your products to us if we choose to perform
confirmatory testing.
(2) If we measure emissions on one of your products, the results of
that testing become the official emission results for the emission
family. Unless we later invalidate these data, we may decide not to
consider your data in determining if your emission family meets
applicable requirements.
(e) You may ask to use carryover emission data from a previous
production period instead of doing new tests, but only if all the
following are true:
(1) The emission family from the previous production period differs
from
[[Page 59309]]
the current emission family only with respect to production period or
other characteristics unrelated to emissions. You may also ask to add a
configuration subject to Sec. 1060.225.
(2) The emission-data unit from the previous production period
remains the appropriate emission-data unit under paragraph (b) of this
section. For example, you may not carryover emission data for your
family of nylon fuel tanks if you have added a thinner-walled fuel tank
than was tested previously.
(3) The data show that the emission-data unit would meet all the
requirements that apply to the emission family covered by the
application for certification.
(f) We may require you to test another unit of the same or
different configuration in addition to the unit(s) tested under
paragraph (b) of this section.
(g) If you use an alternate test procedure under Sec. 1060.505,
and later testing shows that such testing does not produce results that
are equivalent to the procedures specified in this part, we may reject
data you generated using the alternate procedure.
Sec. 1060.240 How do I demonstrate that my emission family complies
with evaporative emission standards?
(a) For purposes of certification, your emission family is
considered in compliance with an evaporative emission standard in
subpart B of this part if you do either of the following:
(1) You have test results showing a certified emission level from
the fuel tank or fuel line (as applicable) in the family are at or
below the applicable standard.
(2) You comply with design specifications as specified in
paragraphs (d) through (f) of this section.
(b) Your emission family is deemed not to comply if any fuel tank
or fuel line representing that family has an official emission result
above the standard.
(c) Round each official emission result to the same number of
decimal places as the emission standard.
(d) You may demonstrate for certification that your emission family
complies with the fuel tank permeation standards specified in Sec.
1060.103 with any of the following control technologies:
(1) A coextruded high-density polyethylene fuel tank with a
continuous ethylene vinyl alcohol barrier layer (with not more than 40
molar percent ethylene) making up at least 2 percent of the fuel tank's
overall wall thickness with any of the following gasket and fuel-cap
characteristics:
(i) No nonmetal gaskets or fuel caps.
(ii) All nonmetal gaskets and fuel caps made from low-permeability
materials.
(iii) Nonmetal gaskets and fuel caps that are not made from low-
permeability materials up to the following limits:
(A) Gaskets with a total exposed surface area less than 0.25
percent of the total inside surface area of the fuel tank. For example,
a fuel tank with an inside surface area of 0.40 square meters may use
high-permeation gasket material representing a surface area of up to
1,000 mm2 (0.25% x \1/100\ x 0.40 m2 x 1,000,000
mm2/m2). Determine surface area based on the
amount of material exposed to liquid fuel.
(B) Fuel caps directly mounted to the fuel tank with the surface
area of the fuel cap less than 3.0 percent of the total inside surface
area of the fuel tank. Use the smallest inside cross-sectional area of
the opening on which the cap is mounted as the fuel cap's surface area.
(2) A metal fuel tank with the gasket and fuel-cap characteristics
meeting the specifications in paragraphs (d)(1)(i) through (iii) of
this section.
(e) You may demonstrate for certification that your emission family
complies with the diurnal emission standards specified in Sec.
1060.105 with any of the following control technologies:
(1) A Marine SI fuel tank sealed up to a positive pressure of 7.0
kPa (1.0 psig); however, the fuel tank may contain air inlets that open
when there is a vacuum pressure inside the tank.
(2) A Marine SI fuel tank equipped with a passively purged carbon
canister that meets the requirements of this paragraph (e)(2). The
carbon must adsorb no more than 0.5 grams of water per gram of carbon
at 90% relative humidity and a temperature of 255 [deg]C.
The carbon granules must have a minimum mean diameter of 3.1 mm based
on the procedures in ASTM D2862 (incorporated by reference in Sec.
1060.810). The carbon must also pass a dust attrition test based on
ASTM D3802 (incorporated by reference in Sec. 1060.810), except that
hardness is defined as the ratio of mean particle diameter before and
after the test and the procedure must involve twenty \1/2\-inch steel
balls and ten \3/4\-inch steel balls. Use good engineering judgment in
the structural design of the carbon canister. The canister must have a
volume compensator or some other device to prevent the carbon pellets
from moving within the canister as a result of vibration or changing
temperature. The canister must have a minimum working capacity as
follows:
(i) You may use the measurement procedures specified by the
California Air Resources Board in Attachment 1 to TP-902 to show that
canister working capacity is least 3.6 grams of vapor storage capacity
per gallon of nominal fuel tank capacity (or 1.4 grams of vapor storage
capacity per gallon of nominal fuel tank capacity for fuel tanks used
in nontrailerable boats). TP-902 is part of Final Regulation Order,
Article 1, Chapter 15, Division 3, Title 13, California Code of
Regulations, July 26, 2004 as adopted by the California Air Resources
Board (incorporated by reference in Sec. 1060.810).
(ii) You may produce canisters with a minimum carbon volume of
0.040 liters per gallon of nominal fuel tank capacity (or 0.016 liters
per gallon for fuel tanks used in nontrailerable boats). The carbon
canister must have a minimum effective length-to-diameter ratio of 3.5
and the vapor flow must be directed with the intent of using the whole
carbon bed. The carbon must have a minimum carbon working capacity of
90 grams per liter.
(f) We may establish additional design certification options where
we find that new test data demonstrate that the use of a different
technology design will ensure compliance with the applicable emission
standards.
(g) You may not establish a family emission limit below the
emission standard for components certified based on design
specifications under this section even if actual emission rates are
much lower.
Sec. 1060.250 What records must I keep?
(a) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send
us.
(2) Any of the information we specify in Sec. 1060.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data unit. For each
emission data unit, include all of the following:
(i) The emission-data unit's construction, including its origin and
buildup, steps you took to ensure that it represents production
equipment, any components you built specially for it, and all the
components you include in your application for certification.
(ii) All your emission tests, including documentation on routine
and standard tests, and the date and purpose of each test.
(iii) All tests to diagnose emission control performance, giving
the date and time of each and the reasons for the test.
(iv) Any other significant events.
(4) Annual production figures for each emission family divided by
assembly plant.
(5) Keep a list of equipment identification numbers for all the
[[Page 59310]]
equipment you produce under each certificate of conformity.
(b) Keep required data from routine emission tests (such as
temperature measurements) for one year after we issue the associated
certificate of conformity. Keep all other information specified in
paragraph (a) of this section for eight years after we issue your
certificate.
(c) Store these records in any format and on any media as long as
you can promptly send us organized, written records in English if we
ask for them. You must keep these records readily available. We may
review them at any time.
Sec. 1060.255 What decisions may EPA make regarding my certificate of
conformity?
(a) If we determine your application is complete and shows that the
emission family meets all the requirements of this part and the Clean
Air Act, we will issue a certificate of conformity for your emission
family for that production period. We may make the approval subject to
additional conditions.
(b) We may deny your application for certification if we determine
that your emission family fails to comply with emission standards or
other requirements of this part or the Clean Air Act. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements.
(2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent).
(3) Render inaccurate any test data.
(4) Deny us from completing authorized activities despite our
presenting a warrant or court order (see 40 CFR 1068.20). This includes
a failure to provide reasonable assistance.
(5) Produce equipment or components for importation into the United
States at a location where local law prohibits us from carrying out
authorized activities.
(6) Fail to supply requested information or amend your application
to include all equipment or components being produced.
(7) Take any action that otherwise circumvents the intent of the
Clean Air Act or this part.
(d) We may void your certificate if you do not keep the records we
require or do not give us information when we ask for it.
(e) We may void your certificate if we find that you intentionally
submitted false or incomplete information.
(f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec. 1060.820).
Subpart D--Production Verification Testing
Sec. 1060.301 Manufacturer testing.
(a) Using good engineering judgment, you must evaluate production
samples to verify that equipment or components you produce are as
specified in the certificate of conformity. This may involve testing
using certification procedures or other measurements.
(b) You must give us records to document your evaluation if we ask
for them.
Sec. 1060.310 Supplying products to EPA for testing.
Upon our request, you must supply a reasonable number of production
samples to us for verification testing.
Subpart E--In-use Testing
Sec. 1060.401 General Provisions.
We may perform in-use testing of any equipment or fuel-system
components subject to the standards of this part.
Subpart F--Test Procedures
Sec. 1060.501 General testing provisions.
(a) This subpart is addressed to you as a certifying manufacturer
but it applies equally to anyone who does testing for you.
(b) Unless we specify otherwise, the terms ``procedures'' and
``test procedures'' in this part include all aspects of testing,
including the equipment specifications, calibrations, calculations, and
other protocols and procedural specifications needed to measure
emissions.
(c) The specification for gasoline to be used for testing is given
in 40 CFR 1065.710. Use the grade of gasoline specified for general
testing. For testing specified in this part that requires a blend of
gasoline and ethanol, blend this grade of gasoline with fuel-grade
ethanol meeting the specifications of ASTM D4806 (incorporated by
reference in Sec. 1060.810). You do not need to measure the ethanol
concentration of such blended fuels and may instead calculate the
blended composition by assuming that the ethanol is pure and mixes
perfectly with the base fuel. For example, if you mix 10.0 liters of
fuel-grade ethanol with 90.0 liters of gasoline, you may assume the
resulting mixture is 10.0 percent ethanol. You may use more or less
pure ethanol if you can demonstrate that it will not affect your
ability to demonstrate compliance with the applicable emission
standards. Note that unless we specify otherwise, any references to
gasoline-ethanol mixtures containing a specified ethanol concentration
means mixtures meeting the provisions of this paragraph (c).
(d) Accuracy and precision of all temperature measurements must be
1.0 [deg]C or better. If you use multiple sensors to
measure differences in temperature, calibrate the sensors so they will
be within 0.5 [deg]C of each other when they are in thermal equilibrium
at a point within the range of test temperatures (use the starting
temperature in Table 1 to Sec. 1060.525 unless this is not feasible).
(e) Accuracy and precision of mass balances must be sufficient to
ensure accuracy and precision of two percent or better for emission
measurements for products at the maximum level allowed by the standard.
The readability of the display may not be coarser than half of the
required accuracy and precision. Examples are shown in the following
table:
----------------------------------------------------------------------------------------------------------------
Example 1 Example 2 Example 3
----------------------------------------------------------------------------------------------------------------
Applicable standard.............. 1.5 g/m2/day........ 1.5 g/m2/day........ 15 g/m2/day.
Internal surface area............ 1.15 m2............. 0.47 m2............. 0.070 m2.
Length of test................... 14 days............. 14 days............. 28 days.
Maximum allowable mass change.... 24.15 g............. 9.87 g.............. 1.96 g.
Required accuracy and precision.. 0.483 g 0.197 g 0.0392 g or better.
or better. or better.
Required readability............. 0.1 g or better..... 0.1 g or better..... 0.01 g or better.
----------------------------------------------------------------------------------------------------------------
Sec. 1060.505 Other procedures.
(a) Your testing. The procedures in this part apply for all testing
you do to show compliance with emission standards, with certain
exceptions listed in this section.
(b) Our testing. These procedures generally apply for testing that
we do to determine if your equipment complies
[[Page 59311]]
with applicable emission standards. We may perform other testing as
allowed by the Clean Air Act.
(c) Exceptions. We may allow or require you to use procedures other
than those specified in this part in the following cases:
(1) You may request to use special procedures if your equipment
cannot be tested using the specified procedures. We will approve your
request if we determine that it would produce emission measurements
that represent in-use operation and we determine that it can be used to
show compliance with the requirements of the standard-setting part.
(2) You may ask to use emission data collected using other
procedures, such as those of the California Air Resources Board or the
International Organization for Standardization. We will approve this
only if you show us that using these other procedures does not affect
your ability to show compliance with the applicable emission standards.
This generally requires emission levels to be far enough below the
applicable emission standards so any test differences do not affect
your ability to state unconditionally that your equipment will meet all
applicable emission standards when tested using the specified test
procedures.
(3) You may request to use alternate procedures that are equivalent
to allowed procedures or are more accurate or more precise than allowed
procedures. See 40 CFR 1065.12 for a description of the information
that is generally required to show that an alternate test procedure is
equivalent.
(4) The test procedures are specified for gasoline-fueled
equipment. If your equipment will use another volatile liquid fuel
instead of gasoline, use a test fuel that is representative of the fuel
that will be used with the equipment in use. You may ask us to approve
other changes to the test procedures to reflect the effects of using a
fuel other than gasoline.
(d) Approval. If we require you to request approval to use other
procedures under paragraph (c) of this section, you may not use them
until we approve your request.
Sec. 1060.510 How do I test EPA Low-Emission Fuel Lines for
permeation emissions?
For EPA Low-Emission Fuel Lines, measure emissions according to SAE
J2260, which is incorporated by reference in Sec. 1054.810.
Sec. 1060.515 How do I test EPA Nonroad Fuel Lines and EPA Cold-
Weather Fuel Lines for permeation emissions?
Measure emission as follows for EPA Nonroad Fuel Lines and EPA
Cold-Weather Fuel Lines:
(a) Prior to permeation testing, use good engineering judgment to
precondition the fuel line by filling it with the fuel specified in
this paragraph (a), sealing the openings, and soaking it for at least
four weeks at 43 5 [deg]C or eight weeks at 23
5 [deg]C.
(1) For EPA Nonroad Fuel Lines, use Fuel CE10, which is Fuel C as
specified in ASTM D471 (incorporated by reference in Sec. 1054.810)
blended with ethanol such that the blended fuel has 10.0
1.0 percent ethanol by volume.
(2) For EPA Cold-Weather Fuel Lines, use gasoline blended with
ethanol such that the blended fuel has 10.0 1.0 percent
ethanol by volume.
(b) Drain the fuel line and refill it immediately with the fuel
specified in paragraph (a) of this section. Be careful not to spill any
fuel.
(c) Measure fuel line permeation emissions using the equipment and
procedures for weight-loss testing specified in SAE J30 or SAE J1527
(incorporated by reference in Sec. 1054.810). Start the measurement
procedure within 8 hours after draining and refilling the fuel line.
Perform the emission test over a sampling period of 14 days.
(d) Use good engineering judgment to test fuel line segments with
short length or narrow inner diameter. For example, size the fuel
reservoir appropriately for the tested fuel line and take steps to
eliminate air bubbles from narrow-diameter fuel lines.
Sec. 1060.520 How do I test fuel tanks for permeation emissions?
Measure permeation emissions by weighing a sealed fuel tank before
and after a temperature-controlled soak.
(a) Preconditioning durability testing. Take the following steps
before an emission test, in any order, if your emission control
technology involves surface treatment or other post-processing
treatments such as an epoxy coating:
(1) Pressure cycling. Perform a pressure test by sealing the tank
and cycling it between +13.8 and -1.7 kPa (+2.0 and -0.5 psig) for
10,000 cycles at a rate of 60 seconds per cycle. The purpose of this
test is to represent environmental wall stresses caused by pressure
changes and other factors (such as vibration or thermal expansion). If
your tank cannot be tested using the pressure cycles specified by this
paragraph (a)(1), you may ask to use special test procedures under
Sec. 1060.505.
(2) UV exposure. Perform a sunlight-exposure test by exposing the
tank to an ultraviolet light of at least 24 W/m2 (0.40 W-hr/
m2/min) on the tank surface for at least 450 hours.
Alternatively, the fuel tank may be exposed to direct natural sunlight
for an equivalent period of time as long as you ensure that the tank is
exposed to at least 450 daylight hours.
(3) Slosh testing. Perform a slosh test by filling the tank to 40-
50 percent of its capacity with the fuel specified in paragraph (e) of
this section and rocking it at a rate of 15 cycles per minute until you
reach one million total cycles. Use an angle deviation of +15[deg] to -
15[deg] from level.
(b) Preconditioning fuel soak. Take the following steps before an
emission test:
(1) Fill the tank with the fuel specified in paragraph (e) of this
section, seal it, and allow it to soak at 28 5[deg]C for at
least 20 weeks. Alternatively, the tank may be soaked for at least 10
weeks at 435[deg]C. You may count the time of the
preconditioning steps in paragraph (a) of this section as part of the
preconditioning fuel soak as long as the ambient temperature remains
within the specified temperature range and the fuel tank is at least 40
percent full; you may add or replace fuel as needed to conduct the
specified durability procedures.
(2) Empty the fuel tank and immediately refill it with the
specified test fuel to its nominal capacity. Be careful not to spill
any fuel.
(3) Perform durability cycles on fuel caps intended for use with
handheld equipment by putting the fuel cap on and taking it off 300
times. Tighten the fuel cap each time in a way that represents the
typical in-use experience.
(4) Allow the tank and its contents to equilibrate to the
temperatures specified in paragraph (d)(7) of this section. Seal the
fuel tank as described in paragraph (b)(5) of this section once the
fuel temperatures are stabilized at the test temperature. You must seal
the tank no more than eight hours after refueling. Until the fuel tank
is sealed, take steps to minimize the vapor losses from the fuel tank,
such as keeping the fuel cap loose on the fuel inlet or routing vapors
through a vent hose.
(5) Seal the fuel tank as follows:
(i) If fuel tanks are designed for use with a filler neck such that
the fuel cap is not directly mounted on the fuel tank, you may seal the
fuel inlet with a nonpermeable covering.
[[Page 59312]]
(ii) If fuel tanks are designed with fuel caps directly mounted on
the fuel tank, take one of the following approaches:
(A) Use a production fuel cap expected to have permeation emissions
at least as high as the highest-emitting fuel cap that you expect to be
used with fuel tanks from the emission family. It would generally be
appropriate to consider an HDPE fuel cap with a nitrile rubber seal to
be worst-case.
(B) You may seal the fuel inlet with a nonpermeable covering if you
separately measure the permeation from a worst-case fuel cap as
described in Sec. 1060.521.
(C) If you use or specify a fuel gasket made of low-permeability
material, you may seal the fuel inlet with a nonpermeable covering and
calculate an emission rate for the complete fuel tank using a default
value of 30 g/m2/day for the fuel cap (or 50 g/
m2/day for testing at 40[deg]C). Use the smallest inside
cross-sectional area of the opening on which the cap is mounted as the
fuel cap's surface area.
(iii) Openings that are not normally sealed on the fuel tank (such
as hose-connection fittings and vents in fuel caps) may be sealed using
nonpermeable fittings such as metal or fluoropolymer plugs.
(iv) Openings for petcocks that are designed for draining fuel may
be sealed using nonpermeable fittings such as metal or fluoropolymer
plugs.
(v) Openings for grommets may be sealed using nonpermeable fittings
such as metal or fluoropolymer plugs.
(vi) Rather than sealing a fuel tank with nonpermeable fittings,
you may produce a fuel tank for testing without machining or stamping
those holes.
(c) Reference tank. A reference tank is required to correct for
buoyancy effects that may occur during testing. Prepare the reference
tank as follows:
(1) Obtain a second tank that is identical to the test tank. You
may not use a tank that has previously contained fuel or any other
contents that might affect its mass stability.
(2) Fill the reference tank with enough glass beads (or other inert
material) so the mass of the reference tank is approximately the same
as the test tank when filled with fuel. Considering the performance
characteristics of your balance, use good engineering judgment to
determine how similar the mass of the reference tank needs to be to the
mass of the test tank.
(3) Ensure that the inert material is dry.
(4) Seal the tank.
(d) Permeation test run. To run the test, take the following steps
after preconditioning:
(1) Determine the fuel tank's internal surface area in square-
meters, accurate to at least three significant figures. You may use
less accurate estimates of the surface area if you make sure not to
overestimate the surface area.
(2) Weigh the sealed test tank and record the weight. Place the
reference tank on the balance and tare it so it reads zero. Place the
sealed test tank on the balance and record the difference between the
test tank and the reference tank. This value is Mo. Take
this measurement directly after sealing the test tank as specified in
paragraphs (b)(4) and (5) of this section.
(3) Carefully place the tank within a temperature-controlled room
or enclosure. Do not spill or add any fuel.
(4) Close the room or enclosure as needed to control temperatures
and record the time. However, you may need to take steps to prevent an
accumulation of hydrocarbon vapors in the room or enclosure that might
affect the degree to which fuel permeates through the fuel tank. This
might simply involve passive ventilation to allow fresh air exchanges.
(5) Ensure that the measured temperature in the room or enclosure
stays within the temperatures specified in paragraph (d)(6) of this
section.
(6) Leave the tank in the room or enclosure for the duration of the
test run.
(7) Hold the temperature of the room or enclosure at 28 2 [deg]C; measure and record the temperature at least daily. You
may alternatively hold the temperature of the room or enclosure at 40
2 [deg]C to demonstrate compliance with the alternative
standards specified in Sec. 1060.103(b).
(8) Measure weight loss daily by retaring the balance using the
reference tank and weighing the sealed test tank. Calculate the
cumulative weight loss in g/m2/day for each measurement.
Calculate the coefficient of determination, r2, based on a
linear plot of cumulative weight loss vs. test days as described in 40
CFR 1065.602(k). Continue testing for ten full days or, if
r2 is below 0.95, continue testing until r2 is at
or above 0.95. If r2 is not at or above 0.95 within 20 days
of testing, discontinue the test and precondition the fuel tank further
until it has stabilized emission levels, then repeat the testing. The
daily measurements must be at approximately the same time each day. You
may omit up to two daily measurements in any seven-day period.
(9) Record the difference in mass between the reference tank and
the test tank for each measurement. This value is Mi, where
i is a counter representing the number of days elapsed. Subtract
Mi from Mo and divide the difference by the
internal surface area of the fuel tank. Divide this g/m2
value by the number of test days (using at least two decimal places) to
calculate the emission rate in g/m2/day. Example: If a tank
with an internal surface area of 0.720 m2 weighed 1.31 grams
less than the reference tank at the beginning of the test and weighed
9.86 grams less than the reference tank after soaking for 10.03 days,
the emission rate would be--
((-1.31 g) - (-9.82 g)) / 0.720 m2 / 10.03 days = 1.36 g/
m2/day.
(10) Round your result to the same number of decimal places as the
emission standard.
(e) Fuel specifications. Use gasoline blended with ethanol such
that the blended fuel has 10.0 1.0 percent ethanol by
volume as specified in Sec. 1060.501. As an alternative, you may use
Fuel CE10, as described in Sec. 1060.515(a)(1).
(f) Flow chart. The following figure presents a flow chart for the
permeation testing described in this section:
BILLING CODE 6560-50-P
[[Page 59313]]
[GRAPHIC] [TIFF OMITTED] TR08OC08.078
BILLING CODE 6560-50-C
Sec. 1060.521 How do I test fuel caps for permeation emissions?
If you measure a fuel tank's permeation emissions with a
nonpermeable covering in place of the fuel cap under Sec.
1060.520(b)(5)(ii)(B), you must separately measure permeation emissions
from a fuel cap. You may show that your fuel tank and fuel cap meet
emission standards by certifying them separately or by combining the
separate measurements into a single emission rate based on the relative
surface areas of the fuel tank
[[Page 59314]]
and fuel cap. However, you may not combine these emission measurements
if you test the fuel cap at a nominal temperature of 28 [deg]C and you
test the fuel tank at 40 [deg]C. Measure the fuel cap's permeation
emissions as follows:
(a) Select a fuel cap expected to have permeation emissions at
least as high as the highest-emitting fuel cap that you expect to be
used with fuel tanks from the emission family. Include a gasket that
represents production models. If the fuel cap includes vent paths, seal
these vents as follows:
(1) If the vent path is through grooves in the gasket, you may use
another gasket with no vent grooves if it is otherwise the same as a
production gasket.
(2) If the vent path is through the cap, seal any vents for
testing.
(b) Attach the fuel cap to a fuel tank with a capacity of at least
one liter made of metal or some other impermeable material.
(c) Use the procedures specified in Sec. 1060.520 to measure
permeation emissions. Calculate emission rates using the smallest
inside cross sectional area of the opening on which the cap is mounted
as the fuel cap's surface area.
Sec. 1060.525 How do I test fuel systems for diurnal emissions?
Use the procedures of this section to determine whether your fuel
tanks meet diurnal emission standards as specified in Sec. 1060.105.
(a) Except as specified in paragraph (c) of this section, use the
following procedure to measure diurnal emissions:
(1) Diurnal measurements are based on a representative temperature
cycle. For marine fuel tanks, the temperature cycle specifies fuel
temperatures rather than ambient temperatures. The applicable
temperature cycle is indicated in the following table:
Table 1 to Sec. 1060.525--Diurnal Temperature Profiles for Fuel Tanks
----------------------------------------------------------------------------------------------------------------
General Fuel Fuel Temperature
Ambient Temperature Profile for
Temperature Profile for Marine Fuel Tanks
Time (hours) Profile for Land- Installed Marine Installed in
based Fuel Tanks Fuel Tanks Nontrailerable
([deg]C) ([deg]C) Boats ([deg]C)
----------------------------------------------------------------------------------------------------------------
0...................................................... 22.2 25.6 27.6
1...................................................... 22.5 25.7 27.6
2...................................................... 24.2 26.5 27.9
3...................................................... 26.8 27.9 28.5
4...................................................... 29.6 29.2 29.0
5...................................................... 31.9 30.4 29.5
6...................................................... 33.9 31.4 29.9
7...................................................... 35.1 32.0 30.1
8...................................................... 35.4 32.2 30.2
9...................................................... 35.6 32.2 30.2
10..................................................... 35.3 32.1 30.2
11..................................................... 34.5 31.7 30.0
12..................................................... 33.2 31.0 29.7
13..................................................... 31.4 30.2 29.4
14..................................................... 29.7 29.3 29.1
15..................................................... 28.2 28.6 28.8
16..................................................... 27.2 28.0 28.5
17..................................................... 26.1 27.5 28.3
18..................................................... 25.1 27.0 28.1
19..................................................... 24.3 26.6 28.0
20..................................................... 23.7 26.3 27.9
21..................................................... 23.3 26.1 27.8
22..................................................... 22.9 25.9 27.7
23..................................................... 22.6 25.7 27.6
24..................................................... 22.2 25.6 27.6
----------------------------------------------------------------------------------------------------------------
(2) Fill the fuel tank to 40 percent of nominal capacity with the
gasoline specified in 40 CFR 1065.710 for general testing.
(3) Install a vapor line from any vent ports that would not be
sealed in the final in-use configuration. Use a length of vapor line
representing the largest inside diameter and shortest length that would
be expected with the range of in-use installations for the emission
family.
(4) Stabilize the fuel tank at the starting temperature of the
applicable temperature profile from paragraph (a)(1) of this section.
For sealed fuel systems, replace the fuel cap once the fuel reaches
equilibrium at the appropriate starting temperature.
(5) If the fuel tank is equipped with a carbon canister, load the
canister with butane or gasoline vapors to its canister working
capacity as specified in Sec. 1060.240(e)(2)(i) and attach it to the
fuel tank in a way that represents a typical in-use configuration.
(6) Place the fuel tank with the carbon canister and vent line in a
SHED meeting the specifications of 40 CFR 86.107-96(a)(1). Follow the
applicable temperature trace from paragraph (a)(1) of this section for
one 24-hour period. You need not measure emissions during this
stabilization step.
(7) As soon as possible after the stabilization in paragraph (a)(6)
of this section, purge the SHED and follow the applicable temperature
trace from paragraph (a)(1) of this section for three consecutive 24-
hour periods. Start measuring emissions when you start the temperature
profile. The end of the first, second, and third emission sampling
periods must occur 1440 6, 2880 6, and 4320
6 minutes, respectively, after starting the measurement
procedure. Use the highest of the three emission levels to determine
whether your fuel tank meets the diurnal emission standard.
(8) For emission control technologies that rely on a sealed fuel
system, you may omit the stabilization step in paragraph (a)(6) of this
section and the last two 24-hour periods of emission
[[Page 59315]]
measurements in paragraph (a)(7) of this section. For purposes of this
paragraph (a), sealed fuel systems include those that rely on pressure-
relief valves, limiting flow orifices, bladder fuel tanks, and volume-
compensating air bags.
(b) You may subtract your fuel tank's permeation emissions from the
measured diurnal emissions if the fuel tank is preconditioned with
diurnal test fuel as described in Sec. 1060.520(b) or if you use good
engineering judgment to otherwise establish that the fuel tank has
stabilized permeation emissions. Measure permeation emissions for
subtraction as specified in Sec. 1060.520(c) and (d) before measuring
diurnal emissions, except that the permeation measurement must be done
with diurnal test fuel at 28 2 [deg]C. Use appropriate
units and corrections to subtract the permeation emissions from the
fuel tank during the diurnal emission test. You may not subtract a
greater mass of emissions under this paragraph (b) than the fuel tank
would emit based on meeting the applicable emission standard for
permeation.
Subpart G--Special Compliance Provisions
Sec. 1060.601 How do the prohibitions of 40 CFR 1068.101 apply with
respect to the requirements of this part?
(a) As described in Sec. 1060.1, fuel tanks and fuel lines that
are used with or intended to be used with new nonroad engines or
equipment are subject to evaporative emission standards under this part
1060. This includes portable marine fuel tanks and fuel lines and other
fuel-system components associated with portable marine fuel tanks. Note
that Sec. 1060.1 specifies an implementation schedule based on the
date of manufacture of nonroad equipment, so new fuel tanks and fuel
lines are not subject to standards under this part 1060 if they will be
installed for use in equipment built before the specified dates for
implementing the appropriate standards, subject to the limitations in
paragraph (b) of this section. Except as specified in paragraph (f) of
this section, fuel-system components that are subject to permeation or
diurnal emission standards under this part 1060 must be covered by a
valid certificate of conformity before being introduced into U.S.
commerce to avoid violating the prohibition of 40 CFR 1068.101(a). To
the extent we allow it under the exhaust standard-setting part, fuel-
system components may be certified with a family emission limit higher
than the specified emission standard. The provisions of this paragraph
(a) do not apply to fuel caps.
(b) New replacement fuel tanks and fuel lines must meet the
requirements of this part 1060 if they are intended to be used with
nonroad engines or equipment regulated under this part 1060, as
follows:
(1) Applicability of standards between January 1, 2012 and December
31, 2019. Manufacturers, distributors, retailers, and importers must
clearly state on the packaging for all replacement components that
could reasonably be used with nonroad engines how such components may
be used consistent with the prohibition in paragraph (a) of this
section. It is presumed that such components are intended for use with
nonroad engines regulated under this part 1060 unless the components,
or the packaging for such components, clearly identify appropriate
restrictions. This requirement does not apply for components that are
clearly not intended for use with fuels.
(2) Applicability of standards after January 1, 2020. Starting
January 1, 2020 it is presumed that replacement components will be used
with nonroad engines regulated under this part 1060 if they can
reasonably be used with such engines. Manufacturers, distributors,
retailers, and importers are therefore obligated to take reasonable
steps to ensure that any uncertified components are not used to replace
certified components. This would require labeling the components and
may also require restricting the sales and requiring the ultimate
purchaser to agree to not use the components inappropriately. This
requirement does not apply for components that are clearly not intended
for use with fuels.
(3) Applicability of the tampering prohibition. If a fuel tank or
fuel line needing replacement was certified to meet the emission
standards in this part with a family emission limit below the otherwise
applicable standard, the new replacement fuel tank or fuel line must be
certified to current emission standards, but need not be certified with
the same or lower family emission limit to avoid violating the
tampering prohibition in 40 CFR 1068.101(b)(1).
(c) [Reserved]
(d) Manufacturers that generate or use evaporative emission credits
related to Marine SI engines in 40 CFR part 1045 or Small SI engines in
40 CFR part 1054 are subject to the emission standards for which they
are generating or using evaporative emission credits. These engines or
equipment must therefore be covered by a valid certificate of
conformity showing compliance with emission-credit provisions before
being introduced into U.S. commerce to avoid violating the prohibition
of 40 CFR 1068.101(a).
(e) If there is no valid certificate of conformity for any given
evaporative emission standard for new equipment, the manufacturers of
the engine, equipment and fuel-system components are each liable for
violations of the prohibited acts with respect to the fuel systems and
fuel-system components they have introduced into U.S. commerce,
including fuel systems and fuel-system components installed in engines
or equipment at the time the engines or equipment are introduced into
U.S. commerce.
(f) If you manufacture fuel lines or fuel tanks that are subject to
the requirements of this part as described in paragraph (a) of this
section, 40 CFR 1068.101(a) does not prohibit you from shipping your
products directly to an equipment manufacturer or another manufacturer
from which you have received a written commitment to be responsible for
certifying the components as required under this part 1060. This
includes SHED-based certification of Small SI equipment as described in
Sec. 1060.105. If you ship fuel lines or fuel tanks under this
paragraph (f), you must include documentation that accompanies the
shipped products identifying the name and address of the company
receiving shipment and stating that the fuel lines or fuel tanks are
exempt under the provisions of 40 CFR 1060.601(f).
(g) If new evaporative emission standards apply in a given model
year, your equipment in that model year must have fuel-system
components that are certified to the new standards, except that you may
continue to use up your normal inventory of earlier fuel-system
components that were built before the date of the new or changed
standards. For example, if your normal inventory practice is to keep on
hand a one-month supply of fuel tanks based on your upcoming production
schedules, and a new tier of standards starts to apply for the 2012
model year, you may order fuel tanks based on your normal inventory
requirements late in the fuel tank manufacturer's 2011 model year and
install those fuel tanks in your equipment, regardless of the date of
installation. Also, if your model year starts before the end of the
calendar year preceding new standards, you may use fuel-system
components from the previous model year (or uncertified components if
no standards were in place) for those units you produce before January
1 of the year that new standards apply. If emission standards do not
change in a given model year,
[[Page 59316]]
you may continue to install fuel-system components from the previous
model year without restriction. You may not circumvent the provisions
of 40 CFR 1068.101(a)(1) by stockpiling fuel-system components that
were built before new or changed standards take effect.
Sec. 1060.605 Exemptions from evaporative emission standards.
(a) Except as specified in the exhaust standard-setting part and
paragraph (b) of this section, equipment using an engine that is exempt
from exhaust emission standards under the provisions in 40 CFR part
1068, subpart C or D, is also exempt from the requirements of this part
1060. For example, engines or equipment exempted from exhaust emission
standards for purposes of national security do not need to meet
evaporative emission standards. Also, any engine that is exempt from
emission standards because it will be used solely for competition does
not need to meet evaporative emission standards. Equipment that is
exempt from all exhaust emission standards under the standard-setting
part are also exempt from the requirements of this part 1060; however,
this does not apply for engines that must meet a less stringent exhaust
emission standard as a condition of the exemption.
(b) Engines produced under the replacement-engine exemption in 40
CFR 1068.240 must use fuel-system components that meet the evaporative
emission standards based on the model year of the engine being replaced
subject to the provisions of 40 CFR 1068.265. If no evaporative
emission standards applied at that time, no requirements related to
evaporative emissions apply to the new engine. Installing a replacement
engine does not change the applicability of requirements for the
equipment into which the replacement engine is installed.
(c) Engines or equipment that are temporarily exempt from EPA
exhaust emission standards are also exempt from the requirements of
this part 1060 for the same period as the exhaust exemption.
(d) For equipment powered by more than one engine, all the engines
installed in the equipment must be exempt from all applicable EPA
exhaust emission standards for the equipment to also be exempt under
paragraph (a) or (b) of this section.
(e) In unusual circumstances, we may exempt components or equipment
from the requirements of this part 1060 even if the equipment is
powered by one or more engines that are subject to EPA exhaust emission
standards. See 40 CFR part 1068. Such exemptions will be limited to:
(1) Testing. See 40 CFR 1068.210.
(2) National security. See 40 CFR 1068.225.
(3) Economic hardship. See 40 CFR 1068.245 and 1068.250.
(f) Evaporative emission standards generally apply based on the
model year of the equipment, which is determined by the equipment's
date of final assembly. However, in the first year of new emission
standards, equipment manufacturers may apply evaporative emission
standards based on the model year of the engine as shown on the
engine's emission control information label. For example, for fuel tank
permeation standards starting in 2012, equipment manufacturers may
order a batch of 2011 model year engines for installation in 2012 model
year equipment, subject to the anti-stockpiling provisions of 40 CFR
1068.105(a). The equipment with the 2011 model year engines would not
need to meet fuel tank permeation standards as long as the equipment is
fully assembled by December 31, 2012.
Sec. 1060.640 What special provisions apply to branded equipment?
The following provisions apply if you identify the name and
trademark of another company instead of your own on your emission
control information label for equipment, as provided by Sec. Sec.
1060.135 and 1060.137:
(a) You must have a contractual agreement with the other company
that obligates that company to take the following steps:
(1) Meet the emission warranty requirements that apply under Sec.
1060.120. This may involve a separate agreement involving reimbursement
of warranty-related expenses.
(2) Report all warranty-related information to the certificate
holder.
(b) In your application for certification, identify the company
whose trademark you will use and describe the arrangements you have
made to meet your requirements under this section.
(c) You remain responsible for meeting all the requirements of this
chapter, including warranty and defect-reporting provisions.
Subpart H--Averaging, Banking, and Trading Provisions
Sec. 1060.701 Applicability.
(a) You are allowed to comply with the emission standards in this
part with evaporative emission credits only if the exhaust standard-
setting part explicitly allows it for evaporative emissions.
(b) The following exhaust standard-setting parts allow some use of
evaporative emission credits:
(1) 40 CFR part 1045 for marine vessels.
(2) 40 CFR part 1051 for recreational vehicles.
(3) 40 CFR part 1054 for Small SI equipment.
(c) As specified in 40 CFR part 1048, there is no allowance to
generate or use emission credits with Large SI equipment.
Sec. 1060.705 How do I certify components to an emission level other
than the standard under this part or use such components in my
equipment?
As specified in this section, a fuel-system component may be
certified to a family emission limit (FEL) instead of the otherwise
applicable emission standard. Note that the exhaust standard-setting
part may apply maximum values for an FEL (i.e., FEL caps).
(a) Requirements for certifying component manufacturers. See
subpart C of this part for instructions regarding the general
requirements for certifying components.
(1) When you submit your application for certification, indicate
the FEL to which your components will be certified. This FEL will serve
as the applicable standard for your component, and the equipment that
uses the component. For example, when the regulations of this part use
the phrase ``demonstrate compliance with the applicable emission
standard'' it will mean ``demonstrate compliance with the FEL'' for
your component.
(2) You may not change the FEL for an emission family. To specify a
different FEL for your components, you must send a new application for
certification for a new emission family.
(3) Unless your FEL is below all emission standards that could
potentially apply, you must ensure that all equipment manufacturers
that will use your component are aware of the limitations regarding the
conditions under which they may use your component.
(4) It is your responsibility to read the instructions relative to
emission-credit provisions in the standard-setting parts identified in
Sec. 1060.1.
(b) Requirements for equipment manufacturers. See subpart C of this
part for instructions regarding your ability to rely on the component
manufacturer's certificate.
(1) The FEL of the component will serve as the applicable standard
for your equipment.
(2) You may not specify more than one FEL for an emission family at
one
[[Page 59317]]
time; however, you may change the FEL during the model year as
described in Sec. 1060.225(f).
(3) If the FEL is above the emission standard you must ensure that
the exhaust standard-setting part allows you to use evaporative
emission credits to comply with emission standards and that you will
have an adequate source of evaporative emission credits. You must
certify your equipment as specified in Sec. 1060.201 and the rest of
subpart C of this part.
Subpart I--Definitions and Other Reference Information
Sec. 1060.801 What definitions apply to this part?
The following definitions apply to this part. The definitions apply
to all subparts unless we note otherwise. All undefined terms have the
meaning the Clean Air Act gives to them. The definitions follow:
Accuracy and precision means the sum of accuracy and repeatability,
as defined in 40 CFR 1065.1001. For example, if a measurement device is
determined to have an accuracy of 1% and a repeatability of
2%, then its accuracy and precision would be 3%.
Adjustable parameter means any device, system, or element of design
that someone can adjust and that, if adjusted, may affect emissions.
You may ask us to exclude a parameter if you show us that it will not
be adjusted in use in a way that affects emissions.
Applicable emission standard or applicable standard means an
emission standard to which a fuel-system component is subject.
Additionally, if a fuel-system component has been or is being certified
to another standard or FEL, applicable emission standard means the FEL
or other standard to which the fuel-system component has been or is
being certified. This definition does not apply to subpart H of this
part.
Canister working capacity means the measured amount of hydrocarbon
vapor that can be stored in a canister as specified in Sec.
1060.240(e)(2)(i).
Carbon working capacity means the measured amount of hydrocarbon
vapor that can be stored in a given volume of carbon when tested
according to ASTM D5228 (incorporated by reference in Sec. 1060.810).
See Sec. 1060.240(e)(2)(ii).
Certification means relating to the process of obtaining a
certificate of conformity for an emission family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest official emission result
in an emission family.
Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
Cold-weather equipment is limited to the following types of
handheld equipment: Chainsaws, cut-off saws, clearing saws, brush
cutters with engines at or above 40cc, commercial earth and wood
drills, and ice augers. This includes earth augers if they are also
marketed as ice augers.
Configuration means a unique combination of hardware (material,
geometry, and size) and calibration within an emission family. Units
within a single configuration differ only with respect to normal
production variability.
Date of manufacture, means one of the following with respect to
equipment:
(1) For outboard engines with under-cowl fuel tanks and for vessels
equipped with outboard engines and installed fuel tanks, date of
manufacture means the date on which the fuel tank is installed.
(2) For all other equipment, date of manufacture has the meaning
given in 40 CFR 1068.30.
Days means calendar days unless otherwise specified. For example,
when we specify working days we mean calendar days, excluding weekends
and U.S. national holidays.
Designated Compliance Officer means the Manager, Heavy-Duty and
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency,
1200 Pennsylvania Ave., NW., Washington, DC 20460.
Detachable fuel line means a fuel line or fuel line assembly
intended to be used with a portable nonroad fuel tank and which is
connected by special fittings to the fuel tank and/or engine for easy
disassembly. Fuel lines that require a wrench or other tools to
disconnect are not considered detachable fuel lines.
Diurnal emissions means evaporative emissions that occur as a
result of venting fuel tank vapors during daily temperature changes
while the engine is not operating.
Effective length-to-diameter ratio means the mean vapor path length
of a carbon canister divided by the effective diameter of that vapor
path. The effective diameter is the diameter of a circle with the same
cross-sectional area as the average cross-sectional area of the carbon
canister's vapor path.
Emission control system means any device, system, or element of
design that controls or reduces the regulated evaporative emissions
from a piece of nonroad equipment.
Emission-data unit means a fuel line, fuel tank, fuel system, or
fuel-system component that is tested for certification. This includes
components tested by EPA.
Emission family has the meaning given in Sec. 1060.230.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Equipment means vehicles, marine vessels, and other types of
nonroad equipment that are subject to this part's requirements.
Evaporative means relating to fuel emissions that result from
permeation of fuel through the fuel-system materials or from
ventilation of the fuel system.
Exhaust standard-setting part means the part in the Code of Federal
Regulations that contains exhaust emission standards for a particular
piece of equipment (or the engine in that piece of equipment). For
example, the exhaust standard-setting part for off-highway motorcycles
is 40 CFR part 1051. Exhaust standard-setting parts may include
evaporative emission requirements or describe how the requirements of
this part 1060 apply.
Exposed gasket surface area means the surface area of the gasket
inside the fuel tank that is exposed to fuel or fuel vapor. For the
purposes of calculating exposed surface area of a gasket, the thickness
of the gasket and the outside dimension of the opening being sealed are
used. Gasket overhang into the fuel tank should be ignored for the
purpose of this calculation.
Family emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard under an ABT program specified by the exhaust standard-setting
part. The family emission limit must be expressed to the same number of
decimal places as the emission standard it replaces. The family
emission limit serves as the emission standard for the emission family
with respect to all required testing.
Fuel CE10 has the meaning given in Sec. 1060.515(a).
Fuel line means hoses or tubing designed to contain liquid fuel.
The exhaust standard-setting part may further specify which types of
hoses and tubing are subject to the standards of this part.
Fuel system means all components involved in transporting,
metering, and mixing the fuel from the fuel tank to the combustion
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel
filters, fuel lines, carburetor or fuel-injection components, and all
fuel-system vents. In the case where the fuel tank cap or other
components (excluding fuel lines) are directly mounted on the fuel
tank, they are considered to be a part of the fuel tank.
[[Page 59318]]
Fuel type means a general category of fuels such as gasoline or
natural gas. There can be multiple grades within a single fuel type,
such as premium gasoline, regular gasoline, or gasoline with 10 percent
ethanol.
Gasoline means one of the following:
(1) For in-use fuels, gasoline means fuel that is commonly and
commercially know as gasoline, including ethanol blends.
(2) For testing, gasoline has the meaning given in subpart F of
this part.
Good engineering judgment means judgments made consistent with
generally accepted scientific and engineering principles and all
available relevant information. See 40 CFR 1068.5 for the
administrative process we use to evaluate good engineering judgment.
High-permeability material means any nonmetal material that does
not qualify as low-permeability material.
Installed marine fuel tank means a fuel tank designed for
delivering fuel to a Marine SI engine, excluding portable marine fuel
tanks.
Large SI means relating to engines that are subject to evaporative
emission standards in 40 CFR part 1048.
Low-permeability material means, for gaskets, a material with
permeation emission rates at or below 10 (g-mm)/m2/day when
measured according to SAE J2659 (incorporated by reference in Sec.
1060.810), where the test temperature is 23 [deg]C, the test fuel is
Fuel CE10, and testing immediately follows a four-week preconditioning
soak with the test fuel.
Manufacture means the physical and engineering process of
designing, constructing, and assembling an engine, piece of nonroad
equipment, or fuel-system components subject to the requirements of
this part.
Manufacturer has the meaning given in section 216(1) of the Clean
Air Act (42 U.S.C. 7550(1)). In general, this term includes:
(1) Any person who manufactures an engine or piece of nonroad
equipment for sale in the United States or otherwise introduces a new
nonroad engine or a piece of new nonroad equipment into U.S. commerce.
(2) Any person who manufactures a fuel-system component for an
engine subject to the requirements of this part as described in Sec.
1060.1(a).
(3) Importers who import such products into the United States.
Marine SI means relating to vessels powered by engines that are
subject to exhaust emission standards in 40 CFR part 1045.
Marine vessel has the meaning given in 40 CFR Sec. 1045.801, which
generally includes all nonroad equipment used as a means of
transportation on water.
Model year means one of the following things:
(1) For equipment defined as ``new nonroad equipment'' under
paragraph (1) of the definition of ``new nonroad engine,'' model year
means one of the following:
(i) Calendar year.
(ii) Your annual new model production period if it is different
than the calendar year. This must include January 1 of the calendar
year for which the model year is named. It may not begin before January
2 of the previous calendar year and it must end by December 31 of the
named calendar year.
(2) For other equipment defined as ``new nonroad equipment'' under
paragraph (2) of the definition of ``new nonroad engine,'' model year
has the meaning given in the exhaust standard-setting part.
(3) For other equipment defined as ``new nonroad equipment'' under
paragraph (3) or paragraph (4) of the definition of ``new nonroad
engine,'' model year means the model year of the engine as defined in
the exhaust standard-setting part.
New nonroad equipment means equipment meeting one or more of the
following criteria:
(1) Nonroad equipment for which the ultimate purchaser has never
received the equitable or legal title. The equipment is no longer new
when the ultimate purchaser receives this title or the product is
placed into service, whichever comes first.
(2) Nonroad equipment that is defined as new under the exhaust
standard-setting part. (Note: equipment that is not defined as new
under the exhaust standard-setting part may be defined as new under
this definition of ``new nonroad equipment.'')
(3) Nonroad equipment with an engine that becomes new (as defined
in the exhaust standard-setting part) while installed in the equipment.
The equipment is no longer new when it is subsequently placed into
service. This paragraph (3) does not apply if the engine becomes new
before being installed in the equipment.
(4) Nonroad equipment not covered by a certificate of conformity
issued under this part at the time of importation and manufactured
after the requirements of this part start to apply (see Sec. 1060.1).
The equipment is no longer new when it is subsequently placed into
service. Importation of this kind of new nonroad equipment is generally
prohibited by 40 CFR part 1068.
Nominal capacity means a fuel tank's volume as specified by the
fuel tank manufacturer, using at least two significant figures, based
on the maximum volume of fuel the tank can hold with standard refueling
techniques.
Nonroad engine has the meaning we give in 40 CFR 1068.30. In
general this means all internal-combustion engines except motor vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft. This part does not apply to all nonroad
engines (see Sec. 1060.1).
Nonroad equipment means a piece of equipment that is powered by or
intended to be powered by one or more nonroad engines. Note that
Sec. Sec. 1060.5 and 1060.601 describes how we treat outboard engines,
portable marine fuel tanks, and associated fuel-system components as
nonroad equipment under this part 1060.
Nontrailerable boat means a vessel whose length is 26.0 feet or
more, or whose width is more than 8.5 feet.
Official emission result means the measured emission rate for an
emission-data unit.
Placed into service means put into initial use for its intended
purpose.
Portable marine fuel tank means a portable fuel tank that is used
or intended to be used to supply fuel to a marine engine during
operation.
Portable nonroad fuel tank means a fuel tank that meets each of the
following criteria:
(1) It has design features indicative of use in portable
applications, such as a carrying handle and fuel line fitting that can
be readily attached to and detached from a nonroad engine.
(2) It has a nominal fuel capacity of 12 gallons or less.
(3) It is designed to supply fuel to an engine while the engine is
operating.
(4) It is not used or intended to be used to supply fuel to a
marine engine.
Production period means the period in which a component or piece of
equipment will be produced under a certificate of conformity. A given
production period for an emission family may not include components
certified using different test data. A production period may not exceed
five years for certified components. Note that the definition of model
year includes specifications related to production periods for which a
certificate is valid for equipment.
Recreational vehicle means vehicles that are subject to evaporative
emission standards in 40 CFR part 1051. This generally includes engines
that will be installed in recreational vehicles if the engines are
certified separately under 40 CFR 1051.20.
[[Page 59319]]
Relating to as used in this section means relating to something in
a specific, direct manner. This expression is used in this section only
to define terms as adjectives and not to broaden the meaning of the
terms.
Revoke has the meaning given in 40 CFR 1068.30. If we revoke a
certificate or an exemption, you must apply for a new certificate or
exemption before continuing to introduce the affected equipment into
U.S. commerce.
Round means to round numbers according to standard procedures as
specified in 40 CFR 1065.1001.
Running loss emissions means unburned fuel vapor that escapes from
the fuel system to the ambient atmosphere while the engine is
operating, excluding permeation emissions and diurnal emissions.
Running loss emissions generally result from fuel-temperature increases
caused by heat released from in-tank fuel pumps, fuel recirculation, or
proximity to heat sources such as the engine or exhaust components.
Sealed means lacking openings to the atmosphere that would allow a
measurable amount of liquid or vapor to leak out under normal operating
pressures or other pressures specified in this part. For example, you
may generally establish a maximum value for operating pressures based
on the highest pressure you would observe from an installed fuel tank
during continuous equipment operation on a sunny day with ambient
temperatures of 35 [deg]C. Sealed fuel systems may have openings for
emission controls or for fuel lines needed to route fuel to the engine.
Small SI means relating to engines that are subject to emission
standards in 40 CFR part 90 or 1054.
Structurally integrated nylon fuel tank means a fuel tank having
all the following characteristics:
(1) The fuel tank is made of a polyamide material that does not
contain more than 50 percent by weight of a reinforcing glass fiber or
mineral filler and does not contain more than 10 percent by weight of
impact modified polyamides that use rubberized agents such as EPDM
rubber.
(2) The fuel tank must be used in a cut-off saw or chainsaw or be
integrated into a major structural member where, as a single component,
the fuel tank material is a primary structural/stress member for other
major components such as the engine, transmission, or cutting
attachment.
Subchapter U means 40 CFR parts 1000 through 1299.
Suspend has the meaning given in 40 CFR 1068.30. If we suspend a
certificate, you may not introduce into U.S. commerce equipment from
that emission family unless we reinstate the certificate or approve a
new one. If we suspend an exemption, you may not introduce into U.S.
commerce equipment that was previously covered by the exemption unless
we reinstate the exemption.
Tare means to use a container or other reference mass to zero a
balance before weighing a sample. Generally, this means placing the
container or reference mass on the balance, allowing it to stabilize,
then zeroing the balance without removing the container or reference
mass. This allows you to use the balance to determine the difference in
mass between the sample and the container or reference mass.
Test sample means the collection of fuel lines, fuel tanks, or fuel
systems selected from the population of an emission family for emission
testing. This may include certification testing or any kind of
confirmatory testing.
Test unit means a piece of fuel line, a fuel tank, or a fuel system
in a test sample.
Ultimate purchaser means, with respect to any new nonroad
equipment, the first person who in good faith purchases such new
nonroad equipment for purposes other than resale.
Ultraviolet light means electromagnetic radiation with a wavelength
between 300 and 400 nanometers.
United States has the meaning given in 40 CFR 1068.30.
U.S.-directed production volume means the amount of equipment,
subject to the requirements of this part, produced by a manufacturer
for which the manufacturer has a reasonable assurance that sale was or
will be made to ultimate purchasers in the United States.
Useful life means the period during which new nonroad equipment is
required to comply with all applicable emission standards. See Sec.
1060.101.
Void has the meaning given in 40 CFR 1068.30. In general this means
to invalidate a certificate or an exemption both retroactively and
prospectively.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
We (us, our) means the Administrator of the Environmental
Protection Agency and any authorized representatives.
Wintertime equipment means equipment using a wintertime engine, as
defined in 40 CFR 1054.801. Note this definition applies only for Small
SI equipment.
Sec. 1060.805 What symbols, acronyms, and abbreviations does this
part use?
The following symbols, acronyms, and abbreviations apply to this
part:
[deg] degree.
ASTM American Society for Testing and Materials.
C Celsius.
CFR Code of Federal Regulations.
EPA Environmental Protection Agency.
FEL family emission limit.
g gram.
gal gallon.
hr hour.
in inch.
kPa kilopascal.
kW kilowatt.
L liter.
m meter.
min minute.
mm millimeter.
psig pounds per square inch of gauge pressure.
SAE Society of Automotive Engineers.
SHED Sealed Housing for Evaporative Determination.
U.S. United States.
U.S.C. United States Code.
W watt.
Sec. 1060.810 What materials does this part reference?
Documents listed in this section have been incorporated by
reference into this part. The Director of the Federal Register approved
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and
Radiation Docket and Information Center, 1301 Constitution Ave., NW.,
Room B102, EPA West Building, Washington, DC 20460 or at the National
Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(a) ASTM material. Table 1 to this section lists material from the
American Society for Testing and Materials that we have incorporated by
reference. The first column lists the number and name of the material.
The second column lists the sections of this part where we reference
it. Anyone may purchase copies of these materials from the American
Society for Testing and Materials, 100 Barr Harbor Dr., P.O. Box C700,
West Conshohocken, PA 19428 or http://www.astm.com. Table 1 follows:
[[Page 59320]]
Table 1 to Sec. 1060.810--ASTM Materials
------------------------------------------------------------------------
Part 1060
Document number and name reference
------------------------------------------------------------------------
ASTM D471-06, Standard Test Method for Rubber Property-- 1060.515
Effect of Liquids (``ASTM D471'')......................
ASTM D2862-97 (Reapproved 2004), Standard Test Method 1060.240
for Particle Size Distribution of Granular Activated
Carbon (``ASTM D2862'')................................
ASTM D3802-79 (Reapproved 2005), Standard Test Method 1060.240
for Ball-Pan Hardness of Activated Carbon (``ASTM
D3802'')...............................................
ASTM D4806-07, Standard Specification for Denatured Fuel 1060.501
Ethanol for Blending with Gasolines for Use as
Automotive Spark-Ignition Engine Fuel (``ASTM D4806'').
ASTM D5228-92 (Reapproved 2005), Standard Test Method 1060.801
for Determination of Butane Working Capacity of
Activated Carbon (``ASTM D5228'')......................
------------------------------------------------------------------------
(b) SAE material. Table 2 to this section lists material from the
Society of Automotive Engineers that we have incorporated by reference.
The first column lists the number and name of the material. The second
column lists the sections of this part where we reference it. Anyone
may purchase copies of these materials from the Society of Automotive
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or http://www.sae.org. Table 2 follows:
Table 2 to Sec. 1060.810--SAE Materials
------------------------------------------------------------------------
Part 1060
Document number and name reference
------------------------------------------------------------------------
SAE J30, Fuel and Oil Hoses, June 1998.................. 1060.515
SAE J1527, Marine Fuel Hoses, January 1993 (Issued 1985- 1060.515
12, Revised 1993-02)...................................
SAE J2260, Nonmetallic Fuel System Tubing with One or 1060.510
More Layers, November 2004.............................
SAE J2659, Test Method to Measure Fluid Permeation of 1060.801
Polymeric Materials by Speciation, December 2003.......
------------------------------------------------------------------------
(c) California Air Resources Board material. Table 3 to this
section lists material from the California Air Resources Board that we
have incorporated by reference. The first column lists the number and
name of the material. The second column lists the sections of this part
where we reference it. Anyone may obtain copies of these materials from
California Air Resources Board, Haagen-Smit Laboratory, 9528 Telstar
Avenue, El Monte, CA 91731-2990 or http://www.arb.ca.gov. Table 3
follows:
Table 3 to Sec. 1060.810--California Air Resources Board Materials
------------------------------------------------------------------------
Part 1060
Document number and name reference
------------------------------------------------------------------------
Final Regulation Order, Article 1, Chapter 15, Division 1060.105,
3, Title 13, California Code of Regulations, July 26, 1060.240
2004...................................................
------------------------------------------------------------------------
Sec. 1060.815 What provisions apply to confidential information?
(a) Clearly show what you consider confidential by marking,
circling, bracketing, stamping, or some other method.
(b) We will store your confidential information as described in 40
CFR part 2. Also, we will disclose it only as specified in 40 CFR part
2. This applies both to any information you send us and to any
information we collect from inspections, audits, or other site visits.
(c) If you send us a second copy without the confidential
information, we will assume it contains nothing confidential whenever
we need to release information from it.
(d) If you send us information without claiming it is confidential,
we may make it available to the public without further notice to you,
as described in 40 CFR 2.204.
Sec. 1060.820 How do I request a hearing?
(a) You may request a hearing under certain circumstances as
described elsewhere in this part. To do this, you must file a written
request, including a description of your objection and any supporting
data, within 30 days after we make a decision.
(b) For a hearing you request under the provisions of this part, we
will approve your request if we find that your request raises a
substantial factual issue.
(c) If we agree to hold a hearing, we will use the procedures
specified in 40 CFR part 1068, subpart G.
Sec. 1060.825 What reporting and recordkeeping requirements apply
under this part?
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. The following
items illustrate the kind of reporting and recordkeeping we require for
products regulated under this part:
(a) We specify the following requirements related to equipment
certification in this part 1060:
(1) In 40 CFR 1060.20 we give an overview of principles for
reporting information.
(2) In 40 CFR part 1060, subpart C, we identify a wide range of
information required to certify engines.
(3) In 40 CFR 1060.301 we require manufacturers to make engines or
equipment available for our testing if we make such a request.
(4) In 40 CFR 1060.505 we specify information needs for
establishing various changes to published test procedures.
(b) We specify the following requirements related to the general
[[Page 59321]]
compliance provisions in 40 CFR part 1068:
(1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
(3) In 40 CFR 1068.27 we require manufacturers to make equipment
available for our testing or inspection if we make such a request.
(4) In 40 CFR 1068.105 we require equipment manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
(5) [Reserved]
(6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
(7) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing equipment.
(8) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line products in a selective enforcement
audit.
(9) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
(10) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming equipment.
PART 1065--ENGINE-TESTING PROCEDURES
0
209. The authority citation for part 1065 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
210. Section 1065.1 is amended by revising paragraphs (a)(5) and (a)(8)
to read as follows:
Sec. 1065.1 Applicability.
(a) * * *
(5) Marine spark-ignition engines we regulate under 40 CFR part
1045. For earlier model years, manufacturers may use the test
procedures in this part or those specified in 40 CFR part 91 according
to Sec. 1065.10.
* * * * *
(8) Small nonroad spark-ignition engines we regulate under 40 CFR
part 1054 and stationary engines that are certified to the standards in
40 CFR part 1054 as specified in 40 CFR part 60, subpart JJJJ. For
earlier model years, manufacturers may use the test procedures in this
part or those specified in 40 CFR part 90 according to Sec. 1065.10.
* * * * *
Subpart B--[Amended]
0
211. Section 1065.125 is amended by revising paragraphs (b) and (c) to
read as follows:
Sec. 1065.125 Engine intake air.
* * * * *
(b) Measure temperature, humidity, and atmospheric pressure near
the entrance of the furthest upstream engine or in-use intake system
component. This would generally be near the engine's air filter, or
near the inlet to the in-use air intake system for engines that have no
air filter. For engines with multiple intakes, make measurements near
the entrance of each intake.
(1) Pressure. You may use a single shared atmospheric pressure
meter as long as your laboratory equipment for handling intake air
maintains ambient pressure at all intakes within 1 kPa of
the shared atmospheric pressure. For engines with multiple intakes with
separate atmospheric pressure measurements at each intake, use an
average value for verifying compliance to Sec. 1065.520(b)(2).
(2) Humidity. You may use a single shared humidity measurement for
intake air as long as your equipment for handling intake air maintains
dewpoint at all intakes to within 0.5 [deg]C of the shared
humidity measurement. For engines with multiple intakes with separate
humidity measurements at each intake, use a flow-weighted average
humidity for NOX corrections. If individual flows of each
intake are not measured, use good engineering judgment to estimate a
flow-weighted average humidity.
(3) Temperature. Good engineering judgment may require that you
shield the temperature sensors or move them upstream of an elbow in the
laboratory intake system to prevent measurement errors due to radiant
heating from hot engine surfaces or in-use intake system components.
You must limit the distance between the temperature sensor and the
entrance to the furthest upstream engine or in-use intake system
component to no more than 12 times the outer hydraulic diameter of the
entrance to the furthest upstream engine or in-use intake system
component. However, you may exceed this limit if you use good
engineering judgment to show that the temperature at the furthest
upstream engine or in-use intake system component meets the
specification in paragraph (c) of this section. For engines with
multiple intakes, use a flow-weighted average value to verify
compliance with the specification in paragraph (c) of this section. If
individual flows of each intake are not measured, you may use good
engineering judgment to estimate a flow-weighted average temperature.
You may also verify that each individual intake complies with the
specification in paragraph (c) of this section.
(c) Unless stated otherwise in the standard-setting part, maintain
the temperature of intake air to (25 5) [deg]C.
* * * * *
0
212. Section 1065.170 is amended by revising paragraphs (a)(2), (c)(1),
and Figure 1 to read as follows:
Sec. 1065.170 Batch sampling for gaseous and PM constituents.
* * * * *
(a) * * *
(2) You must follow the requirements in Sec. 1065.140(e)(2)
related to PM dilution ratios. For each filter, if you expect the net
PM mass on the filter to exceed 400 [mu]g, assuming a 38 mm diameter
filter stain area, you may take the following actions in sequence:
(i) For discrete-mode testing only, you may reduce sample time as
needed to target a filter loading of 400 [mu]g, but not below the
minimum sample time specified in the standard-setting part.
(ii) Reduce filter face velocity as needed to target a filter
loading of 400 [mu]g, down to 50 cm/s or less.
(iii) Increase overall dilution ratio above the values specified in
Sec. 1065.140(e)(2) to target a filter loading of 400 [mu]g.
* * * * *
(c) * * *
(1) If you use filter-based sampling media to extract and store PM
for measurement, your procedure must meet the following specifications:
(i) If you expect that a filter's total surface concentration of PM
will exceed 400 [mu]g, assuming a 38 mm diameter filter stain area, for
a given test interval, you may use filter media with a minimum initial
collection efficiency of 98%; otherwise you must use a filter media
with a minimum initial collection efficiency of 99.7%. Collection
efficiency must be measured as described in ASTM D2986-95a
(incorporated by reference in Sec. 1065.1010), though you may rely on
the sample-media manufacturer's measurements reflected in their product
ratings to show that you meet this requirement.
(ii) The filter must be circular, with an overall diameter of 46.50
0.6 mm and an exposed diameter of at least 38 mm. See the
cassette specifications in paragraph (c)(1)(vii) of this section.
[[Page 59322]]
(iii) We highly recommend that you use a pure PTFE filter material
that does not have any flow-through support bonded to the back and has
an overall thickness of 40 20 [mu]m. An inert polymer ring
may be bonded to the periphery of the filter material for support and
for sealing between the filter cassette parts. We consider
Polymethylpentene (PMP) and PTFE inert materials for a support ring,
but other inert materials may be used. See the cassette specifications
in paragraph (c)(1)(vii) of this section. We allow the use of PTFE-
coated glass fiber filter material, as long as this filter media
selection does not affect your ability to demonstrate compliance with
the applicable standards, which we base on a pure PTFE filter material.
Note that we will use pure PTFE filter material for compliance testing,
and we may require you to use pure PTFE filter material for any
compliance testing we require, such as for selective enforcement
audits.
(iv) You may request to use other filter materials or sizes under
the provisions of Sec. 1065.10.
(v) To minimize turbulent deposition and to deposit PM evenly on a
filter, use a filter holder with a 12.5[deg] (from center) divergent
cone angle to transition from the transfer-line inside diameter to the
exposed diameter of the filter face. Use 300 series stainless steel for
this transition.
(vi) Maintain a filter face velocity near 100 cm/s with less than
5% of the recorded flow values exceeding 100 cm/s, unless you expect
either the net PM mass on the filter to exceed 400 [mu]g, assuming a 38
mm diameter filter stain area. Measure face velocity as the volumetric
flow rate of the sample at the pressure upstream of the filter and
temperature of the filter face as measured in Sec. 1065.140(e),
divided by the filter's exposed area. You may use the exhaust stack or
CVS tunnel pressure for the upstream pressure if the pressure drop
through the PM sampler up to the filter is less than 2 kPa.
(vii) Use a clean cassette designed to the specifications of Figure
1 of Sec. 1065.170. In auto changer configurations, you may use
cassettes of similar design. Cassettes must be made of one of the
following materials: Delrin\TM\, 300 series stainless steel,
polycarbonate, acrylonitrile-butadiene-styrene (ABS) resin, or
conductive polypropylene. We recommend that you keep filter cassettes
clean by periodically washing or wiping them with a compatible solvent
applied using a lint-free cloth. Depending upon your cassette material,
ethanol (C2H5OH) might be an acceptable solvent.
Your cleaning frequency will depend on your engine's PM and HC
emissions.
(viii) If you keep the cassette in the filter holder after
sampling, prevent flow through the filter until either the holder or
cassette is removed from the PM sampler. If you remove the cassettes
from filter holders after sampling, transfer the cassette to an
individual container that is covered or sealed to prevent communication
of semi-volatile matter from one filter to another. If you remove the
filter holder, cap the inlet and outlet. Keep them covered or sealed
until they return to the stabilization or weighing environments.
(ix) The filters should not be handled outside of the PM
stabilization and weighing environments and should be loaded into
cassettes, filter holders, or auto changer apparatus before removal
from these environments.
* * * * *
BILLING CODE 6560-50-P
[GRAPHIC] [TIFF OMITTED] TR08OC08.079
[[Page 59323]]
0
213. Section 1065.190 is amended by revising paragraph (d)(2) to read
as follows:
Sec. 1065.190 PM-stabilization and weighing environments for
gravimetric analysis.
* * * * *
(d) * * *
(2) Dewpoint. Maintain a dewpoint of 9.5 [deg]C in both
environments. This dewpoint will control the amount of water associated
with sulfuric acid (H2SO4) PM, such that 1.2216
grams of water will be associated with each gram of
H2SO4.
* * * * *
Subpart C--[Amended]
0
214. Section 1065.205 is amended by revising Table 1 to read as
follows:
Sec. 1065.205 Performance specifications for measurement instruments.
* * * * *
[GRAPHIC] [TIFF OMITTED] TR08OC08.080
BILLING CODE 6560-50-C
0
215. Section 1065.272 is amended by revising paragraph (a) to read as
follows:
Sec. 1065.272 Nondispersive ultraviolet analyzer.
(a) Application. You may use a nondispersive ultraviolet (NDUV)
analyzer to measure NOX concentration in raw or diluted
exhaust for batch or continuous sampling. We generally accept an NDUV
for NOX measurement, even though it measures only NO and
NO2, since conventional engines and aftertreatment systems
do not emit significant amounts of other NOX species.
Measure other NOX species if required by the standard-
setting part. Note that good engineering judgment may preclude you from
using an NDUV analyzer if sampled exhaust from test engines contains
oil (or other contaminants) in sufficiently high concentrations to
interfere with proper operation.
* * * * *
Subpart D--[Amended]
0
216. Section 1065.303 is revised to read as follows:
Sec. 1065.303 Summary of required calibration and verifications
The following table summarizes the required and recommended
calibrations and verifications described in this subpart and indicates
when these have to be performed:
[[Page 59324]]
Table 1 of Sec. 1065.303--Summary of Required Calibration and
Verifications
------------------------------------------------------------------------
Type of calibration or verification Minimum frequency \a\
------------------------------------------------------------------------
Sec. 1065.305: Accuracy, Accuracy: Not required, but
repeatability and noise. recommended for initial
installation.
Repeatability: Not required,
but recommended for initial
installation.
Noise: Not required, but
recommended for initial
installation.
Speed: Upon initial
installation, within 370 days
before testing and after major
maintenance.
Torque: Upon initial
installation, within 370 days
before testing and after major
maintenance.
Electrical power: Upon initial
installation, within 370 days
before testing and after major
maintenance.
Clean gas and diluted exhaust
flows: Upon initial
installation, within 370 days
before testing and after major
maintenance, unless flow is
verified by propane check or
by carbon or oxygen balance.
Sec. 1065.307: Linearity............. Raw exhaust flow: Upon initial
installation, within 185 days
before testing and after major
maintenance, unless flow is
verified by propane check or
by carbon or oxygen balance.
Gas analyzers: Upon initial
installation, within 35 days
before testing and after major
maintenance.
PM balance: Upon initial
installation, within 370 days
before testing and after major
maintenance.
Stand-alone pressure and
temperature: Upon initial
installation, within 370 days
before testing and after major
maintenance.
Sec. 1065.308: Continuous gas Upon initial installation or
analyzer system response and updating- after system modification that
recording verification--for gas would affect response.
analyzers not continuously compensated
for other gas species.
Sec. 1065.309: Continuous gas Upon initial installation or
analyzer system-response and updating- after system modification that
recording verification--for gas would affect response.
analyzers continuously compensated for
other gas species.
Sec. 1065.310: Torque................ Upon initial installation and
after major maintenance.
Sec. 1065.315: Pressure, temperature, Upon initial installation and
dewpoint. after major maintenance.
Sec. 1065.320: Fuel flow............. Upon initial installation and
after major maintenance.
Sec. 1065.325: Intake flow........... Upon initial installation and
after major maintenance.
Sec. 1065.330: Exhaust flow.......... Upon initial installation and
after major maintenance.
Sec. 1065.340: Diluted exhaust flow Upon initial installation and
(CVS). after major maintenance.
Sec. 1065.341: CVS and batch sampler Upon initial installation,
verification \b\. within 35 days before testing,
and after major maintenance.
Sec. 1065.345: Vacuum leak........... Before each laboratory test
according to subpart F of this
part and before each field
test according to subpart J of
this part.
Sec. 1065.350: CO2 NDIR H2O Upon initial installation and
interference. after major maintenance.
Sec. 1065.355: CO NDIR CO2 and H2O Upon initial installation and
interference. after major maintenance.
Calibrate all FID analyzers:
upon initial installation and
after major maintenance.
Sec. 1065.360: FID calibration THC Optimize and determine CH4
FID optimization, and THC FID response for THC FID
verification.. analyzers: upon initial
installation and after major
maintenance.
Verify CH4 response for THC FID
analyzers: upon initial
installation, within 185 days
before testing, and after
major maintenance.
Sec. 1065.362: Raw exhaust FID O2 For all FID analyzers: upon
interference. initial installation, and
after major maintenance.
For THC FID analyzers: upon
initial installation, after
major maintenance, and after
FID optimization according to
Sec. 1065.360.
Sec. 1065.365: Nonmethane cutter Upon initial installation,
penetration. within 185 days before
testing, and after major
maintenance.
Sec. 1065.370: CLD CO2 and H2O quench Upon initial installation and
after major maintenance.
Sec. 1065.372: NDUV HC and H2O Upon initial installation and
interference. after major maintenance.
Sec. 1065.376: Chiller NO2 Upon initial installation and
penetration. after major maintenance.
Sec. 1065.378: NO2-to-NO converter Upon initial installation,
conversion. within 35 days before testing,
and after major maintenance.
Sec. 1065.390: PM balance and Independent verification: upon
weighing. initial installation, within
370 days before testing, and
after major maintenance.
Zero, span, and reference
sample verifications: within
12 hours of weighing, and
after major maintenance.
Sec. 1065.395: Inertial PM balance Independent verification: upon
and weighing. initial installation, within
370 days before testing, and
after major maintenance.
Other verifications: upon
initial installation and after
major maintenance.
------------------------------------------------------------------------
\a\ Perform calibrations and verifications more frequently, according to
measurement system manufacturer instructions and good engineering
judgment.
\b\ The CVS verification described in Sec. 1065.341 is not required
for systems that agree within 2% based on a chemical
balance of carbon or oxygen of the intake air, fuel, and diluted
exhaust.
[[Page 59325]]
0
217. Section 1065.307 is amended by revising paragraphs (e)(2) and
(e)(3) to read as follows:
Sec. 1065.307 Linearity verification.
* * * * *
(e) * * *
(2) The expression ``xmin'' refers to the reference
value used during the linearity verification that is closest to zero.
This is the value used to calculate the first tolerance in Table 1 of
this section using the intercept, a0. Note that this value
may be zero, positive, or negative depending on the reference values.
For example, if the reference values chosen to validate a pressure
transducer vary from -10 to -1 kPa, xmin is -1 kPa. If the
reference values used to validate a temperature device vary from 290 to
390 K, xmin is 290 K.
(3) The expression ``max'' generally refers to the absolute value
of the reference value used during the linearity verification that is
furthest from zero. This is the value used to scale the first and third
tolerances in Table 1 of this section using a0 and SEE. For
example, if the reference values chosen to validate a pressure
transducer vary from -10 to -1 kPa, then pmax is +10 kPa. If
the reference values used to validate a temperature device vary from
290 to 390 K, then Tmax is 390 K. For gas dividers,
xmax is the undivided, undiluted, span gas concentration.
The following are special cases where ``max'' refers to a different
value:
(i) For linearity verification with a PM balance, mmax
refers to the typical mass of a PM filter.
(ii) For linearity verification of torque, Tmax refers
to the manufacturer's specified engine torque peak value of the lowest
torque engine to be tested.
* * * * *
0
218. Section 1065.308 is revised to read as follows:
Sec. 1065.308 Continuous gas analyzer system-response and updating-
recording verification--for gas analyzers not continuously compensated
for other gas species.
(a) Scope and frequency. This section describes a verification
procedure for system response and updating-recording frequency for
continuous gas analyzers that output a gas species mole fraction (i.e.,
concentration) using a single gas detector, i.e., gas analyzers not
continuously compensated for other gas species measured with multiple
gas detectors. See Sec. 1065.309 for verification procedures that
apply to continuous gas analyzers that are continuously compensated for
other gas species measured with multiple gas detectors. Perform this
verification to determine the system response of the continuous gas
analyzer and its sampling system. This verification is required for
continuous gas analyzers used for transient or ramped-modal testing.
You need not perform this verification for batch gas analyzer systems
or for continuous gas analyzer systems that are used only for discrete-
mode testing. Perform this verification after initial installation
(i.e., test cell commissioning) and after any modifications to the
system that would change system response. For example, perform this
verification if you add a significant volume to the transfer lines by
increasing their length or adding a filter; or if you reduce the
frequency at which the gas analyzer updates its output or the frequency
at which you sample and record gas-analyzer concentrations.
(b) Measurement principles. This test verifies that the updating
and recording frequencies match the overall system response to a rapid
change in the value of concentrations at the sample probe. Gas
analyzers and their sampling systems must be optimized such that their
overall response to a rapid change in concentration is updated and
recorded at an appropriate frequency to prevent loss of information.
This test also verifies that the measurement system meets a minimum
response time. You may use the results of this test to determine
transformation time, t50, for the purposes of time alignment
of continuous data in accordance with Sec. 1065.650(c)(2)(i). You may
also use an alternate procedure to determine t50 in
accordance with good engineering judgment. Note that any such procedure
for determining t50 must account for both transport delay
and analyzer response time.
(c) System requirements. Demonstrate that each continuous analyzer
has adequate update and recording frequencies and has a minimum rise
time and a minimum fall time during a rapid change in gas
concentration. You must meet one of the following criteria:
(1) The product of the mean rise time, t10-90, and the
frequency at which the system records an updated concentration must be
at least 5, and the product of the mean fall time, t90-10,
and the frequency at which the system records an updated concentration
must be at least 5. If the recording frequency is different than the
analyzer's output update frequency, you must use the lower of these two
frequencies for this verification, which is referred to as the
updating-recording frequency. This verification applies to the nominal
updating and recording frequencies. This criterion makes no assumption
regarding the frequency content of changes in emission concentrations
during emission testing; therefore, it is valid for any testing. Also,
the mean rise time must be at or below 10 seconds and the mean fall
time must be at or below 10 seconds.
(2) The frequency at which the system records an updated
concentration must be at least 5 Hz. This criterion assumes that the
frequency content of significant changes in emission concentrations
during emission testing do not exceed 1 Hz. Also, the mean rise time
must be at or below 10 seconds and the mean fall time must be at or
below 10 seconds.
(3) You may use other criteria if we approve the criteria in
advance.
(4) You may meet the overall PEMS verification in Sec. 1065.920
instead of the verification in this section for field testing with
PEMS.
(d) Procedure. Use the following procedure to verify the response
of each continuous gas analyzer:
(1) Instrument setup. Follow the analyzer manufacturer's start-up
and operating instructions. Adjust the measurement system as needed to
optimize performance. Run this verification with the analyzer operating
in the same manner you will use for emission testing. If the analyzer
shares its sampling system with other analyzers, and if gas flow to the
other analyzers will affect the system response time, then start up and
operate the other analyzers while running this verification test. You
may run this verification test on multiple analyzers sharing the same
sampling system at the same time. If you use any analog or real-time
digital filters during emission testing, you must operate those filters
in the same manner during this verification.
(2) Equipment setup. We recommend using minimal lengths of gas
transfer lines between all connections and fast-acting three-way valves
(2 inlets, 1 outlet) to control the flow of zero and blended span gases
to the sample system's probe inlet or a tee near the outlet of the
probe. Normally the gas flow rate is higher than the probe sample flow
rate and the excess is overflowed out the inlet of the probe. If the
gas flow rate is lower than the probe flow rate, the gas concentrations
must be adjusted to account for the dilution from ambient air drawn
into the probe. Select span gases for the species being measured. You
may use binary or multi-gas span gases. You may use a gas blending or
mixing device to blend span gases. A gas blending or mixing device is
recommended when blending span gases diluted in N2 with span
gases diluted in air. You may use a multi-gas
[[Page 59326]]
span gas, such as NO-CO-CO2-C3H8-
CH4, to verify multiple analyzers at the same time. If you
use standard binary span gases, you must run separate response tests
for each analyzer. In designing your experimental setup, avoid pressure
pulsations due to stopping the flow through the gas-blending device.
(3) Data collection. (i) Start the flow of zero gas.
(ii) Allow for stabilization, accounting for transport delays and
the slowest analyzer's full response.
(iii) Start recording data. For this verification you must record
data at a frequency greater than or equal to that of the updating-
recording frequency used during emission testing. You may not use
interpolation or filtering to alter the recorded values.
(iv) Switch the flow to allow the blended span gases to flow to the
analyzer. If you intend to use the data from this test to determine
t50 for time alignment, record this time as t0.
(v) Allow for transport delays and the slowest analyzer's full
response.
(vi) Switch the flow to allow zero gas to flow to the analyzer. If
you intend to use the data from this test to determine t50
for time alignment, record this time as t100.
(vii) Allow for transport delays and the slowest analyzer's full
response.
(viii) Repeat the steps in paragraphs (d)(3)(iv) through (vii) of
this section to record seven full cycles, ending with zero gas flowing
to the analyzers.
(ix) Stop recording.
(e) Performance evaluation. (1) If you choose to demonstrate
compliance with paragraph (c)(1) of this section, use the data from
paragraph (d)(3) of this section to calculate the mean rise time,
t10-90, and mean fall time, t90-10, for each of
the analyzers being verified. You may use interpolation between
recorded values to determine rise and fall times. If the recording
frequency used during emission testing is different from the analyzer's
output update frequency, you must use the lower of these two
frequencies for this verification. Multiply these times (in seconds) by
their respective updating-recording frequencies in Hertz (1/second).
The resulting product must be at least 5 for both rise time and fall
time. If either value is less than 5, increase the updating-recording
frequency, or adjust the flows or design of the sampling system to
increase the rise time and fall time as needed. You may also configure
analog or digital filters before recording to increase rise and fall
times. In no case may the mean rise time or mean fall time be greater
than 10 seconds.
(2) If a measurement system fails the criterion in paragraph (e)(1)
of this section, ensure that signals from the system are updated and
recorded at a frequency of at least 5 Hz. In no case may the mean rise
time or mean fall time be greater than 10 seconds.
(3) If a measurement system fails the criteria in paragraphs (e)(1)
and (2) of this section, you may use the measurement system only if the
deficiency does not adversely affect your ability to show compliance
with the applicable standards.
(f) Transformation time, t50, determination. If you
choose to determine t50 for purposes of time alignment using
data generated in paragraph (d)(3) of this section, calculate the mean
t0-50 and the mean t100-50 from the recorded
data. Average these two values to determine the final t50
for the purposes of time alignment in accordance with Sec.
1065.650(c)(2)(i).
0
219. Section 1065.309 is revised to read as follows:
Sec. 1065.309 Continuous gas analyzer system-response and updating-
recording verification--for gas analyzers continuously compensated for
other gas species.
(a) Scope and frequency. This section describes a verification
procedure for system response and updating-recording frequency for
continuous gas analyzers that output a single gas species mole fraction
(i.e., concentration) based on a continuous combination of multiple gas
species measured with multiple detectors (i.e., gas analyzers
continuously compensated for other gas species). See Sec. 1065.308 for
verification procedures that apply to continuous gas analyzers that are
not continuously compensated for other gas species or that use only one
detector for gaseous species. Perform this verification to determine
the system response of the continuous gas analyzer and its sampling
system. This verification is required for continuous gas analyzers used
for transient or ramped-modal testing. You need not perform this
verification for batch gas analyzers or for continuous gas analyzers
that are used only for discrete-mode testing. For this check we
consider water vapor a gaseous constituent. This verification does not
apply to any processing of individual analyzer signals that are time
aligned to their t50 times and were verified according to
Sec. 1065.308. For example, this verification does not apply to
correction for water removed from the sample done in post-processing
according to Sec. 1065.659 and it does not apply to NMHC determination
from THC and CH4 according to Sec. 1065.660. Perform this
verification after initial installation (i.e., test cell commissioning)
and after any modifications to the system that would change the system
response.
(b) Measurement principles. This procedure verifies that the
updating and recording frequencies match the overall system response to
a rapid change in the value of concentrations at the sample probe. It
indirectly verifies the time-alignment and uniform response of all the
continuous gas detectors used to generate a continuously combined/
compensated concentration measurement signal. Gas analyzer systems must
be optimized such that their overall response to rapid change in
concentration is updated and recorded at an appropriate frequency to
prevent loss of information. This test also verifies that the
measurement system meets a minimum response time. For this procedure,
ensure that all compensation algorithms and humidity corrections are
turned on. You may use the results of this test to determine
transformation time, t50, for the purposes of time alignment
of continuous data in accordance with Sec. 1065.650(c)(2)(i). You may
also use an alternate procedure to determine t50 consistent
with good engineering judgment. Note that any such procedure for
determining t50 must account for both transport delay and
analyzer response time.
(c) System requirements. Demonstrate that each continuously
combined/compensated concentration measurement has adequate updating
and recording frequencies and has a minimum rise time and a minimum
fall time during a system response to a rapid change in multiple gas
concentrations, including H2O concentration if
H2O compensation is applied. You must meet one of the
following criteria:
(1) The product of the mean rise time, t10-90, and the
frequency at which the system records an updated concentration must be
at least 5, and the product of the mean fall time, t90-10,
and the frequency at which the system records an updated concentration
must be at least 5. If the recording frequency is different than the
update frequency of the continuously combined/compensated signal, you
must use the lower of these two frequencies for this verification. This
criterion makes no assumption regarding the frequency content of
changes in emission concentrations during emission testing; therefore,
it is valid for any testing. Also, the mean rise time must be at or
below 10 seconds and the mean fall time must be at or below 10 seconds.
(2) The frequency at which the system records an updated
concentration must be at least 5 Hz. This criterion assumes that the
frequency content of significant
[[Page 59327]]
changes in emission concentrations during emission testing do not
exceed 1 Hz. Also, the mean rise time must be at or below 10 seconds
and the mean fall time must be at or below 10 seconds.
(3) You may use other criteria if we approve them in advance.
(4) You may meet the overall PEMS verification in Sec. 1065.920
instead of the verification in this section for field testing with
PEMS.
(d) Procedure. Use the following procedure to verify the response
of each continuously compensated analyzer (verify the combined signal,
not each individual continuously combined concentration signal):
(1) Instrument setup. Follow the analyzer manufacturer's start-up
and operating instructions. Adjust the measurement system as needed to
optimize performance. Run this verification with the analyzer operating
in the same manner you will use for emission testing. If the analyzer
shares its sampling system with other analyzers, and if gas flow to the
other analyzers will affect the system response time, then start up and
operate the other analyzers while running this verification test. You
may run this verification test on multiple analyzers sharing the same
sampling system at the same time. If you use any analog or real-time
digital filters during emission testing, you must operate those filters
in the same manner during this verification.
(2) Equipment setup. We recommend using minimal lengths of gas
transfer lines between all connections and fast-acting three-way valves
(2 inlets, 1 outlet) to control the flow of zero and blended span gases
to the sample system's probe inlet or a tee near the outlet of the
probe. Normally the gas flow rate is higher than the probe sample flow
rate and the excess is overflowed out the inlet of the probe. If the
gas flow rate is lower than the probe flow rate, the gas concentrations
must be adjusted to account for the dilution from ambient air drawn
into the probe. Select span gases for the species being continuously
combined, other than H2O. Select concentrations of
compensating species that will yield concentrations of these species at
the analyzer inlet that covers the range of concentrations expected
during testing. You may use binary or multi-gas span gases. You may use
a gas blending or mixing device to blend span gases. A gas blending or
mixing device is recommended when blending span gases diluted in
N2 with span gases diluted in air. You may use a multi-gas
span gas, such as NO-CO-CO2-C3H8-
CH4, to verify multiple analyzers at the same time. In
designing your experimental setup, avoid pressure pulsations due to
stopping the flow through the gas blending device. If H2O
correction is applicable, then span gases must be humidified before
entering the analyzer; however, you may not humidify NO2
span gas by passing it through a sealed humidification vessel that
contains water. You must humidify NO2 span gas with another
moist gas stream. We recommend humidifying your NO-CO-CO2-
C3H8-CH4, balance N2
blended gas by flowing the gas mixture through a sealed vessel that
humidifies the gas by bubbling it through distilled water and then
mixing the gas with dry NO2 gas, balance purified synthetic
air. If your system does not use a sample dryer to remove water from
the sample gas, you must humidify your span gas to the highest sample
H2O content that you estimate during emission sampling. If
your system uses a sample dryer during testing, it must pass the sample
dryer verification check in Sec. 1065.342, and you must humidify your
span gas to an H2O content greater than or equal to the
level determined in Sec. 1065.145(d)(2). If you are humidifying span
gases without NO2, use good engineering judgment to ensure
that the wall temperatures in the transfer lines, fittings, and valves
from the humidifying system to the probe are above the dewpoint
required for the target H2O content. If you are humidifying
span gases with NO2, use good engineering judgment to ensure
that there is no condensation in the transfer lines, fittings, or
valves from the point where humidified gas is mixed with NO2
span gas to the probe. We recommend that you design your setup so that
the wall temperatures in the transfer lines, fittings, and valves from
the humidifying system to the probe are at least 5 [deg]C above the
local sample gas dewpoint. Operate the measurement and sample handling
system as you do for emission testing. Make no modifications to the
sample handling system to reduce the risk of condensation. Flow
humidified gas through the sampling system before this check to allow
stabilization of the measurement system's sampling handling system to
occur, as it would for an emission test.
(3) Data collection. (i) Start the flow of zero gas.
(ii) Allow for stabilization, accounting for transport delays and
the slowest analyzer's full response.
(iii) Start recording data. For this verification you must record
data at a frequency greater than or equal to that of the updating-
recording frequency used during emission testing. You may not use
interpolation or filtering to alter the recorded values.
(iv) Switch the flow to allow the blended span gases to flow to the
analyzer. If you intend to use the data from this test to determine
t50 for time alignment, record this time as t0.
(v) Allow for transport delays and the slowest analyzer's full
response.
(vi) Switch the flow to allow zero gas to flow to the analyzer. If
you intend to use the data from this test to determine t50
for time alignment, record this time as t100.
(vii) Allow for transport delays and the slowest analyzer's full
response.
(viii) Repeat the steps in paragraphs (d)(3)(iv) through (vii) of
this section to record seven full cycles, ending with zero gas flowing
to the analyzers.
(ix) Stop recording.
(e) Performance evaluations. (1) If you choose to demonstrate
compliance with paragraph (c)(1) of this section, use the data from
paragraph (d)(3) of this section to calculate the mean rise time,
t10-90, and mean fall time, t90-10, for the
continuously combined signal from each analyzer being verified. You may
use interpolation between recorded values to determine rise and fall
times. If the recording frequency used during emission testing is
different from the analyzer's output update frequency, you must use the
lower of these two frequencies for this verification. Multiply these
times (in seconds) by their respective updating-recording frequencies
in Hz (1/second). The resulting product must be at least 5 for both
rise time and fall time. If either value is less than 5, increase the
updating-recording frequency or adjust the flows or design of the
sampling system to increase the rise time and fall time as needed. You
may also configure analog or digital filters before recording to
increase rise and fall times. In no case may the mean rise time or mean
fall time be greater than 10 seconds.
(2) If a measurement system fails the criterion in paragraph (e)(1)
of this section, ensure that signals from the system are updated and
recorded at a frequency of at least 5 Hz. In no case may the mean rise
time or mean fall time be greater than 10 seconds.
(3) If a measurement system fails the criteria in paragraphs (e)(1)
and (2) of this section, you may use the measurement system only if the
deficiency does not adversely affect your ability to show compliance
with the applicable standards.
(f) Transformation time, t50, determination. If you
choose to determine t50 for purposes of time alignment using
data generated in paragraph (d)(3) of this section,
[[Page 59328]]
calculate the mean t0-50 and the mean t100-50
from the recorded data. Average these two values to determine the final
t50 for the purposes of time alignment in accordance with
Sec. 1065.650(c)(2)(i).
0
220. Section 1065.341 is amended by revising paragraph (d)(4) to read
as follows:
Sec. 1065.341 CVS and batch sampler verification (propane check).
* * * * *
(d) * * *
(4) Overflow zero air at the HC probe inlet or into a tee near the
outlet of the probe.
* * * * *
0
221. Section 1065.342 is amended by revising paragraphs (d) and (e) to
read as follows:
Sec. 1065.342 Sample dryer verification.
* * * * *
(d) Sample dryer verification procedure. Use the following method
to determine sample dryer performance. Run this verification with the
dryer and associated sampling system operating in the same manner you
will use for emission testing (including operation of sample pumps).
You may run this verification test on multiple sample dryers sharing
the same sampling system at the same time. You may run this
verification on the sample dryer alone, but you must use the maximum
gas flow rate expected during testing. You may use good engineering
judgment to develop a different protocol.
(1) Use PTFE or stainless steel tubing to make necessary
connections.
(2) Humidify room air, N2, or purified air by bubbling
it through distilled water in a sealed vessel that humidifies the gas
to the highest sample water content that you estimate during emission
sampling.
(3) Introduce the humidified gas upstream of the sample dryer. You
may disconnect the transfer line from the probe and introduce the
humidified gas at the inlet of the transfer line of the sample system
used during testing. You may use the sample pumps in the sample system
to draw gas through the vessel.
(4) Maintain the sample lines, fittings, and valves from the
location where the humidified gas water content is measured to the
inlet of the sampling system at a temperature at least 5 [deg]C above
the local humidified gas dewpoint. For dryers used in NOX
sample systems, verify the sample system components used in this
verification prevent aqueous condensation as required in Sec.
1065.145(c)(1)(i). We recommend that the sample system components be
maintained at least 5 [deg]C above the local humidified gas dewpoint to
prevent aqueous condensation.
(5) Measure the humidified gas dewpoint, Tdew, and
absolute pressure, ptotal, as close as possible to the inlet
of the sample dryer or inlet of the sample system to verify the water
content is at least as high as the highest value that you estimated
during emission sampling. You may verify the water content based on any
humidity parameter (e.g. mole fraction water, local dewpoint, or
absolute humidity).
(6) Measure the humidified gas dewpoint, Tdew, and
absolute pressure, ptotal, as close as possible to the
outlet of the sample dryer. Note that the dewpoint changes with
absolute pressure. If the dewpoint at the sample dryer outlet is
measured at a different pressure, then this reading must be corrected
to the dewpoint at the sample dryer absolute pressure,
ptotal.
(7) The sample dryer meets the verification if the dewpoint at the
sample dryer pressure as measured in paragraph (d)(6) of this section
is less than the dewpoint corresponding to the sample dryer
specifications as determined in Sec. 1065.145(d)(2) plus 2 [deg]C or
if the mole fraction of water as measured in (d)(6) is less than the
corresponding sample dryer specifications plus 0.002 mol/mol.
(e) Alternate sample dryer verification procedure. The following
method may be used in place of the sample dryer verification procedure
in (d) of this section. If you use a humidity sensor for continuous
monitoring of dewpoint at the sample dryer outlet you may skip the
performance check in Sec. 1065.342(d), but you must make sure that the
dryer outlet humidity is at or below the minimum value used for quench,
interference, and compensation checks.
0
222. Section 1065.345 is amended by revising paragraph (d)(3) to read
as follows:
Sec. 1065.345 Vacuum-side leak verification.
* * * * *
(d) * * *
(3) Route overflow span gas to the inlet of the sample probe or at
a tee fitting in the transfer line near the exit of the probe. You may
use a valve upstream of the overflow fitting to prevent overflow of
span gas out of the inlet of the probe, but you must then provide an
overflow vent in the overflow supply line.
* * * * *
0
223. Section 1065.350 is amended by revising paragraphs (d)(4) and
(d)(5) to read as follows:
Sec. 1065.350 H2O interference verification for
CO2 NDIR analyzers.
* * * * *
(d) * * *
(4) Measure the water mole fraction, xH2O, of the
humidified test gas, as close as possible to the inlet of the analyzer.
For example, measure dewpoint, Tdew, and absolute pressure,
ptotal, to calculate xH2O.
(5) Use good engineering judgment to prevent condensation in the
transfer lines, fittings, or valves from the point where
xH2O is measured to the analyzer. We recommend that you
design your system so the wall temperatures in the transfer lines,
fittings, and valves from the point where xH2O is measured
to the analyzer are at least 5 [deg]C above the local sample gas
dewpoint.
* * * * *
0
224. Section 1065.355 is amended by revising paragraphs (d)(4) and
(d)(5) to read as follows:
Sec. 1065.355 H2O and CO2 interference
verification for CO NDIR analyzers.
* * * * *
(d) * * *
(4) Measure the water mole fraction, xH2O, of the
humidified CO2 test gas as close as possible to the inlet of
the analyzer. For example, measure dewpoint, Tdew, and
absolute pressure, ptotal, to calculate xH2O.
(5) Use good engineering judgment to prevent condensation in the
transfer lines, fittings, or valves from the point where
xH2O is measured to the analyzer. We recommend that you
design your system so the wall temperatures in the transfer lines,
fittings, and valves from the point where xH2O is measured
to the analyzer are at least 5 [deg]C above the local sample gas
dewpoint.
* * * * *
0
225. Section 1065.370 is revised to read as follows:
Sec. 1065.370 CLD CO2 and H2O quench
verification.
(a) Scope and frequency. If you use a CLD analyzer to measure
NOX, verify the amount of H2O and CO2
quench after installing the CLD analyzer and after major maintenance.
(b) Measurement principles. H2O and CO2 can
negatively interfere with a CLD's NOX response by
collisional quenching, which inhibits the chemiluminescent reaction
that a CLD utilizes to detect NOX. This procedure and the
calculations in Sec. 1065.675 determine quench and scale the quench
results to the maximum mole fraction of
[[Page 59329]]
H2O and the maximum CO2 concentration expected
during emission testing. If the CLD analyzer uses quench compensation
algorithms that utilize H2O and/or CO2
measurement instruments, evaluate quench with these instruments active
and evaluate quench with the compensation algorithms applied.
(c) System requirements. A CLD analyzer must have a combined
H2O and CO2 quench of 3% or less,
though we strongly recommend a quench of 1% or less.
Combined quench is the sum of the CO2 quench determined as
described in paragraph (d) of this section, plus the H2O
quench determined in paragraph (e) of this section.
(d) CO2 quench verification procedure. Use the following
method to determine CO2 quench by using a gas divider that
blends binary span gases with zero gas as the diluent and meets the
specifications in Sec. 1065.248, or use good engineering judgment to
develop a different protocol:
(1) Use PTFE or stainless steel tubing to make necessary
connections.
(2) Configure the gas divider such that nearly equal amounts of the
span and diluent gases are blended with each other.
(3) If the CLD analyzer has an operating mode in which it detects
NO-only, as opposed to total NOX, operate the CLD analyzer
in the NO-only operating mode.
(4) Use a CO2 span gas that meets the specifications of
Sec. 1065.750 and a concentration that is approximately twice the
maximum CO2 concentration expected during emission testing.
(5) Use an NO span gas that meets the specifications of Sec.
1065.750 and a concentration that is approximately twice the maximum NO
concentration expected during emission testing.
(6) Zero and span the CLD analyzer. Span the CLD analyzer with the
NO span gas from paragraph (d)(5) of this section through the gas
divider. Connect the NO span gas to the span port of the gas divider;
connect a zero gas to the diluent port of the gas divider; use the same
nominal blend ratio selected in paragraph (d)(2) of this section; and
use the gas divider's output concentration of NO to span the CLD
analyzer. Apply gas property corrections as necessary to ensure
accurate gas division.
(7) Connect the CO2 span gas to the span port of the gas
divider.
(8) Connect the NO span gas to the diluent port of the gas divider.
(9) While flowing NO and CO2 through the gas divider,
stabilize the output of the gas divider. Determine the CO2
concentration from the gas divider output, applying gas property
correction as necessary to ensure accurate gas division. Record this
concentration, xCO2act, and use it in the quench
verification calculations in Sec. 1065.675. Alternatively, you may use
a simple gas blending device and use an NDIR to determine this
CO2 concentration. If you use an NDIR, it must meet the
requirements of this part for laboratory testing and you must span it
with the CO2 span gas from paragraph (d)(4) of this section.
(10) Measure the NO concentration downstream of the gas divider
with the CLD analyzer. Allow time for the analyzer response to
stabilize. Stabilization time may include time to purge the transfer
line and to account for analyzer response. While the analyzer measures
the sample's concentration, record the analyzer's output for 30
seconds. Calculate the arithmetic mean concentration from these data,
xNOmeas. Record xNOmeas, and use it in the quench
verification calculations in Sec. 1065.675.
(11) Calculate the actual NO concentration at the gas divider's
outlet, xNOact, based on the span gas concentrations and
xCO2act according to Equation 1065.675-2. Use the calculated
value in the quench verification calculations in Equation 1065.675-1.
(12) Use the values recorded according to this paragraph (d) and
paragraph (e) of this section to calculate quench as described in Sec.
1065.675.
(e) H2O quench verification procedure. Use the following
method to determine H2O quench, or use good engineering
judgment to develop a different protocol:
(1) Use PTFE or stainless steel tubing to make necessary
connections.
(2) If the CLD analyzer has an operating mode in which it detects
NO-only, as opposed to total NOX, operate the CLD analyzer
in the NO-only operating mode.
(3) Use an NO span gas that meets the specifications of Sec.
1065.750 and a concentration that is near the maximum concentration
expected during emission testing.
(4) Zero and span the CLD analyzer. Span the CLD analyzer with the
NO span gas from paragraph (e)(3) of this section, record the span gas
concentration as xNOdry, and use it in the quench
verification calculations in Sec. 1065.675.
(5) Humidify the NO span gas by bubbling it through distilled water
in a sealed vessel. If the humidified NO span gas sample does not pass
through a sample dryer for this verification test, control the vessel
temperature to generate an H2O level approximately equal to
the maximum mole fraction of H2O expected during emission
testing. If the humidified NO span gas sample does not pass through a
sample dryer, the quench verification calculations in Sec. 1065.675
scale the measured H2O quench to the highest mole fraction
of H2O expected during emission testing. If the humidified
NO span gas sample passes through a dryer for this verification test,
control the vessel temperature to generate an H2O level at
least as high as the level determined in Sec. 1065.145(d)(2). For this
case, the quench verification calculations in Sec. 1065.675 do not
scale the measured H2O quench.
(6) Introduce the humidified NO test gas into the sample system.
You may introduce it upstream or downstream of any sample dryer that is
used during emission testing. Note that the sample dryer must meet the
sample dryer verification check in Sec. 1065.342.
(7) Measure the mole fraction of H2O in the humidified
NO span gas downstream of the sample dryer, xH2Omeas. We
recommend that you measure xH2Omeas as close as possible to
the CLD analyzer inlet. You may calculate xH2Omeas from
measurements of dew point, Tdew, and absolute pressure,
ptotal.
(8) Use good engineering judgment to prevent condensation in the
transfer lines, fittings, or valves from the point where
xH2Omeas is measured to the analyzer. We recommend that you
design your system so the wall temperatures in the transfer lines,
fittings, and valves from the point where xH2Omeas is
measured to the analyzer are at least 5 [deg]C above the local sample
gas dew point.
(9) Measure the humidified NO span gas concentration with the CLD
analyzer. Allow time for the analyzer response to stabilize.
Stabilization time may include time to purge the transfer line and to
account for analyzer response. While the analyzer measures the sample's
concentration, record the analyzer's output for 30 seconds. Calculate
the arithmetic mean of these data, xNOwet. Record
xNOwet and use it in the quench verification calculations in
Sec. 1065.675.
(f) Corrective action. If the sum of the H2O quench plus
the CO2 quench is less than -2% or greater than +2%, take
corrective action by repairing or replacing the analyzer. Before
running emission tests, verify that the corrective action successfully
restored the analyzer to proper functioning.
(g) Exceptions. The following exceptions apply:
(1) You may omit this verification if you can show by engineering
analysis
[[Page 59330]]
that for your NOX sampling system and your emission
calculations procedures, the combined CO2 and H2O
interference for your NOX CLD analyzer always affects your
brake-specific NOX emission results within no more than
1.0% of the applicable NO