Proposed Rule: Air Pollution Control: Nonroad Spark-Ignition Engines and Equipment Emissions Control

Friday,
May 18, 2007
Part II
Environmental
Protection Agency
40 CFR Parts 60, 63, et al.
Control of Emissions from Nonroad
Spark-Ignition Engines and Equipment;
Proposed Rule
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28098 Federal Register / Vol. 72, No. 96 / Friday, May 18, 2007 / Proposed Rules
ENVIRONMENTAL PROTECTION DATES: Comments: Comments must be comment due to technical difficulties
AGENCY received on or before August 3, 2007. and cannot contact you for clarification,
Under the Paperwork Reduction Act, EPA may not be able to consider your
40 CFR Parts 60, 63, 85, 89, 90, 91, comments on the information collection comment. Electronic files should avoid
1027, 1045, 1048, 1051, 1054, 1060, provisions must be received by OMB on the use of special characters, any form
1065, 1068, and 1074 or before June 18, 2007. of encryption, and be free of any defects
ADDRESSES: Submit your comments, or viruses. For additional instructions
[EPA–HQ–OAR–2004–0008; FRL–8303–7] identified by Docket No. EPA–HQ– on submitting comments, go to Unit XIII
OAR–2004–0008, by one of the of the SUPPLEMENTARY INFORMATION
RIN 2060–AM34 following methods: section of this document.
www.regulations.gov: Follow the on- Docket: All documents in the docket
Control of Emissions from Nonroad are listed in the www.regulations.gov
line instructions for submitting
Spark-Ignition Engines and Equipment index. Although listed in the index,
comments.
AGENCY: Environmental Protection E-mail: a-and-r-docket@epa.gov. some information is not publicly
Agency (EPA). Fax: (202) 260–4400. available, such as CBI or other
Mail: Environmental Protection information whose disclosure is
ACTION: Proposed rule.
Agency, Air Docket, Mail-code 6102T, restricted by statute. Certain other
SUMMARY: We are proposing emission 1200 Pennsylvania Ave., NW., material, such as copyrighted material,
standards for new nonroad spark- Washington, DC 20460. In addition, will be publicly available only in hard
ignition engines that will substantially please mail a copy of your comments on copy. Publicly available docket
reduce emissions from these engines. the information collection provisions to materials are available either
The proposed exhaust emission the Office of Information and Regulatory electronically in www.regulations.gov or
standards would apply in 2009 for new Affairs, Office of Management and in hard copy at the ‘‘Control of
marine spark-ignition engines, Budget (OMB), Attn: Desk Officer for Emissions from Nonroad Spark-Ignition
including first-time EPA standards for EPA, 725 17th St., NW., Washington, DC Engines, Vessels and Equipment’’
sterndrive and inboard engines. The 20503. Docket, EPA/DC, EPA West, Room 3334,
proposed exhaust emission standards Hand Delivery: EPA Docket Center 1301 Constitution Ave., NW.,
would apply starting in 2011 and 2012 (EPA/DC), EPA West, Room 3334, 1301 Washington, DC. The Public Reading
for different sizes of new land-based, Constitution Ave., NW., Washington, Room is open from 8:30 a.m. to 4:30
spark-ignition engines at or below 19 DC, Attention Docket No. EPA–HQ– p.m., Monday through Friday, excluding
kilowatts (kW). These small engines are OAR–2004–0008. Such deliveries are legal holidays. The telephone number
used primarily in lawn and garden accepted only during the Docket’s for the Public Reading Room is (202)
applications. We are also proposing normal hours of operation, special 566–1744 and the telephone number for
evaporative emission standards for arrangements should be made for the ‘‘Control of Emissions from Nonroad
vessels and equipment using any of deliveries of boxed information. Spark-Ignition Engines, Vessels, and
these engines. In addition, we are Instructions: Direct your comments to Equipment’’ Docket is (202) 566–1742.
making other minor amendments to our Docket ID No. EPA–HQ–OAR–2004– Hearing: A hearing will be held at
regulations. We estimate that by 2030, 0008. EPA’s policy is that all comments 9:30 a.m. on Tuesday, June 5, 2007 at
the proposed standards would result in received will be included in the public the Sheraton Reston Hotel. The hotel is
significant annual reductions of docket without change and may be located at 11810 Sunrise Valley Drive in
pollutant emissions from regulated made available online at Reston, Virginia; their phone number is
engine and equipment sources www.regulations.gov, including any 703–620–9000. For more information on
nationwide, including 631,000 tons of personal information provided, unless these hearings or to request to speak, see
volatile organic hydrocarbon emissions, the comment includes information Section XIII.
98,200 tons of NOX emissions, and claimed to be Confidential Business FOR FURTHER INFORMATION CONTACT:
6,300 tons of direct particulate matter Information (CBI) or other information Carol Connell, Environmental
(PM2.5) emissions. These reductions whose disclosure is restricted by statute. Protection Agency, Office of
correspond to significant reductions in Do not submit information that you Transportation and Air Quality,
the formation of ground-level ozone. We consider to be CBI or otherwise Assessment and Standards Division,
also expect to see annual reductions of protected through www.regulations.gov 2000 Traverwood Drive, Ann Arbor,
2,690,000 tons of carbon monoxide or e-mail. The www.regulations.gov Web Michigan 48105; telephone number:
emissions, with the greatest reductions site is an ‘‘anonymous access’’ system, 734–214–4349; fax number: 734–214–
in areas where there have been which means EPA will not know your 4050; e-mail address:
problems with individual exposures. identity or contact information unless connell.carol@epa.gov.
The requirements in this proposal you provide it in the body of your SUPPLEMENTARY INFORMATION:
would result in substantial benefits to comment. If you send an e-mail
public health and welfare and the comment directly to EPA without going Does This Action Apply to Me?
environment. We estimate that by 2030, through www.regulations.gov, your e- This action will affect you if you
on an annual basis, these emission mail address will be automatically produce or import new spark-ignition
reductions would prevent 450 PM- captured and included as part of the engines intended for use in marine
related premature deaths, approximately comment that is placed in the public vessels or in new vessels using such
500 hospitalizations, 52,000 work days docket and made available on the engines. This action will also affect you
lost, and other quantifiable benefits Internet. If you submit an electronic if you produce or import new spark-
every year. The total estimated annual comment, EPA recommends that you ignition engines below 19 kilowatts
benefits of this rule in 2030 are include your name and other contact used in nonroad equipment, including
approximately $3.4 billion. Estimated information in the body of your agricultural and construction
costs in 2030 are many times less at comment and with any disk or CD–ROM equipment, or produce or import such
approximately $240 million. you submit. If EPA cannot read your nonroad vehicles.
Federal Register / Vol. 72, No. 96 / Friday, May 18, 2007 / Proposed Rules 28099
The following table gives some regulations. Note that we are proposing questions, call the person listed in the
examples of entities that may have to minor changes in the regulations that FOR FURTHER INFORMATION CONTACT
follow the regulations; however, since apply to a wide range of products that section of this preamble:
these are only examples, you should may not be reflected in the following
carefully examine the proposed table (see Section XI). If you have
Category NAICS codes a SIC codes b Examples of potentially regulated entities
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, 3732 Manufacturers of marine vessels.
Industry 811112, 811198 7533, 7549 Commercial importers of vehicles and vehicle components.
a North American Industry Classification System (NAICS).
b Standard Industrial Classification (SIC) system code.
What Should I Consider as I Prepare • Make sure to submit your H. Technological Feasibility
My Comments for EPA? comments by the comment period VII. General Concepts Related to Certification
deadline identified. and Other Requirements
Submitting CBI. Do not submit this A. Scope of Application
information to EPA through Table of Contents B. Emission Standards and Testing
www.regulations.gov or e-mail. Clearly I. Introduction C. Demonstrating Compliance
mark the part or all of the information A. Overview D. Other Concepts
that you claim to be CBI. For CBI B. Why Is EPA Taking This Action? VIII. General Nonroad Compliance Provisions
information in a disk or CD ROM that C. What Regulations Currently Apply to A. Miscellaneous Provisions (Part 1068,
you mail to EPA, mark the outside of the Nonroad Engines or Vehicles? subpart A)
D. Putting This Proposal into Perspective B. Prohibited Acts and Related
disk or CD ROM as CBI and then Requirements (Part 1068, subpart B)
E. What Requirements Are We Proposing?
identify electronically within the disk or F. How Is This Document Organized? C. Exemptions (Part 1068, subpart C)
CD ROM the specific information that is II. Public Health and Welfare Effects D. Imports (Part 1068, subpart D)
claimed as CBI. In addition to one A. Ozone E. Selective Enforcement Audit (Part 1068,
complete version of the comment that B. Particulate Matter subpart E)
includes information claimed as CBI, a C. Air Toxics F. Defect Reporting and Recall (Part 1068,
copy of the comment that does not D. Carbon Monoxide subpart F)
contain the information claimed as CBI III. Sterndrive and Inboard Marine Engines G. Hearings (Part 1068, subpart G)
must be submitted for inclusion in the A. Overview IX. General Test Procedures
B. Engines Covered by This Rule A. Overview
public docket. Information so marked C. Proposed Exhaust Emission Standards B. Special Provisions for Nonroad Spark-
will not be disclosed except in D. Test Procedures for Certification Ignition Engines
accordance with procedures set forth in E. Additional Certification and Compliance X. Energy, Noise, and Safety
40 CFR part 2. Provisions A. Safety
Tips for Preparing Your Comments. F. Small-Business Provisions B. Noise
When submitting comments, remember G. Technological Feasibility C. Energy
IV. Outboard and Personal Watercraft XI. Proposals Affecting Other Engine and
to: Engines Vehicle Categories
• Identify the rulemaking by docket A. Overview A. State Preemption
number and other identifying B. Engines Covered by This Rule B. Certification Fees
information (subject heading, Federal C. Proposed Exhaust Emission Standards C. Amendments to General Compliance
Register date and page number). D. Changes to Existing OB/PWC Test
Provisions in 40 CFR Part 1068
Procedures
• Follow directions—The agency may E. Additional Certification and Compliance
D. Amendments Related to Large SI
ask you to respond to specific questions Engines (40 CFR Part 1048)
Provisions
or organize comments by referencing a E. Amendments Related to Recreational
F. Other Adjustments to Regulatory
Code of Federal Regulations (CFR) part Vehicles (40 CFR Part 1051)
Provisions
F. Amendments Related to Heavy-Duty
or section number. G. Small-Business Provisions
H. Technological Feasibility Highway Engines (40 CFR Part 85)
• Explain why you agree or disagree; G. Amendments Related to Stationary
V. Small SI Engines
suggest alternatives and substitute A. Overview Spark-Ignition Engines (40 CFR Part 60)
language for your requested changes. B. Engines Covered by This Rule XII. Projected Impacts
• Describe any assumptions and C. Proposed Requirements A. Emissions from Small Nonroad and
provide any technical information and/ D. Testing Provisions Marine Spark-Ignition Engines
E. Certification and Compliance Provisions B. Estimated Costs
or data that you used.
for Small SI Engines and Equipment C. Cost per Ton
• If you estimate potential costs or F. Small Business Provisions D. Air Quality Impact
burdens, explain how you arrived at G. Technological Feasibility E. Benefits
your estimate in sufficient detail to VI. Evaporative Emissions F. Economic Impact Analysis
allow for it to be reproduced. A. Overview XIII. Public Participation
• Provide specific examples to B. Fuel Systems Covered by This Rule XIV. Statutory and Executive Order Reviews
illustrate your concerns and suggest C. Proposed Evaporative Emission A. Executive Order 12866: Regulatory
Standards Planning and Review
alternatives. B. Paperwork Reduction Act
D. Emission Credit Programs
• Explain your views as clearly as E. Testing Requirements C. Regulatory Flexibility Act
possible, avoiding the use of profanity F. Certification and Compliance Provisions D. Unfunded Mandates Reform Act
or personal threats. G. Small-Business Provisions E. Executive Order 13132: Federalism
F. Executive Order 13175: Consultation compounds (VOC) emissions, 31 these engines emit pollutants that
and Coordination With Indian Tribal percent (16,374,000 tons) of mobile contribute to ground-level ozone and
Governments source carbon monoxide (CO) ambient CO levels. Human exposure to
G. Executive Order 13045: Protection of emissions, 4 percent (202,000 tons) of ozone and CO can cause serious
Children from Environmental Health and
Safety Risks
mobile source oxides of nitrogen (NOX) respiratory and cardiovascular
H. Executive Order 12898: Federal Actions emissions, and 16 percent (39,000 tons) problems. Additionally, these emissions
to Address Environmental Justice in of mobile source particulate matter contribute to other serious
Minority Populations and Low-Income (PM2.5) emissions. The proposed environmental degradation. This
Populations. standards will reduce exposure to these proposal implements Congress’ mandate
I. Executive Order 13211: Actions that emissions and help avoid a range of by proposing new requirements for
Significantly Affect Energy Supply, adverse health effects associated with particular nonroad engines and
Distribution, or Use ambient ozone, CO, and PM levels. In equipment that are regulated as part of
J. National Technology Transfer addition, the proposed standards will EPA’s overall nonroad emission control
Advancement Act help reduce acute exposure to CO, air program.
I. Introduction toxics, and PM for persons who operate We are proposing this rule under the
or who work with or are otherwise procedural authority of section 307(d) of
A. Overview active in close proximity to these the Clean Air Act.
Air pollution is a serious threat to the engines. They will also help address
health and well-being of millions of other environmental problems C. What Regulations Currently Apply to
Americans and imposes a large burden associated with Marine SI engines and Nonroad Engines or Vehicles?
on the U.S. economy. Ground-level Small SI engines, such as visibility
ozone is linked to potentially serious impairment in our national parks and EPA has been setting emission
health problems, especially respiratory other wilderness areas. These effects are standards for nonroad engines and/or
effects, and environmental degradation. described in more detail in subsequent vehicles since Congress amended the
Carbon monoxide emissions are also sections of this Preamble. Clean Air Act in 1990 and included
related to health problems. Over the section 213. These amendments have
B. Why Is EPA Taking This Action? led to a series of rulemakings to reduce
past quarter century, state and federal
agencies have established emission Clean Air Act section 213(a)(1) directs the air pollution from this widely
control programs that make significant us to study emissions from nonroad varying set of products. In these
progress in addressing these concerns. engines and vehicles to determine, rulemakings, we divided the broad
This proposal includes steps that among other things, whether these group of nonroad engines and vehicles
would reduce the mobile-source emissions ‘‘cause, or significantly into several different categories for
contribution to air pollution in the contribute to, air pollution which may setting application-specific
United States. In particular, we are reasonably be anticipated to endanger requirements. Each category involves
proposing standards that would require public health or welfare.’’ Section many unique characteristics related to
manufacturers to substantially reduce 213(a)(2) further requires us to the participating manufacturers,
emissions from marine spark-ignition determine whether emissions of CO, technology, operating characteristics,
engines and from nonroad spark- VOC, and NOX from all nonroad engines sales volumes, and market dynamics.
ignition engines below 19 kW that are significantly contribute to ozone or CO Requirements for each category
generally used in lawn and garden concentrations in more than one therefore take on many unique features
applications.1 We refer to these as nonattainment area. If we determine regarding the stringency of standards,
Marine SI engines and Small SI engines, that emissions from all nonroad engines the underlying expectations regarding
respectively. The proposed standards do contribute significantly to these emission control technologies, the
are a continuation of the process of nonattainment areas, section 213(a)(3) nature and extent of testing, and the
establishing standards for nonroad then requires us to establish emission myriad details that comprise the
engines and vehicles as required by standards for classes or categories of implementation of a compliance
Clean Air Act section 213. All the new nonroad engines and vehicles that program.
nonroad engines subject to this proposal cause or contribute to such pollution. At the same time, the requirements
are already regulated under existing We may also set emission standards and other regulatory provisions for each
emission standards, except sterndrive under section 213(a)(4) regulating any engine category share many
and inboard marine engines, which will other emissions from nonroad engines characteristics. Each rulemaking under
be subject to EPA emission standards for that we find contribute significantly to section 213 sets technology-based
the first time. air pollution which may reasonably be standards consistent with the Clean Air
Nationwide, emissions from Marine anticipated to endanger public health or Act and requires annual certification
SI engines and Small SI engines welfare. based on measured emission levels from
contribute significantly to mobile source Specific statutory direction to propose test engines or vehicles. As a result, the
air pollution. By 2020 without the standards for nonroad spark-ignition broader context of EPA’s nonroad
proposed requirements these engines engines comes from section 428(b) of emission control programs demonstrates
will account for about 27 percent the 2004 Consolidated Appropriations both strong similarities between this
(1,352,000 tons) of mobile source Act, which requires EPA to propose rulemaking and the requirements
volatile organic hydrocarbon regulations under the Clean Air Act adopted for other types of engines or
‘‘that shall contain standards to reduce vehicles and distinct differences as we
emissions from new nonroad spark-
1 Otto-cycle engines (referred to here as spark-

take into account the unique nature of
ignition or SI engines) typically operate on gasoline, ignition engines smaller than 50 these engines and the companies that
liquefied petroleum gas, or natural gas. Diesel-cycle horsepower.’’ 2 As highlighted above
engines, referred to simply as ‘‘diesel engines’’ in produce them.
this document, may also be referred to as and more fully described in Section II,
We completed the Nonroad Engine
compression-ignition or CI engines. These engines
typically operate on diesel fuel, but other fuels may 2 Pub. L. 108–199, Div G, Title IV, § 428(b), 118 and Vehicle Emission Study to satisfy
also be used. Stat. 418 (January 23, 2004). Clean Air Act section 213(a)(1) in
November 1991.3 On June 17, 1994, we for the various categories of nonroad revised emission standards for any of
made an affirmative determination engines. Table I–1 highlights the these nonroad engines or vehicles.
under section 213(a)(2) that nonroad different engine or vehicle categories we These actions are described in the
emissions are significant contributors to have established and the corresponding following sections, with additional
ozone or CO in more than one cites for emission standards and other discussion to explain why we are not
nonattainment area (56 FR 31306). Since regulatory requirements. Table I–2 proposing more stringent standards for
then we have undertaken several summarizes the series of EPA certain types of nonroad spark-ignition
rulemakings to set emission standards rulemakings that have set new or engines below 50 horsepower.
TABLE I–1.—NONROAD ENGINE CATEGORIES FOR EPA EMISSION STANDARDS

Cross reference to
Engine categories CFR cite for regulationse establishing emission standards Table I.C–2
1. Locomotives engines ........................................................ 40 CFR Part 92 .................................................................... d

2. Marine diesel engines ...................................................... 40 CFR Part 94 .................................................................... g, i, j
3. Other nonroad diesel engines .......................................... 40 CFR Parts 89 and 1039 .................................................. a, e, k
4. Marine SI engines 4 .......................................................... 40 CFR Part 91 .................................................................... c
5. Recreational vehicles ....................................................... 40 CFR Part 1051 ................................................................ i
6. Small SI engines 5 ............................................................ 40 CFR Part 90 .................................................................... b, f, h
7. Large SI engines 4 ............................................................ 40 CFR Part 1048 ................................................................ i
TABLE I–2.—EPA’S RULEMAKINGS FOR NONROAD ENGINES

Nonroad engines (categories and sub-categories) Final rulemaking Date
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 watercraft ............................................................... 61 FR 52088 ............. October 4, 1996.
d. Locomotives ................................................................................................................................. 63 FR 18978 ............. April 16, 1998.
e. Land-based diesel engines—Tier 1 and Tier 2 for engines <37 kW—Tier 2 and Tier 3 for en- 63 FR 56968 ............. October 23, 1998.
gines ≥37 kW.
f. Small SI engines (Nonhandheld)—Phase 2 ................................................................................ 64 FR 15208 ............. March 30, 1999.
g. Commercial marine diesel <30 liters per cylinder ....................................................................... 64 FR 73300 ............. December 29, 1999.
h. Small SI engines (Handheld)—Phase 2 ..................................................................................... 65 FR 24268 ............. April 25, 2000.
i. Recreational vehicles, Industrial spark-ignition engines >19 kW, and Recreational marine die- 67 FR 68242 ............. November 8, 2002.
sel.
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.
(1) Small SI Engines in the regulations. We believe catalyst progress toward compliance, but that
technology has now developed to the additional implementation flexibility
We have previously adopted emission point that it can be applied to all was needed if manufacturers were to
standards for nonroad spark-ignition nonhandheld Small SI engines to reduce fully comply with the regulations by
engines at or below 19 kW in two exhaust emissions. Various emission 2010. This finding and a change in the
phases. The first phase of these control technologies are similarly rule were published in the Federal
standards introduced certification and available to address the different types Register on January 12, 2004
an initial level of emission standards for of fuel evaporative emissions we have (69FR1824). At this point, we have no
both handheld and nonhandheld identified. information to suggest that
engines. On March 30, 1999 we adopted For handheld engines, we adopted manufacturers can uniformly apply new
a second phase of standards for Phase 2 exhaust emission standards in technology or make design
nonhandheld engines, including both April 25, 2000 (65 FR 24268). These improvements to reduce exhaust
Class I and Class II engines, which are standards were based on the application emissions below the Phase 2 levels. We
almost fully phased-in today (64 FR of catalyst technology, with the therefore believe the Phase 2 standards
15208).6 These standards involved expectation that manufacturers would continue to represent the greatest degree
emission reductions based on improving have to make considerable investments of emission reduction achievable for
engine calibrations to reduce exhaust to modify their engine designs and these engines.7 However, we believe it
emissions and added a requirement that production processes. A technology is appropriate to apply evaporative
emission standards must be met over review we completed in 2003 indicated emission standards to the handheld
the engines’ entire useful life as defined that manufacturers were making engines similar to those we are
3 This study is available on EPA’s web site at ignition engines not covered by our programs for engines are Small SI engines that are not handled
http://www.epa.gov/otaq/equip-ld. Marine SI engines or recreational vehicles are either engines (see § 1054.801). Class I refers to
Small SI engines or Large SI engines. Small SI nonhandheld engines with displacement below 225
4 The term ‘‘Marine SI,’’ used throughout this
document, refers to all spark-ignition engines used engines include those engines with maximum cc; Class II refers to larger nonhandheld engines.
to propel marine vessels. This includes outboard power at or below 19 kW, and Large SI engines 7 Note that we refer to the handheld exhaust
engines, personal watercraft engines, and include engines with maximum power above 19 emission standards in 40 CFR part 1054 as Phase
sterndrive/inboard engines. See Section III for kW. 3 standards. This is intended to maintain consistent
additional information. 6 Handheld engines generally include those terminology with the comparable standards in
5 The terms ‘‘Small SI’’ and ‘‘Large SI’’ are used engines for which the operator holds or supports California rather than indicating an increase in
throughout this document. All nonroad spark- the equipment during operation; nonhandheld stringency.
proposing for the nonhandheld engines. beyond Tier 2. We therefore believe the (a) All-Terrain Vehicles
Manufacturers can control evaporative evidence provided in the recently The regulations for all-terrain vehicles
emissions in a way that has little or no promulgated rulemaking continues to (ATV) specify testing based on a
impact on exhaust emissions. represent the best available information chassis-based transient procedure.
regarding the appropriate level of However, on an interim basis, we are
(2) Marine SI Engines
standards for these engines under permitting manufacturers the option to
On October 4, 1996 we adopted section 213 at this time. California Air
emission standards for spark-ignition use a steady-state engine-based
Resources Board (ARB) has adopted an procedure to allow manufacturers an
outboard and personal watercraft additional level of emission control for
engines that have recently been fully opportunity to develop the field
Large SI engines starting with the 2010 operating data needed to determine if
phased in (61 FR 52088). We decided model year. However, as described in
not to finalize emission standards for ATV operation is dominantly steady
Section I.D.1, their new standards state or transient in nature and to
sterndrive or inboard marine engines at would not increase overall stringency
that time. Uncontrolled emission levels develop an appropriate emission test
beyond that reflected in the federal cycle from that information. The
from sterndrive and inboard marine standards. As a result, we believe it
engines were already significantly lower emissions test procedure and duty cycle
would be inappropriate to pursue more are critical to getting the degree of
than the outboard and personal stringent emission standards for these
watercraft engines. We did, however, emission control expected from these
engines in this rulemaking. engines. We are continuing to work
leave open the possibility of revisiting
Note that the Large SI standards apply toward a resolution of this test cycle
the need for emission standards for
to nonroad spark-ignition engines above development initiative in a separate
sterndrive and inboard engines in the
19 kW. However, we adopted a special action. The anticipated changes to the
future. See Section III for further
provision for engine families where test cycle raise new questions we will
discussion of the scope and background
production engines have total need to work through before we are
of past and current rulemakings for
these engines. displacement at or below 1000 cc and prepared to change the existing
We believe existing technology can be maximum power at or below 30 kW, regulation and perhaps pursue new
applied to all Marine SI engines to allowing these engine families to emission control requirements. In
reduce emissions of harmful pollutants, instead certify to the applicable particular, we will need to further
including both exhaust and evaporative standards for Small SI engines. explore the extent to which the new
emissions. Manufacturers of outboard (4) Recreational Vehicles duty cycle represents in-use operation
and personal watercraft engines can and whether engine or chassis testing is
continue the trend of producing four- We adopted exhaust and evaporative more appropriate in simulating in-use
stroke engines and advanced-technology emission standards for recreational operation for accurate emission
two-stroke engines to further reduce vehicles in our November 8, 2002 final characterization and measurements. We
emissions. For sterndrive/inboard rule (67FR68242). These standards believe it is appropriate to consider
engines, manufacturers can add apply to all-terrain vehicles, off- more stringent exhaust emission
technologies, such as fuel injection and highway motorcycles, and standards for these engines after we
aftertreatment, that can safely and snowmobiles.8 These exhaust emission have had the opportunity to address the
substantially improve the engines’ standards will be fully phased in emission test cycle issue and to thus
emission control capabilities. starting with the 2007 model year. The establish a long-term testing protocols
(3) Large SI Engines evaporative emission standards apply and related requirements.
We adopted emission standards for starting with the 2008 model year.
Large SI engines on November 8, 2002 (b) Off-Highway Motorcycles
Recreational vehicles will soon be
(67 FR 68242). This includes Tier 1 subject to permeation requirements that For off-highway motorcycles,
standards for 2004 through 2006 model are very similar to the requirements manufacturers are in many cases making
years and Tier 2 standards starting with proposed in this rulemaking. We have a substantial transition to move away
2007 model year engines. Manufacturers also learned more about controlling from two-stroke engines in favor of four-
are today facing a considerable running losses and diffusion emissions stroke engines. This transition is now
challenge to comply with the Tier 2 that may eventually lead us to propose underway. While it may eventually be
standards, which are already comparable standards for recreational appropriate to apply aftertreatment or
substantially more stringent than any of vehicles. We expect to revisit these other additional emission control
the standards proposed or contemplated questions in the context of a rulemaking technologies to off-highway
for the other engine categories in this to modify the duty cycle for all-terrain motorcycles, we need more time for this
proposal. The Tier 2 standards also vehicles, as described below. transition to be completed and to assess
include evaporative emission standards, Considering these new requirements for the success of aftertreatment
new transient test procedures, and recreational vehicles in this later technologies such as catalysts on similar
additional exhaust emission standards rulemaking would give us additional applications such as highway
to address off-cycle emissions, and time to collect information to better motorcycles. As EPA and manufacturers
diagnostic requirements. Stringent understand the feasibility, costs, and learn more in implementing emission
standards for this category of engines, benefits of applying these requirements standards, we would expect to be able
and in particular, engines between 25 to recreational vehicles. to better judge the potential for broadly
and 50 horsepower (19 to 37 kW), have The following sections describe the applying new technology to achieve
been completed in the recent past, and state of technology and regulatory further emission reductions from off-
are currently being implemented. requirements for the different types of highway motorcycles.
Because of that we do not have recreational vehicles.
information on the actual Tier 2 (c) Snowmobiles
technology that manufacturers will use 8 Note that we treat certain high-speed off-road In our November 8, 2002 final rule we
and do not have information at this time utility vehicles as all-terrain vehicles (see 40 CFR set three phases of exhaust emission
on possible advances in technology part 1051). standards for snowmobiles (67 FR
68242). Environmental and industry recently adopted Tier 4 standards based exhaust HC+NOX emission standards of
groups challenged the third phase of on the use of ultra-low sulfur diesel fuel 10 g/kW-hr for Class I engines starting
these standards. The court decision and the application of exhaust in the 2007 model year and 8 g/kW-hr
upheld much of EPA’s reasoning for the aftertreatment technology (69 FR 38958, for Class II engines starting in the 2008
standards, but vacated the NOX standard June 29, 2004). model year. In the same rule they
and remanded the CO and HC standards adopted evaporative emission standards
D. Putting This Proposal Into
to clarify the analysis and evidence for nonhandheld equipment, requiring
Perspective
upon which the standards are based. control of fuel tank permeation, fuel line
See Bluewater Network, et al v. EPA, Most manufacturers that will be permeation, diurnal emissions, and
370 F 3d 1 (D.C. Cir. 2004). A large subject to this rulemaking are also running losses.
majority of snowmobile engines are affected by regulatory developments in
California and in other countries. Each California ARB has adopted two tiers
rated below 50 hp and there is still a
of these is described in more detail of exhaust emission standards for
fundamental need for time to pass to
allow us to assess the success of 4 stroke below. outboard and personal watercraft
engine technology in the market place. engines beyond EPA’s original
(1) State Initiatives standards. The most recent standards,
This is an important of the assessment
we need to conduct with regard to 2012 Clean Air Act section 209 prohibits which apply starting in 2008, require
and later model year emission California and other states from setting HC+NOX emission levels as low as 16 g/
standards. Thus we believe is emission standards for new motor kW-hr. For sterndrive and inboard
appropriate to address this in a separate vehicles and new motor vehicle engines, engines, California has adopted a 5 g/
rulemaking.9 We expect to complete but authorizes EPA to waive this kW-hr HC+NOX emission standard for
that work with sufficient lead time for prohibition for California, in which case 2008 and later model year engines, with
manufacturers to meet any revised other states may adopt California’s testing underway to confirm the
Phase 3 standards that we might adopt standards. Similar preemption and feasibility of standards. California ARB’s
for the 2012 model year, consistent with waiver provisions apply for emission marine programs include no standards
the original rulemaking requirements. standards for nonroad engines and for exhaust CO emissions or evaporative
vehicles, whether new or in-use. emissions.
(5) Nonroad Diesel Engines However for new locomotives, new
The California emission standards for
The 2004 Consolidated engines used in locomotives, and new
recreational vehicles have a different
Appropriations Act providing the engines used in farm or construction
form than the comparable EPA
specific statutory direction for this equipment with maximum power below
standards but are roughly equivalent in
rulemaking focuses on nonroad spark- 130 kW, California and other states are
stringency. The California standards
ignition engines. Nonroad diesel preempted and there is no provision for
include no standards for controlling
engines are therefore not included a waiver of preemption. In addition, in
evaporative emissions. Another
within the scope of that Congressional section 428 of the amendment to the
important difference between the two
mandate. However, we have gone 2004 Consolidated Appropriations Act,
programs is California ARB’s reliance on
through several rulemakings to set Congress further precluded other states
a provision allowing noncompliant
standards for these engines under the from adopting new California standards
vehicles to be used in certain areas that
broader authority of Clean Air Act for nonroad spark-ignition engines
are less environmentally sensitive as
section 213. In particular, we have below 50 horsepower. In addition, the
long as they have a specified red sticker
divided nonroad diesel engines into amendment required that we
that would identify their lack of
three groups for setting emission specifically address the safety
emission controls to prevent them from
standards. We adopted a series of implications of any California standards
operating in other areas.
standards for locomotives on April 16, for these engines before approving a
1998, including requirements to certify waiver of federal preemption. We are California ARB in 1998 adopted
engines to emission standards when proposing to codify these changes to requirements that apply to new nonroad
they are rebuilt (63 FR 18978). We also preemption in this rule. engines rated over 25 hp produced for
adopted emission standards for marine California ARB has adopted California, with standards phasing in
diesel engines over several different requirements for five groups of nonroad from 2001 through 2004. Texas has
rulemakings, as described in Table I–2. engines: (1) Diesel- and Otto-cycle small adopted these initial California ARB
These included separate actions for off-road engines rated under 19 kW; (2) emission standards statewide starting in
engines below 37 kW, engines installed spark-ignition engines used for marine 2004. More recently, California ARB has
in oceangoing vessels, engines installed propulsion; (3) land-based nonroad proposed exhaust emission standards
in commercial vessels involved in recreational engines, including those and new evaporative emission standards
inland and coastal waterways, and used in all-terrain vehicles, off-highway for these engines, consistent with EPA’s
engines installed in recreational vessels. motorcycles, go-carts, and other similar 2007 model year standards. Their
We have recently proposed new vehicles; (4) new nonroad spark-ignition proposal also included an additional
emission standards for both locomotive engines rated over 19 kW not used in level of emission control for Large SI
and marine diesel engines (72 FR 15938, recreational applications; and (5) new engines starting with the 2010 model
April 3, 2007). land-based nonroad diesel engines rated year. However, their proposed standards
Finally, all other nonroad diesel over 130 kW. They have also approved would not increase overall stringency
engines are grouped together for EPA’s a voluntary registration and control beyond that reflected in the federal
emission standards. We have adopted program for existing portable standards. Rather, they aim to achieve
multiple tiers of increasingly stringent equipment. reductions in HC+NOX emissions by

standards in three separate rulemakings, In the 1990s California ARB adopted removing the flexibility incorporated
as described in Table I–2. We most Tier 1 and Tier 2 standards for Small SI into the federal standards allowing
engines consistent with the federal manufacturers to have higher HC+NOX
9 Only about 3 percent of snowmobiles are rated requirements. In 2003, they moved emissions by certifying to a more
below 50 horsepower. beyond the federal program by adopting stringent CO standard.
(2) Actions in Other Countries particulate pollutants from internal The European Commission has
combustion engines to be installed in non- adopted emission standards for
While the proposed emission road mobile machinery (OJ L 59, 27.2.1998,
standards will apply only to engines recreational marine engines, including
p. 1)’’, as amended by ‘‘Directive 2002/88/EC
sold in the United States, we are aware both diesel and gasoline engines. These
of the European Parliament and of the
that manufacturers in many cases are Council of 9 December 2002’’. The Stage I requirements apply to all new engines
selling the same products into other emission standards are to be met by all sold in member countries and began in
countries. To the extent that we have handheld and nonhandheld engines by 24 2006 for four-stroke engines and in 2007
the same emission standards as other months after entry into force of the Directive for two-stroke engines. Table I–3
countries, manufacturers can contribute (as noted in a December 9, 2002 amendment presents the European standards for
to reducing air emissions without being to Directive 97/68/EC). The Stage I emission diesel and gasoline recreational marine
burdened by the costs associated with standards are similar to the U.S. EPA’s Phase
engines. The numerical emission
meeting differing or inconsistent 1 emission standards for handheld and
nonhandheld engines. The Stage II emission standards for NOX are based on the
regulatory requirements. The following applicable standard from MARPOL
standards are implemented over time for the
discussion describes our understanding various handheld and nonhandheld engine Annex VI for marine diesel engines (See
of the status of emission standards in classes from 2005 to 2009 with handheld Table I–3). The European standards are
countries outside the United States. engines ≥ 50cc on August 1, 2008. The Stage roughly equivalent to the nonroad diesel
Regulations for spark ignition engines in II emission standards are similar to EPA’s Tier 1 emission standards for HC and
handheld and nonhandheld equipment are Phase 2 emission standards for handheld and CO. Emission measurements under the
included in the ‘‘Directive 97/68/EC of the nonhandheld engines. Six months after these
dates Member States shall permit placing on European standards rely on the ISO D2
European Parliament and of the Council of 16
December 1997 on the approximation of the the market of engines, whether or not already duty cycle for constant-speed engines
laws of the Member States relating to installed in machinery, only if they meet the and the ISO E5 duty cycle for other
measures against the emission of gaseous and requirements of the Directive. 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/P0.75 10.0 150 + 600/P

Four-Stroke Spark-Ignition ......................................................................... 6 + 50/P0.75 15.0 150 + 600/P
Compression-Ignition ................................................................................. 1.5 + 2/P0.5 9.8 5.0 1.0
* P = rated power in kilowatts (kW)
E. What Requirements Are We consistent with the requirements We are proposing new exhaust
Proposing? recently adopted by California ARB emission standards for sterndrive and
with the advantage of a simplified form inboard marine engines. The proposed
EPA’s emission control provisions standards are 5.0 g/kW-hr for HC+NOX
of the standard for different power
require engine, vessel and equipment and 75.0 g/kW-hr for CO starting with
ratings and with a CO emission
manufacturers to design and produce the 2009 model year. We expect
standard. We are not pursuing catalyst-
their products to meet the emission manufacturers to meet these standards
standards we adopt. To ensure that based emission standards for outboard
and personal watercraft engines. As is with three-way catalysts and closed-
engines, vessels and equipment meet loop fuel injection. To ensure proper
the expected level of emission control, discussed later in this preamble, the
application of catalyst-based standards functioning of these emission control
we also require compliance with a systems in use, we are proposing a
variety of additional requirements, such to the marine environment creates
special technology challenges that must requirement that engines have a
as certification, labeling engines, and diagnostic system for detecting a failure
meeting warranty requirements. The be addressed. Unlike the sterndrive/
in the emission control system. For
following sections provide a brief inboard engines discussed in the next
sterndrive and inboard marine engines
summary of the new requirements we paragraph, outboard and personal
at or above 373 kW with high-
are proposing in this rulemaking. See watercraft engines are not built from
performance characteristics (generally
the later sections for a full discussion of automotive engine blocks and are not as referred to as ‘‘SD/I high-performance
the proposal. easily amenable to the fundamental engines’’), we are proposing an HC+NOX
engine modifications, fuel system emission standard of 5.0 g/kW-hr and a
(1) Marine SI Engines and Vessels upgrades, and other engine control CO standard of 350 g/kW-hr. We are
We are proposing a more stringent modifications needed to get acceptable also proposing a variety of other special
level of emission standards for outboard catalyst performance. This proposal is provisions for these engines to reflect
and personal watercraft engines starting an appropriate next step in the unique operating characteristics and to
with the 2009 model year. The proposed evolution of technology-based standards make it feasible to meet emission
standards for engines above 40 kW are for outboard and personal watercraft standards using emission credits. These
16 g/kW-hr for HC+NOX and 200 g/kW- engines as they are likely to lead to the standards are consistent with the
hr for CO. For engines below 40 kW, the elimination of carbureted two-stroke requirements recently adopted by
standards increase gradually based on engines in favor of direct-injection two- California ARB, with some adjustment
the engine’s maximum power. We stroke engines and to encourage the fuel to the provisions for SD/I high-
expect manufacturers to meet these system upgrades and related engine performance engines and with a CO
standards with improved fueling modifications needed to achieve the emission standard.
systems and other in-cylinder controls. required reductions and to potentially The emission standards described
The levels of the standards are set the stage for future considerations. above relate to engine operation over a
prescribed duty cycle for testing in the F. How Is This Document Organized? that are subject to the provisions of part
laboratory. We are also proposing not- 1068.
Since this proposal covers a broad • We are proposing several technical
to-exceed (NTE) standards that establish
range of engines and equipment that amendments for Large SI engines and
emission limits when engines operate
vary in design and use, many readers recreational vehicles, largely to
under normal speed-load combinations
may be interested only in certain maintain consistency across programs
that are not included in the duty cycles
aspects of the proposal. We have for different categories of engines and
for the other engine standards.
therefore attempted to organize this vehicles.
We are proposing new standards to
preamble in a way that allows each • We are proposing to amend
control evaporative emissions for all
reader to focus on the material of provisions related to the delegated-
Marine SI vessels. The new standards
particular interest. The Air Quality assembly exemption for heavy-duty
include requirements to control fuel
discussion in Section II, however, is highway engines as part of the effort to
tank permeation, fuel line permeation,
general in nature and applies to all the apply these provisions to Small SI
and diurnal emissions, including
categories covered by this proposal. engines, as described in Section V.E.2.
provisions to ensure that refueling
emissions do not increase. The next several sections contain our • We are proposing to apply the new
proposal for Small SI engines and standards for Small SI engines to the
We are proposing to place these new
equipment and Marine SI engines and comparable stationary engines.
regulations for Marine SI engines in 40 Section XII summarizes the projected
CFR part 1045 rather than changing the vessels. Sections III through V describe
the proposed requirements related to impacts and benefits of this proposal.
current regulations in 40 CFR part 91. Finally, Sections XIII and XIV contain
This new part will allow us to improve exhaust emission standards for each of
the affected engine categories, including information about public participation
the clarity of regulatory requirements and how we satisfy our various
and update our regulatory compliance standards, effective dates, testing
information, and other specific administrative requirements.
program to be consistent with the
provisions we have recently adopted for requirements. Section VI details the II. Public Health and Welfare Effects
other nonroad programs. We are also proposed requirements related to
evaporative emission requirements for The engines, vessels and equipment
making a variety of changes to 40 CFR that would be subject to the proposed
part 91 to make minor adjustments to all categories. Sections VII through IX
contain some general concepts that are standards generate emissions of
the current regulations and to prepare hydrocarbons (HC), nitrogen oxides
for the transition to 40 CFR part 1045. relevant to all of the engines, vessels
and equipment covered by this (NOX), particulate matter (PM) and
(2) Small SI Engines and Equipment proposal, such as certification carbon monoxide (CO) that contribute to
requirements and general testing nonattainment of the National Ambient
We are proposing HC+NOX exhaust Air Quality Standards (NAAQS) for
emission standards of 10.0 g/kW-hr for procedures and compliance provisions.
Section X discusses how we took ozone, PM and CO. These engines,
Class I engines starting in the 2012 vessels and equipment also emit
model year and 8.0 g/kW-hr for Class II energy, noise, and safety factors into
consideration for the proposed hazardous air pollutants (air toxics) that
engines starting in the 2011 model year. are associated with a host of adverse
For both classes of nonhandheld standards.
health effects. Emissions from these
engines, we are proposing to maintain Section XI describes a variety of
engines, vessels and equipment also
the existing CO standard of 610 g/kW- proposed provisions that affect other
contribute to visibility impairment and
hr. We expect manufacturers to meet categories of engines besides those that
other welfare and environmental effects.
these standards by improving engine are the primary subject of this proposal. The health and environmental effects
combustion and adding catalysts. These This includes the following changes: associated with emissions from Small SI
standards are consistent with the • We are proposing to reorganize the engines and equipment and Marine SI
requirements recently adopted by regulatory language related to engines and vessels are a classic
California ARB. preemption of state standards and to example of a negative externality (an
For spark-ignition engines used in clarify certain provisions. We are also activity that imposes uncompensated
marine generators, we are proposing a requesting comment regarding a petition costs on others). With a negative
more stringent Phase 3 CO emission to reconsider some of the provisions externality, an activity’s social cost (the
standard of 5.0 g/kW-hr. This would including the extent to which states may cost on society imposed as a result of
apply equally to all sizes of engines regulate the use and operation of the activity taking place) exceeds its
subject to the Small SI standards. nonroad engines and vehicles. private cost (the cost to those directly
We are proposing new evaporative • We are incorporating new engaged in the activity). In this case, as
emission standards for both handheld provisions related to certification fees described in this section, emissions
and nonhandheld engines. The new for newly regulated products covered by from Small SI engines and equipment
standards include requirements to this proposal. This involves some and Marine SI engines and vessels
control permeation from fuel tanks and restructuring of the regulatory language. impose public health and
fuel lines. For nonhandheld engines we We are also proposing various technical environmental costs on society. The
are also proposing to require control of amendments, such as identifying an market system itself cannot correct this
diffusion emissions and running losses. additional payment method, that would externality. The end users of the
We are proposing to place the new apply broadly to our certification equipment and vessels are often
regulations for Small SI engines from 40 programs. unaware of the environmental impacts
CFR part 90 to 40 CFR part 1054. This • We are proposing changes to 40 of their use for lawn care or recreation.
new part will allow us to improve the CFR part 1068 to clarify how the Because of this, consumers fail to send
clarity of regulatory requirements and provisions apply with respect to the market a signal to provide cleaner
update our regulatory compliance evaporative emission standards. We are equipment and vessels. In addition,
program to be consistent with the also proposing various technical producers of these engines, equipment,
provisions we have recently adopted for amendments. These changes would and vessels are rewarded for
other nonroad programs. apply to all types of nonroad engines emphasizing other aspects of these
products (e.g., total power). To correct documented science demonstrating that biochemistry, inflammation of the
this market failure and reduce the more people were experiencing adverse lungs, exacerbation and causation of
negative externality, it is necessary to health effects at lower levels of exertion, asthma, respiratory illness-related
give producers social cost signals. The over longer periods, and at lower ozone school absence, hospital admissions and
standards EPA is proposing will concentrations than addressed by the premature mortality. Animal toxicologic
accomplish this by mandating that previous one-hour ozone NAAQS. The studies have suggested potential
Small SI engines and equipment and current ozone NAAQS addresses ozone interactions between ozone and PM
Marine SI engines and vessels reduce exposures of concern for the general with increased responses observed to
their emissions to a technologically population and populations most at mixtures of the two pollutants
feasible limit. In other words, with this risk, including children active outdoors, compared to either ozone or PM alone.
proposed rule the costs of the services outdoor workers, and individuals with The respiratory morbidity observed in
provided by these engines and pre-existing respiratory disease, such as animal studies along with the evidence
equipment will account for social costs asthma. The 8-hour ozone NAAQS is from epidemiologic studies supports a
more fully. met at an ambient air quality monitoring causal relationship between acute
This section summarizes the general site when the average of the annual ambient ozone exposures and increased
health and welfare effects of these fourth-highest daily maximum 8-hour respiratory-related emergency room
emissions. Interested readers are average ozone concentration over three visits and hospitalizations in the warm
encouraged to refer to the Draft RIA for years is less than or equal to 0.084 parts season. In addition, there is suggestive
more in-depth discussions. per million (ppm). evidence of a contribution of ozone to
cardiovascular-related morbidity and
A. Ozone (1) Health Effects of Ozone
non-accidental and cardiopulmonary
Ground-level ozone pollution is The health and welfare effects of mortality.
formed by the reaction of volatile ozone are well documented and are EPA typically quantifies ozone-related
organic compounds (VOC), of which HC assessed in the EPA’s 2006 ozone Air health impacts in its regulatory impact
are the major subset, and NOX in the Quality Criteria Document (ozone analyses (RIAs) when possible. In the
lower atmosphere in the presence of AQCD) and staff paper.12 13 Ozone can analysis of past air quality regulations,
heat and sunlight. These pollutants, irritate the respiratory system, causing ozone-related benefits have included
often referred to as ozone precursors, are coughing, throat irritation, and/or morbidity endpoints and welfare effects
emitted by many types of pollution uncomfortable sensation in the chest. such as damage to commercial crops.
sources, such as highway and nonroad Ozone can reduce lung function and EPA has not recently included a
motor vehicles and engines (including make it more difficult to breathe deeply, separate and additive mortality effect for
those subject to this proposed rule), and breathing may become more rapid ozone, independent of the effect
power plants, chemical plants, and shallow than normal, thereby associated with fine particulate matter.
refineries, makers of consumer and limiting a person’s activity. Ozone can For a number of reasons, including (1)
commercial products, industrial also aggravate asthma, leading to more Advice from the Science Advisory
facilities, and smaller area sources. The asthma attacks that require a doctor’s Board (SAB) Health and Ecological
engine, vessel and equipment controls attention and/or the use of additional Effects Subcommittee (HEES) that EPA
being proposed will reduce VOCs and medication. Animal toxicologic consider the plausibility and viability of
NOX. evidence indicates that with repeated including an estimate of premature
The science of ozone formation, exposure, ozone can inflame and mortality associated with short-term
transport, and accumulation is damage the lining of the lungs, which ozone exposure in its benefits analyses
complex.10 Ground-level ozone is may lead to permanent changes in lung and (2) conclusions regarding the
produced and destroyed in a cyclical set tissue and irreversible reductions in scientific support for such relationships
of chemical reactions, many of which lung function. People who are more in EPA’s 2006 Air Quality Criteria for
are sensitive to temperature and susceptible to effects associated with Ozone and Related Photochemical
sunlight. When ambient temperatures exposure to ozone include children, the Oxidants (the CD), EPA is in the process
and sunlight levels remain high for elderly, and individuals with of determining how to appropriately
several days and the air is relatively respiratory disease such as asthma. characterize ozone-related mortality
stagnant, ozone and its precursors can There is also suggestive evidence that benefits within the context of benefits
build up and result in more ozone than certain people may have greater genetic analyses for air quality regulations. As
typically would occur on a single high- susceptibility. Those with greater part of this process, we are seeking
temperature day. Ozone also can be exposures to ozone, for instance due to advice from the National Academy of
transported into an area from pollution time spent outdoors (e.g., outdoor Sciences (NAS) regarding how the
sources found hundreds of miles workers), are also of concern. ozone-mortality literature should be
upwind, resulting in elevated ozone The recent ozone AQCD also used to quantify the reduction in
levels even in areas with low VOC or examined relevant new scientific premature mortality due to diminished
NOX emissions. information that has emerged in the past exposure to ozone, the amount of life
The current ozone NAAQS, decade, including the impact of ozone expectancy to be added and the
established by EPA in 1997, has an 8- exposure on such health effects as monetary value of this increased life
hour averaging time.11 The 8-hour changes in lung structure and expectancy in the context of health
ozone NAAQS is based on well- benefits analyses associated with
12 U.S. EPA. Air Quality Criteria for Ozone and
regulatory assessments. In addition, the
Related Photochemical Oxidants (Final). U.S.
Agency has sought advice on
10 U.S. EPA. Air Quality Criteria for Ozone and

Environmental Protection Agency, Washington, DC,
Related Photochemical Oxidants (Final). U.S. EPA/600/R–05/004aF–cF, 2006. This document is characterizing and communicating the
Environmental Protection Agency, Washington, DC, available in Docket EPA–HQ–OAR–2004–0008. uncertainty associated with each of
EPA/600/R–05/004aF–cF, 2006. This document is 13 U.S. EPA (2007) Review of National Ambient
available in Docket EPA–HQ–OAR–2004–0008.
these aspects in health benefit analyses.
Air Quality Standards for Ozone, Assessment of Since the NAS effort is not expected
11 EPA’s review of the ozone NAAQS is underway Scientific and Technical Information, OAQPS Staff
and a proposal is scheduled for June 2007 with a Paper, EPA–452/R–07–003. This document is to conclude until 2008, the agency is
final rule scheduled for March 2008. available in Docket EPA–HQ–OAR–2004–0008. currently deliberating how best to
characterize ozone-related mortality major population centers.14 As of attaining or maintaining the 8-hour
benefits in its rulemaking analyses in October, 2006 there are approximately ozone NAAQS.
the interim. We do not quantify an 157 million people living in 116 areas EPA’s review of the ozone NAAQS is
ozone mortality benefit for the analysis designated as not in attainment with the currently underway and a proposed
of the proposed emission standards. So 8-hour ozone NAAQS. There are 461 decision in this review is scheduled for
that we do not provide an incomplete full or partial counties that make up the June 2007 with a final rule scheduled
picture of all of the benefits associated 116 8-hour ozone nonattainment areas. for March 2008. If the ozone NAAQS is
with reductions in emissions of ozone These numbers do not include the revised then new nonattainment areas
precursors, we have chosen not to people living in areas where there is a could be designated. While EPA is not
include an estimate of total ozone potential risk of failing to maintain or relying on it for purposes of justifying
benefits in the proposed RIA. By achieve the 8-hour ozone NAAQS in the this rule, the emission reductions from
omitting ozone benefits in this proposal, future. this rulemaking would also be helpful to
we acknowledge that this analysis EPA has already adopted many states if there is an ozone NAAQS
underestimates the benefits associated emission control programs that are revision.
with the proposed standards. For more expected to reduce ambient ozone (4) Air Quality Modeling for Ozone
information regarding the quantified levels. These control programs include
benefits included in this analysis, please To model the ozone air quality
the Clean Air Interstate Rule (70 FR benefits of this rule we used the
refer to Chapter 8 of the Draft RIA. 25162, May 12, 2005), as well as many Comprehensive Air Quality Model with
(2) Plant and Ecosystem Effects of mobile source rules, some of which are Extension (CAMx). CAMx simulates the
Ozone described in Section I of this preamble. numerous physical and chemical
Ozone contributes to many As a result of these programs, the processes involved in the formation,
environmental effects, with impacts to number of areas that fail to meet the 8- transport, and destruction of ozone.
plants and ecosystems being of most hour ozone NAAQS in the future is This model is commonly used in
concern. Ozone can produce both acute expected to decrease. developing attainment demonstration
and chronic injury in sensitive species Based on the recent ozone modeling State Implementation Plans (SIPs) as
depending on the concentration level performed for the CAIR analysis, barring well as estimating the ozone reductions
and the duration of the exposure. Ozone additional local ozone precursor expected to occur from a reduction in
effects also tend to accumulate over the controls, we estimate 37 eastern emitted pollutants. Meteorological data
growing season of the plant, so that even counties (where 24 million people are are developed by a separate program,
lower concentrations experienced for a projected to live) will exceed the 8-hour the Regional Atmospheric Modeling
longer duration have the potential to ozone NAAQS in 2010.15 16 An System (RAMS), and input into CAMx.
create chronic stress on vegetation. additional 148 eastern counties (where The simulation periods modeled by
Ozone damage to plants includes visible 61 million people are projected to live) CAMx include several multi-day
injury to leaves and a reduction in food are expected to be within 10 percent of periods when ambient measurements
production through impaired the 8-hour ozone NAAQS in 2010. were representative of ozone episodes
photosynthesis, both of which can lead States with 8-hour ozone over the eastern United States: June 12–
to reduced crop yields, forestry nonattainment areas will be required to 24, July 5–15 and August 7–21, 1995.
production, and use of sensitive take action to bring those areas into The modeling domain we used includes
ornamentals in landscaping. In addition, compliance in the future. Based on the the 37 eastern states modeled in the
the reduced food production in plants final rule designating and classifying 8- Clean Air Interstate Rule (CAIR). More
and subsequent reduced root growth hour ozone nonattainment areas (69 FR detailed information is included in the
and storage below ground, can result in 23951, April 30, 2004), most 8-hour Air Quality Modeling Technical
other, more subtle plant and ecosystems ozone nonattainment areas will be Support Document (TSD), which is
impacts. These include increased required to attain the 8-hour ozone located in the docket for this rule.
susceptibility of plants to insect attack, NAAQS in the 2007 to 2014 time frame Note that the emission control
disease, harsh weather, interspecies and then be required to maintain the 8- scenarios used in the air quality and
competition and overall decreased plant hour ozone NAAQS thereafter.17 benefits modeling are slightly different
vigor. The adverse effects of ozone on Emissions of ozone precursors from the than the emission control program in
forest and other natural vegetation can engines, vessels and equipment subject this proposal reflecting further
potentially lead to species shifts and to the proposed standards contribute to refinement of the regulatory program
loss from the affected ecosystems, ozone in many, if not all, of these areas. since we performed the air quality
resulting in a loss or reduction in Therefore, the expected HC and NOX modeling for this proposal. Additional
associated ecosystem goods and reductions from the standards proposed detail on the difference between the
services. Lastly, visible ozone injury to in this action will be useful to states in modeled and proposed inventories is
leaves can result in a loss of aesthetic included in Section 3.6 of the Draft RIA.
value in areas of special scenic 14 A map of the 8-hour ozone nonattainment areas
(5) Results of the Air Quality Modeling
significance like national parks and is included in the RIA for this proposed rule.
for Ozone
wilderness areas. The 2006 ozone AQCD 15 Technical Support Document for the Final
presents more detailed information on Clean Air Interstate Rule Air Quality Modeling. According to air quality modeling
This document is available in Docket EPA–HQ– performed for this proposal, the
ozone effects on vegetation and OAR–2004–0008, Document # EPA–HQ–OAR–
ecosystems. 2004–0008–0484.
proposed controls for emissions from
the engines, vessels and equipment
16 We expect many of the 8-hour ozone

(3) Current and Projected 8-Hour Ozone nonattainment areas to adopt additional emission subject to the proposed standards are
Levels reduction programs but we are unable to quantify expected to provide nationwide
Currently, ozone concentrations or rely upon future reductions from additional state improvements in ozone levels. On a
and local programs that have not yet been adopted.
exceeding the level of the 8-hour ozone 17 The Los Angeles South Coast Air Basin 8-hour population-weighted basis, the average
NAAQS occur over wide geographic ozone nonattainment area will have until June 15, modeled future-year 8-hour ozone
areas, including most of the nation’s 2021 to reach attainment. design values would decrease by 0.7
ppb in 2020 and 0.8 ppb in 2030.18 years). The level of the annual PM2.5 with PM can also be found in the Draft
Within areas predicted to have design NAAQS was retained at 15µg/m 3, RIA.
values greater than 85 ppb the average continuing protection against health Health effects associated with short-
decrease would be somewhat higher: 0.8 effects associated with long-term term exposures (e.g. hours to days) in
ppb in 2020 and 1.0 ppb in 2030. exposures. The current form of the ambient PM2.5 include premature
annual PM2.5 standard was retained as mortality, increased hospital
B. Particulate Matter admissions, heart and lung diseases,
an annual arithmetic mean averaged
Particulate matter (PM) represents a over three years, however, the following increased cough, adverse lower-
broad class of chemically and physically two aspects of the spatial averaging respiratory symptoms, decrements in
diverse substances. It can be principally criteria were narrowed: (1) The annual lung function and changes in heart rate
characterized as discrete particles that mean concentration at each site shall be rhythm and other cardiac effects.
exist in the condensed (liquid or solid) within 10 percent of the spatially Studies examining populations exposed
phase spanning several orders of averaged annual mean, and (2) the daily to different levels of air pollution over
magnitude in size. PM is further values for each monitoring site pair a number of years, including the
described by breaking it down into size shall yield a correlation coefficient of at Harvard Six Cities Study and the
fractions. PM10 refers to particles least 0.9 for each calendar quarter. With American Cancer Society Study, show
generally less than or equal to 10 regard to the primary PM10 standards, associations between long-term
micrometers (µm) in diameter. PM2.5 the 24-hour PM10 NAAQS was retained exposure to ambient PM2.5 and both
refers to fine particles, those particles at a level of 150µg/m 3 not to be total and cardiorespiratory mortality. In
generally less than or equal to 2.5 µm in exceeded more than once per year on addition, the reanalysis of the American
diameter. Inhalable (or ‘‘thoracic’’ ) average over a three-year period. Given Cancer Society Study shows an
coarse particles refer to those particles that the available evidence does not association between fine particle and
generally greater than 2.5 µm but less suggest an association between long- sulfate concentrations and lung cancer
than or equal to 10 µm in diameter. term exposure to coarse particles at mortality. The engines, vessels and
Ultrafine PM refers to particles with current ambient levels and health equipment covered in this proposal
diameters generally less than 100 effects, EPA has revoked the annual contribute to both acute and chronic
nanometers (0.1 µm). Larger particles PM10 standard. PM2.5 exposures. Additional
(>10 µm) tend to be removed by the information on acute exposures is
With regard to the secondary PM
respiratory clearance mechanisms, available in Section 2.5 of the Draft RIA.
standards, EPA has revised these
whereas smaller particles are deposited Recently, several studies have
standards to be identical in all respects
deeper in the lungs. highlighted the adverse effects of PM
Fine particles are produced primarily to the revised primary standards.
specifically from mobile sources.21 22
by combustion processes and by Specifically, EPA has revised the
Studies have also focused on health
transformations of gaseous emissions current 24-hour PM2.5 secondary
effects due to PM exposures on or near
(e.g., SOx, NOX and VOCs) in the standard by making it identical to the
roadways.23 Although these studies
atmosphere. The chemical and physical revised 24-hour PM2.5 primary standard,
include all air pollution sources,
properties of PM2.5 may vary greatly retained the annual PM2.5 and 24-hour
including both spark-ignition (gasoline)
with time, region, meteorology and PM10 secondary standards, and revoked and diesel powered vehicles, they
source category. Thus, PM2.5, may the annual PM10 secondary standards. indicate that exposure to PM emissions
include a complex mixture of different This suite of secondary PM standards is near roadways, thus dominated by
pollutants including sulfates, nitrates, intended to provide protection against mobile sources, are associated with
organic compounds, elemental carbon PM-related public welfare effects, health effects. The proposed controls
and metal compounds. These particles including visibility impairment, effects may help to reduce exposures, and
can remain in the atmosphere for days on vegetation and ecosystems, and specifically exposures near the source,
to weeks and travel through the material damage and soiling. to mobile source related PM2.5.
atmosphere hundreds to thousands of (1) Health Effects of PM
kilometers. (2) Visibility
EPA’s final rule to amend the PM Scientific studies show ambient PM is Visibility can be defined as the degree
NAAQS addressed revisions to the associated with a series of adverse to which the atmosphere is transparent
primary and secondary NAAQS for PM health effects. These health effects are to visible light.24 Visibility impairment
to provide increased protection of discussed in detail in the 2004 EPA
public health and welfare, respectively Particulate Matter Air Quality Criteria 21 Laden, F.; Neas, L.M.; Dockery, D.W.;
(71 FR 61144, October 17, 2006). The Document (PM AQCD) as well as the Schwartz, J. (2000) Association of Fine Particulate
2005 PM Staff Paper.19 20 Further Matter from Different Sources with Daily Mortality
primary PM2.5 NAAQS include a short- in Six U.S. Cities. Environmental Health
term (24-hour) and a long-term (annual) discussion of health effects associated Perspectives 108: 941–947.
standard. The level of the 24-hour PM2.5 22 Janssen, N.A.H.; Schwartz, J.; Zanobetti, A.;
NAAQS has been revised from 65µg/m 3 19 U.S. EPA (2004) Air Quality Criteria for Suh, H.H. (2002) Air Conditioning and Source-
to 35µg/m 3 to provide increased Particulate Matter (Oct 2004), Volume I Document Specific Particles as Modifiers of the Effect of PM10
No. EPA600/P–99/002aF and Volume II Document on Hospital Admissions for Heart and Lung Disease.
protection against health effects No. EPA600/P–99/002bF. This document is Environmental Health Perspectives 110: 43–49.
associated with short-term exposures to available in Docket EPA–HQ–OAR–2004–0008. 23 Riediker, M.; Cascio, W.E.; Griggs, T.R..; Herbst,
fine particles. The current form of the This document is available electronically at: M.C.; Bromberg, P.A.; Neas, L.; Williams, R.W.;
24-hour PM2.5 standard was retained http://cfpub2.epa.gov/ncea/cfm/ Devlin, R.B. (2003) Particulate Matter Exposures in
recordisplay.cfm?deid=87903. Cars is Associated with Cardiovascular Effects in
(e.g., based on the 98th percentile
20 U.S. EPA (2005) Review of the National Healthy Young Men. Am. J. Respir. Crit. Care Med.
concentration averaged over three Ambient Air Quality Standard for Particulate 169: 934–940.
Matter: Policy Assessment of Scientific and 24 National Research Council, 1993. Protecting
18 A design value is the monitored reading used Technical Information, OAQPS Staff Paper. EPA– Visibility in National Parks and Wilderness Areas.
by EPA to determine an area’s air quality status; 452/R–05–005. This document is available National Academy of Sciences Committee on Haze
e.g., for ozone, the fourth highest reading measured electronically at http://www.epa.gov/ttn/naaqs/ in National Parks and Wilderness Areas. National
over the most recent three years is the design value. standards/pm/s_pm_cr_sp.html and in Docket Academy Press, Washington, DC. This document is
(http://www.epa.gov/OCEPAterms/dterms.html). EPA–HQ–OAR–2004–0008. available in Docket EPA–HQ–OAR–2004–0008.
manifests in two principal ways: as established as equal to the suite of NAAQS projected PM2.5 levels in 2015.
local visibility impairment and as primary (health-based) NAAQS. These projections include all sources of
regional haze.25 Local visibility Furthermore, section 169 of the Act PM2.5, including the engines, vessels
impairment may take the form of a provides additional authorities to and equipment covered in this rule, and
localized plume, a band or layer of remedy existing visibility impairment suggest that PM2.5 levels above the
discoloration appearing well above the and prevent future visibility impairment NAAQS will persist into the future.
terrain as a result from complex local in the 156 national parks, forests and The engines, vessels and equipment
meteorological conditions. wilderness areas categorized as that would be subject to these proposed
Alternatively, local visibility mandatory class I Federal areas (62 FR standards contribute to visibility
impairment may manifest as an urban 38680–81, July 18, 1997).28 In July 1999 concerns in these areas through both
haze, sometimes referred to as a ‘‘brown the regional haze rule (64 FR 35714) was their primary PM emissions and their
cloud.’’ This urban haze is largely put in place to protect the visibility in VOC and NOX emissions, which
caused by emissions from multiple mandatory class I federal areas. contribute to the formation of secondary
sources in the urban areas and is not Visibility can be said to be impaired in PM2.5. Reductions in these direct and
typically attributable to only one nearby both PM2.5 nonattainment areas and secondary PM emissions will help to
source or to long-range transport. The mandatory class I federal areas. improve visibility across the nation,
second type of visibility impairment, (a) Current Visibility Impairment including mandatory class I federal
regional haze, usually results from areas.
multiple pollution sources spread over Recently designated PM2.5
a large geographic region. Regional haze nonattainment areas indicate that, as of (3) Atmospheric Deposition
can impair visibility over large regions October 2006, almost 90 million people Wet and dry deposition of ambient
and across states. live in nonattainment areas for the 1997 particulate matter delivers a complex
Visibility is important because it has PM2.5 NAAQS. Thus, at least these mixture of metals (e.g., mercury, zinc,
direct significance to people’s populations would likely be lead, nickel, aluminum, cadmium),
enjoyment of daily activities in all parts experiencing visibility impairment, as organic compounds (e.g., POM, dioxins,
of the country. Individuals value good well as many thousands of individuals furans) and inorganic compounds (e.g.,
visibility for the well-being it provides who travel to these areas. In addition, nitrate, sulfate) to terrestrial and aquatic
them directly, where they live and while visibility trends have improved in ecosystems. The chemical form of the
work, and in places where they enjoy mandatory Class I federal areas, the compounds deposited is impacted by a
recreational opportunities. Visibility is most recent data show that these areas variety of factors including ambient
also highly valued in significant natural continue to suffer from visibility conditions (e.g., temperature, humidity,
areas such as national parks and impairment. In summary, visibility oxidant levels) and the sources of the
wilderness areas, and special emphasis impairment is experienced throughout material. Chemical and physical
is given to protecting visibility in these the U.S., in multi-state regions, urban transformations of the particulate
areas. For more information on visibility areas, and remote mandatory class I compounds occur in the atmosphere as
see the 2004 PM AQCD as well as the federal areas.29 30 The mandatory class I well as the media onto which they
2005 PM Staff Paper.26 27 federal areas are listed in Chapter 2 of deposit. These transformations in turn
Fine particles are the major cause of the RIA for this action. The areas that influence the fate, bioavailability and
reduced visibility in parts of the United have design values above the 1997 PM2.5 potential toxicity of these compounds.
States. To address the welfare effects of NAAQS are also listed in Chapter 2 of
Atmospheric deposition has been
PM on visibility, EPA set secondary the RIA for this action.
identified as a key component of the
PM2.5 standards that would act in (b) Future Visibility Impairment environmental and human health
conjunction with the establishment of a hazard posed by several pollutants
Recent modeling for the CAIR was
regional haze program. In setting this including mercury, dioxin and PCBs.32
used to project visibility conditions in
secondary standard, EPA concluded that Adverse impacts on water quality can
mandatory class I federal areas across
PM2.5 causes adverse effects on visibility occur when atmospheric contaminants
the country in 2015. The results for the
in various locations, depending on PM mandatory class I federal areas suggest deposit to the water surface or when
concentrations and factors such as that these areas are predicted to material deposited on the land enters a
chemical composition and average continue to have annual average waterbody through runoff. Potential
relative humidity. The secondary deciview levels above background in the impacts of atmospheric deposition to
(welfare-based) PM2.5 NAAQS was future.31 Modeling done for the PM waterbodies include those related to
both nutrient and toxic inputs. Adverse
This book can be viewed on the National Academy 28 These areas are defined in section 162 of the effects to human health and welfare can
Press Website at http://www.nap.edu/books/
0309048443/html/.
Act as those national parks exceeding 6,000 acres, occur from the addition of excess
wilderness areas and memorial parks exceeding particulate nitrate nutrient enrichment,
25 See discussion in U.S. EPA , National Ambient
5,000 acres, and all international parks which were
Air Quality Standards for Particulate Matter; in existence on August 7, 1977. which contributes to toxic algae blooms
Proposed Rule; January 17, 2006, Vol71 p 2676. 29 US EPA, Air Quality Designations and and zones of depleted oxygen, which
This information is available electronically at Classifications for the Fine Particles (PM2.5) can lead to fish kills, frequently in
http://epa.gov/fedrgstr/EPA-AIR/2006/January/Day- National Ambient Air Quality Standards, December
17/a177.pdf. coastal waters. Particles contaminated
17, 2004. (70 FR 943, Jan 5. 2005) This document
26 U.S. EPA (2004) Air Quality Criteria for
is also available on the web at: http://www.epa.gov/ with heavy metals or other toxins may
Particulate Matter (Oct 2004), Volume I Document pmdesignations/. lead to the ingestion of contaminated
No. EPA600/P–99/002aF and Volume II Document 30 US EPA. Regional Haze Regulations, July 1,
fish, ingestion of contaminated water,
No. EPA600/P–99/002bF. This document is 1999. (64 FR 35714, July 1, 1999).

available in Docket EPA–HQ–OAR–2004–0008. 31 The deciview metric describes perceived visual
damage to the marine ecology, and
27 U.S. EPA (2005) Review of the National
changes in a linear fashion over its entire range,
limited recreational uses. Several
Ambient Air Quality Standard for Particulate analogous to the decibel scale for sound. A
Matter: Policy Assessment of Scientific and deciview of 0 represents pristine conditions. The 32 U.S. EPA (2000) Deposition of Air Pollutants to
Technical Information, OAQPS Staff Paper. EPA– higher the deciview value, the worse the visibility, the Great Waters: Third Report to Congress. Office
452/R–05–005. This document is available in and an improvement in visibility is a decrease in of Air Quality Planning and Standards. EPA–453/
Docket EPA–HQ–OAR–2004–0008. deciview value. R–00–0005.
studies have been conducted in U.S. contaminated vegetation or livestock (as exceeding 88 million. As mentioned in
coastal waters and in the Great Lakes in the case for dioxin deposition), Section II.B.2, the 1997 PM2.5 NAAQS
Region in which the role of ambient PM reduction in crop yield, and limited use was recently revised and the 2006 PM2.5
deposition and runoff is of land due to contamination. NAAQS became effective on December
investigated.33 34 35 36 37 18, 2006. Table II–1 presents the
Adverse impacts on soil chemistry (4) Current and Projected PM2.5 Levels
number of counties in areas currently
and plant life have been observed for In 2005 EPA designated 39 designated as nonattainment for the
areas heavily impacted by atmospheric nonattainment areas for the 1997 PM2.5
1997 PM2.5 NAAQS as well as the
deposition of nutrients, metals and acid NAAQS based on air quality design
number of additional counties that have
species, resulting in species shifts, loss values (using 2001–2003 or 2002–2004
measurements) and a number of other monitored data that is violating the 2006
of biodiversity, forest decline and
damage to forest productivity. Potential factors (70 FR 943, January 5, 2005).38 PM2.5 NAAQS. Nonattainment areas
impacts also include adverse effects to These areas are comprised of 208 full or will be designated with respect to the
human health through ingestion of partial counties with a total population new 2006 PM2.5 NAAQS in early 2010.
TABLE II–1.—FINE PARTICLE STANDARDS: CURRENT NONATTAINMENT AREAS AND OTHER VIOLATING COUNTIES
Number of
Nonattainment areas/other violating counties Population 1
counties
1997 PM2.5 Standards: 39 areas currently designated ................................................................................... 208 88,394,000

2006 PM2.5 Standards: counties with violating monitors 2 ............................................................................... 49 18,198,676
Total .......................................................................................................................................................... 257 106,592,676

1 Population numbers are from 2000 census data.
2 Thistable provides an estimate of the counties violating the 2006 PM2.5 NAAQS based on 2003–05 air quality data. The areas designated as
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 summary
table include only the counties with monitors violating the 2006 PM2.5 NAAQS. The monitored county violations may be an underestimate of the
number of counties and populations that will eventually be included in areas with multiple counties designated nonattainment.
Based on modeling performed for the (5) Current PM10 Levels except acetaldehyde, were identified as
PM NAAQS analysis, we estimate that national or regional risk drivers in the
As of October 2006 approximately 1999 National-Scale Air Toxics
52 counties (where 53 million people
28.5 million people live in 46 Assessment (NATA) and have
are projected to live) will exceed the
designated PM10 nonattainment areas, significant inventory contributions from
2006 PM2.5 standard in 2015.39 In
which include all or part of 46 counties.
addition, 54 counties (where 27 million mobile sources. That is, for a significant
These population numbers do not
people are projected to live) are portion of the population, these
include the people living in areas where
expected to be within 10 percent of the compounds pose a significant portion of
there is a potential risk of failing to
2006 PM2.5 NAAQS in 2015. the total cancer risk from breathing
maintain or achieve the PM10 NAAQS in
outdoor air toxics. The reductions in the
Areas designated as not attaining the the future. The expected PM, HC and
NOX inventory reductions from these emissions from these engines, vessels
1997 PM2.5 NAAQS will need to attain
proposed standards would be useful to and equipment would help reduce
these standards in the 2010 to 2015 time
states in maintaining the PM10 NAAQS. exposure to these harmful substances.
frame, and then be required to maintain
the NAAQS thereafter. The attainment Air toxics can cause a variety of
C. Air Toxics cancer and noncancer health effects. A
dates associated with the potential new
2006 PM2.5 nonattainment areas would Emissions from the engines, vessels number of the mobile source air toxic
likely be in the 2015 to 2020 timeframe. and equipment subject to the proposed pollutants described in this section are
The emission standards being proposed standards contribute to ambient levels known or likely to pose a cancer hazard
in this action would become effective as of gaseous air toxics known or in humans. Many of these compounds
early as 2009 making the expected HC, suspected as human or animal also cause adverse noncancer health
NOX and PM inventory reductions from carcinogens, or that have non-cancer effects resulting from chronic,40
this rulemaking useful to states in health effects. These compounds subchronic,41 or acute 42 inhalation
attaining or maintaining the PM2.5 include benzene, 1,3-butadiene, exposures. These include neurological,
formaldehyde, acetaldehyde, acrolein, cardiovascular, liver, kidney, and
NAAQS.
polycyclic organic matter (POM), and respiratory effects as well as effects on
naphthalene. All of these compounds, the immune and reproductive systems.
33 U.S. EPA (2004) National Coastal Condition Angeles Basin and adjacent coastal waters. J. 40 Chronic exposure is defined in the glossary of
Report II. Office of Research and Development/ Geophys. Res. 108(D2, 4074): AAC 11–1 to 11–24. the Integrated Risk Information (IRIS) database
Office of Water. EPA–620/R–03/002. 37 Marvin, C.H., M.N. Charlton, E.J. Reiner, et al. (http://www.epa.gov/iris) as repeated exposure by
34 Gao, Y., E.D. Nelson, M.P. Field, et al. 2002.
2002. Surficial sediment contamination in Lakes the oral, dermal, or inhalation route for more than
Characterization of atmospheric trace elements on Erie and Ontario: A comparative analysis. J. Great approximately 10% of the life span in humans
PM2.5 particulate matter over the New York-New (more than approximately 90 days to 2 years in
Lakes Res. 28(3): 437–450.
Jersey harbor estuary. Atmos. Environ. 36: 1077– 38 The full details involved in calculating a PM typically used laboratory animal species).
1086. 2.5
design value are given in Appendix N of 40 CFR 41 Defined in the IRIS database as exposure to a
35 Kim, G., N. Hussain, J.R. Scudlark, and T.M.
Church. 2000. Factors influencing the atmospheric part 50. substance spanning approximately 10 of the
depositional fluxes of stable Pb, 210Pb, and 7Be 39 US EPA (2006). Regulatory Impact Analysis for lifetime of an organism.
into Chesapeake Bay. J. Atmos. Chem. 36: 65–79. the 2006 NAAQS for Particle Pollution. This 42 Defined in the IRIS database as exposure by the
36 Lu, R., R.P. Turco, K. Stolzenbach, et al. 2003. document is available in Docket EPA-HQ–OAR– oral, dermal, or inhalation route for 24 hours or
Dry deposition of airborne trace metals on the Los 2004–0008. less.
Benzene. The EPA’s Integrated Risk 1,3-Butadiene. EPA has characterized leukemia among workers exposed to
Information (IRIS) database lists 1,3-butadiene as carcinogenic to formaldehyde.60 Based on the
benzene as a known human carcinogen humans by inhalation.54 55 The specific developments of the last decade the
(causing leukemia) by all routes of mechanisms of 1,3-butadiene-induced working group of the International
exposure, and that exposure is carcinogenesis are unknown. However, Agency for Research on Cancer (IARC)
associated with additional health it is virtually certain that the concluded in 2004 that formaldehyde is
effects, including genetic changes in carcinogenic effects are mediated by carcinogenic to humans (Group 1), a
both humans and animals and increased genotoxic metabolites of 1,3-butadiene. higher classification than previous IARC
proliferation of bone marrow cells in Animal data suggest that females may be evaluations, on the basis of sufficient
mice.43 44 45 EPA states in its IRIS more sensitive than males for cancer evidence in humans and sufficient
database that data indicate a causal effects, but there are insufficient data in evidence in experimental animals.
relationship between benzene exposure humans from which to draw Formaldehyde exposure also causes a
and acute lymphocytic leukemia and conclusions about sensitive range of noncancer health effects,
suggests a relationship between benzene subpopulations. 1,3-Butadiene also including irritation of the eyes (tearing
exposure and chronic non-lymphocytic causes a variety of reproductive and of the eyes and increased blinking) and
leukemia and chronic lymphocytic developmental effects in mice; no mucous membranes.
leukemia. A number of adverse human data on these effects are Acetaldehyde. Acetaldehyde is
noncancer health effects including available. The most sensitive effect was classified in EPA’s IRIS database as a
blood disorders, such as preleukemia ovarian atrophy observed in a lifetime probable human carcinogen, based on
and aplastic anemia, have also been bioassay of female mice.56 nasal tumors in rats, and is considered
associated with long-term exposure to Formaldehyde. Since 1987, EPA has toxic by the inhalation, oral, and
benzene.46 47 The most sensitive classified formaldehyde as a probable intravenous routes.61 The primary acute
noncancer effect observed in humans, human carcinogen based on evidence in effect of exposure to acetaldehyde
based on current data, is the depression humans and in rats, mice, hamsters, and vapors is irritation of the eyes, skin, and
of the absolute lymphocyte count in monkeys.57 EPA is currently reviewing respiratory tract.62 The agency is
blood.48 49 In addition, recent work, recently published epidemiological currently conducting a reassessment of
including studies sponsored by the data. For instance, recently released the health hazards from inhalation
Health Effects Institute (HEI), provides research conducted by the National exposure to acetaldehyde.
evidence that biochemical responses are Cancer Institute (NCI) found an Acrolein. Acrolein is intensely
occurring at lower levels of benzene increased risk of nasopharyngeal cancer irritating to humans when inhaled, with
exposure than previously and lymphohematopoietic malignancies acute exposure resulting in upper
known.50 51 52 53 EPA’s IRIS program has such as leukemia among workers respiratory tract irritation and
not yet evaluated these new data. exposed to formaldehyde.58 59 NCI is congestion. EPA determined in 2003
currently performing an update of these using the 1999 draft cancer guidelines
43 U.S. EPA (2000). Integrated Risk Information studies. A recent National Institute of that the human carcinogenic potential of
System File for Benzene. This material is available Occupational Safety and Health acrolein could not be determined
electronically at http://www.epa.gov/iris/subst/ (NIOSH) study of garment workers also
0276.htm. because the available data were
44 International Agency for Research on Cancer,
found increased risk of death due to inadequate. No information was
IARC monographs on the evaluation of carcinogenic available on the carcinogenic effects of
51 Qu, Q., R. Shore, G. Li, X. Jin, L.C. Chen, B.
risk of chemicals to humans, Volume 29, Some
industrial chemicals and dyestuffs, International Cohen, et al. (2002). Hematological changes among acrolein in humans and the animal data
Agency for Research on Cancer, World Health Chinese workers with a broad range of benzene provided inadequate evidence of
Organization, Lyon, France, p. 345–389, 1982. exposures. Am. J. Industr. Med. 42: 275–285. carcinogenicity.63
52 Lan, Qing, Zhang, L., Li, G., Vermeulen, R., et
45 Irons, R.D.; Stillman, W.S.; Colagiovanni, D.B.;
Polycyclic Organic Matter (POM).
Henry, V.A. (1992) Synergistic action of the al. (2004). Hematotoxically in Workers Exposed to
Low Levels of Benzene. Science 306: 1774–1776. POM is generally defined as a large class
benzene metabolite hydroquinone on myelopoietic
stimulating activity of granulocyte/macrophage 53 Turtletaub, K.W. and Mani, C. (2003). Benzene of organic compounds with multiple
colony-stimulating factor in vitro, Proc. Natl. Acad. metabolism in rodents at doses relevant to human benzene rings and a boiling point
Sci. 89:3691–3695. exposure from Urban Air. Research Reports Health greater than 100 degrees Celsius. One of
46 Aksoy, M. (1989). Hematotoxicity and Effect Inst. Report No.113.
54 U.S. EPA. (2002). Health Assessment of 1,3-
these compounds, naphthalene, is
carcinogenicity of benzene. Environ. Health
Perspect. 82: 193–197. Butadiene. Office of Research and Development, discussed separately below. Polycyclic
47 Goldstein, B.D. (1988). Benzene toxicity. National Center for Environmental Assessment, aromatic hydrocarbons (PAH) are a class
Occupational medicine. State of the Art Reviews. 3: Washington Office, Washington, DC. Report No. of POM that contain only hydrogen and
541–554. EPA600–P–98–001F. carbon atoms. A number of PAHs are
48 Rothman, N., G.L. Li, M. Dosemeci, W.E. 55 U.S. EPA (1998). A Science Advisory Board
Report: Review of the Health Risk Assessment of

known or suspected carcinogens.
Bechtold, G.E. Marti, Y.Z. Wang, M. Linet, L.Q. Xi,
W. Lu, M.T. Smith, N. Titenko-Holland, L.P. Zhang, 1,3-Butadiene. EPA–SAB–EHC–98.
56 Bevan, C.; Stadler, J.C.; Elliot, G.S.; et al. (1996) 60 Pinkerton, L.E. 2004. Mortality among a cohort
W. Blot, S.N. Yin, and R.B. Hayes (1996)
Hematotoxicity among Chinese workers heavily Subchronic toxicity of 4-vinylcyclohexene in rats of garment workers exposed to formaldehyde: an
exposed to benzene. Am. J. Ind. Med. 29: 236–246. and mice by inhalation. Fundam. Appl. Toxicol. update. Occup. Environ. Med. 61: 193–200.
49 EPA 2005 ‘‘Full IRIS Summary for Benzene 32:1–10. 61 U.S. EPA (1988). Integrated Risk Information
57 U.S. EPA (1987). Assessment of Health Risks to System File of Acetaldehyde. This material is
(CASRN 71–43–2)’’ Environmental Protection
Agency, Integrated Risk Information System (IRIS), Garment Workers and Certain Home Residents from available electronically at http://www.epa.gov/iris/
Office of Health and Environmental Assessment, Exposure to Formaldehyde, Office of Pesticides and subst/0290.htm.
Environmental Criteria and Assessment Office, Toxic Substances, April 1987. 62 U.S. EPA (1988). Integrated Risk Information
Cincinnati, OH http://www.epa.gov/iris/subst/ 58 Hauptmann, M.; Lubin, J.H.; Stewart, P.A.; System File of Acetaldehyde. This material is
0276.htm. Hayes, R.B.; Blair, A. 2003. Mortality from available electronically at http://www.epa.gov/iris/
50 Qu, O.; Shore, R.; Li, G.; Jin, X.; Chen, C.L.; lymphohematopoetic malignancies among workers subst/0290.htm.
Cohen, B.; Melikian, A.; Eastmond, D.; Rappaport, in formaldehyde industries. Journal of the National 63 U.S. EPA. 2003. Integrated Risk Information
S.; Li, H.; Rupa, D.; Suramaya, R.; Songnian, W.; Cancer Institute 95: 1615–1623. System File of Acrolein. Research and
Huifant, Y.; Meng, M.; Winnik, M.; Kwok, E.; Li, Y.; 59 Hauptmann, M.; Lubin, J.H.; Stewart, P.A.; Development, National Center for Environmental
Mu, R.; Xu, B.; Zhang, X.; Li, K. (2003). HEI Report Hayes, R.B.; Blair, A. 2004. Mortality from solid Assessment, Washington, DC. This material is
115, Validation & Evaluation of Biomarkers in cancers among workers in formaldehyde industries. available electronically at http://www.epa.gov/iris/
Workers Exposed to Benzene in China. American Journal of Epidemiology 159: 1117–1130. subst/0364.htm.
Recent studies have found that significantly to CO concentrations in team consisting of the National Park
maternal exposures to PAHs in a more than one nonattainment area (59 Service, the U.S. Department of the
population of pregnant women were FR 31306, June 17, 1994). We have also Interior, and the National Institute for
associated with several adverse birth previously found that emissions from Occupational Safety and Health
outcomes, including low birth weight Small SI engines contribute to CO maintains a record of published CO-
and reduced length at birth, as well as concentrations in more than one related fatal and nonfatal poisonings.73
impaired cognitive development at age nonattainment area. We propose to find Between 1984 and 2004, 113 CO-related
three.64 65 EPA has not yet evaluated here, based on the information in this deaths and 458 non-fatal CO poisonings
these recent studies. section of the preamble and Chapters 2 have been identified based on hospital
Naphthalene. Naphthalene is found and 3 of the Draft RIA, that emissions records, press accounts and other
in small quantities in gasoline and from Marine SI engines and vessels information. Deaths have been
diesel fuels but is primarily a product of likewise contribute to CO attributed to exhaust from both onboard
combustion. EPA recently released an concentrations in more than one CO generators and propulsion engines.
external review draft of a reassessment nonattainment area. Houseboats, cabin cruisers, and ski
of the inhalation carcinogenicity of Carbon monoxide enters the boats are the most common types of
naphthalene.66 The draft reassessment bloodstream through the lungs, forming boats associated with CO poisoning
recently completed external peer carboxyhemoglobin and reducing the cases. These incidents have prompted
review.67 Based on external peer review delivery of oxygen to the body’s organs other federal agencies, including the
comments, additional analyses are being and tissues. The health threat from CO United States Coast Guard and National
considered. California EPA has released is most serious for those who suffer Park Service, to issue advisory
a new risk assessment for naphthalene, from cardiovascular disease, statements and other interventions to
and the IARC has reevaluated particularly those with angina or
naphthalene and re-classified it as boaters to avoid excessive CO
peripheral vascular disease. Healthy exposure.74
Group 2B: possibly carcinogenic to individuals also are affected, but only at
humans.68 Naphthalene also causes a As of October 2006, there were
higher CO levels. Exposure to elevated
number of chronic non-cancer effects in approximately 15 million people living
CO levels is associated with impairment
animals, including abnormal cell in 6 areas (which include 10 counties)
of visual perception, work capacity,
changes and growth in respiratory and manual dexterity, learning ability and designated as nonattainment for CO.
nasal tissues.69 performance of complex tasks. Carbon The CO nonattainment areas are
In addition to reducing VOC, NOX, presented in the Draft RIA.
monoxide also contributes to ozone
CO and PM2.5 emissions from these EPA previously determined that
nonattainment since carbon monoxide
engines, vessels and equipment, the emissions from nonroad engines and
reacts photochemically in the
standards proposed in this document equipment contribute significantly to
atmosphere to form ozone.70 Additional
would also reduce air toxics emitted
information on CO related health effects ozone and CO concentrations in more
from these engines, vessels and
can be found in the Carbon Monoxide than one nonattainment area (59 FR
equipment, thereby helping to mitigate
Air Quality Criteria Document (CO 31306, June 17, 1994). EPA also
some of the adverse health effects
AQCD).71 determined that the categories of small
associated with operation of these
engines, vessels and equipment. In addition to health effects from land-based SI engines cause or
chronic exposure to ambient CO levels, contribute to ambient ozone and CO in
D. Carbon Monoxide acute exposures to higher levels are also more than one nonattainment area (65
Carbon monoxide (CO) is a colorless, a problem, see the Draft RIA for FR 76790, Dec. 7, 2000). With regard to
odorless gas produced through the additional information. In recent years a Marine SI engines and vessels, our
incomplete combustion of carbon-based substantial number of CO poisonings NONROAD model indicates that these
fuels. The current primary NAAQS for and deaths have occurred on and engines are present in each of the CO
CO are 35 ppm for the 1-hour average around recreational boats across the nonattainment areas and thus contribute
and nine ppm for the 8-hour average. nation.72 The actual number of deaths to CO concentrations in those
These values are not to be exceeded attributable to CO poisoning while nonattainment areas. The CO
more than once per year. boating is difficult to estimate because contribution from Marine SI engines in
We have already found that emissions CO-related deaths in the water may be classified CO nonattainment areas is
from nonroad engines contribute labeled as drowning. An interagency presented in Table II–2.
64 Perera, F.P.; Rauh, V.; Tsai, W–Y.; et al. (2002) Reassessment of the Inhalation Carcinogenicity of 72 Mott, J.S.; Wolfe, M.I.; Alverson, C.J.;
Effect of transplacental exposure to environmental Naphthalene. August 2004. http://cfpub2.epa.gov/ Macdonald, S.C.; Bailey, C.R.; Ball, L.B.; Moorman,
pollutants on birth outcomes in a multiethnic ncea/cfm/recordisplay.cfm?deid=86019. J.E.; Somers, J.H.; Mannino, D.M.; Redd, S.C. (2002)
population. Environ Health Perspect. 111: 201–205. 68 International Agency for Research on Cancer
National Vehicle Emissions Policies and Practices
65 Perera, F.P.; Rauh, V.; Whyatt, R.M.; Tsai, W.Y.;
(IARC). (2002). Monographs on the Evaluation of and Declining US Carbon Monoxide-Related
Tang, D.; Diaz, D.; Hoepner, L.; Barr, D.; Tu, Y.H.; the Carcinogenic Risk of Chemicals for Humans. Mortality. JAMA 288:988–995.
Camann, D.; Kinney, P. (2006) Effect of prenatal Vol. 82. Lyon, France. 73 National Park Service; Department of the
exposure to airborne polycyclic aromatic 69 U.S. EPA. 1998. Toxicological Review of
hydrocarbons on neurodevelopment in the first 3 Interior; National Institute for Occupational Safety
Naphthalene, Environmental Protection Agency,
years of life among inner-city children. Environ and Health. (2004) Boat-related carbon monoxide
Health Perspect 114: 1287–1292. Integrated Risk Information System, Research and
poisonings. This document is available
66 U.S. EPA. 2004. Toxicological Review of Development, National Center for Environmental
Assessment, Washington, DC. This material is electronically at http://safetynet.smis.doi.gov/
Naphthalene (Reassessment of the Inhalation thelistbystate10–19–04.pdf and in docket EPA–HQ–
available electronically at http://www.epa.gov/iris/
Cancer Risk), Environmental Protection Agency, OAR–2004–0008.

Integrated Risk Information System, Research and subst/0436.htm.
70 U.S. EPA (2000). Air Quality Criteria for Carbon 74 U.S Department of the Interior. (2004) Carbon
Development, National Center for Environmental
Assessment, Washington, DC. This material is Monoxide, EPA/600/P–99/001F. This document is monoxide dangers from generators and propulsion
available electronically at http://www.epa.gov/iris/ available in Docket EPA–HQ–OAR–2004–0008. engines. On-board boats—compilation of materials.
subst/0436.htm. 71 U.S. EPA (2000). Air Quality Criteria for Carbon This document is available online at http://
67 Oak Ridge Institute for Science and Education. Monoxide, EPA/600/P–99/001F. This document is safetynet.smis.doi.gov/COhouseboats.htm and in
(2004). External Peer Review for the IRIS available in Docket EPA–HQ–OAR–2004–0008. docket EPA–HQ–OAR–2004–0008.
TABLE II–2.—CO EMISSIONS FROM MARINE SI ENGINES AND VESSELS IN CLASSIFIED CO NONATTAINMENT AREAS
CO (short tons
Area County Category in 2005)
Missoula, MT .......................................... Missoula ................................................. Marine SI ................................................ 94

Las Vegas, NV ....................................... Clark ....................................................... Marine SI ................................................ 3,016
Reno, NV ................................................ Washoe .................................................. Marine SI ................................................ 3,494
El Paso, TX ............................................ El Paso ................................................... Marine SI ................................................ 37
South Coast Air Basin ............................ Los Angeles ........................................... Marine SI ................................................ 4,615
Riverside ................................................ Marine SI ................................................ 1,852
Orange ................................................... Marine SI ................................................ 5,360
San Bernardino ...................................... Marine SI ................................................ 2,507
Source: U.S. EPA, NONROAD 2005 model.
Based on the national inventory engines were almost all two-stroke CO concentrations in two or more
numbers in Chapter 3 of the Draft RIA engines with much higher emission nonattainment areas of the United
and the local inventory numbers rates compared to the SD/I engines, States. We believe the proposed CO
described in this section of the which were all four-stroke engines. We standards will also reduce the exposure
preamble, we propose to find that pointed out in that initial rulemaking of individual boaters and bystanders to
emissions of CO from Marine SI engines that we wanted to avoid imposing costs potentially dangerous CO levels.
and vessels contribute to CO on SD/I engines that could cause a We believe catalyst technology is
concentrations in more than one CO market shift to increased use of the available for achieving these proposed
nonattainment area. higher-emitting outboard engines, standards. Catalysts have been used for
which would undermine the broader decades in automotive applications to
III. Sterndrive and Inboard Marine
goal of achieving the greatest degree of reduce emissions, and catalyst
Engines
emission control from the full set of manufacturers have continued to
A. Overview Marine SI engines. develop and improve this technology.
This section applies to sterndrive and We believe now is an appropriate Design issues for using catalysts in
inboard marine (SD/I) engines. time to set standards for SD/I engines, marine applications are primarily
Sterndrive and inboard engines are for several reasons. First, the available centered on packaging catalysts in the
spark-ignition engines typically derived technology for SD/I engines has water-jacketed, wet exhaust systems
from automotive engine blocks for developed significantly, so we are now seen on most SD/I engines. Section III.G
which a manufacturer will take steps to able to anticipate substantial emission discusses recent development work that
‘‘marinize’’ the engine for use in marine reductions. With the simultaneous has shown success in packaging
applications. This marinization process developments in technology for catalysts in SD/I applications. In
includes choosing and optimizing the outboard and personal watercraft addition, there are ongoing efforts in
fuel management system, configuring a engines, we can set standards that evaluating catalyst technology in SD/I
marine cooling system, adding intake achieve substantial emission reductions engines being sponsored by the marine
and exhaust manifolds, and adding from all Marine SI engines. Second, now industry, U.S. Coast Guard, and
accessory drives and units. These that California has adopted standards California ARB.
engines typically have water-jacketed for SD/I engines, the cost impact of B. Engines Covered by This Rule
exhaust systems to keep surface setting new standards for manufacturers
temperatures low. Ambient surface serving the California market is (1) Definition of Sterndrive and Inboard
water (seawater or freshwater) is generally limited to the hardware costs Engines
generally added to the exhaust gases of adding emission control technology; For the purpose of this regulation, SD/
before the mixture is expelled under these manufacturers will be undergoing I engines encompass all spark-ignition
water. a complete redesign effort for these marine propulsion engines that are not
As described in Section I, the initial engines to meet the California outboard or personal watercraft engines.
rulemaking to set standards for Marine standards. Third, we believe SD/I A discussion of the proposed new
SI engines did not include final engines meeting the proposed standards definitions for outboard and personal
emission standards for SD/I engines. In will in many cases have performance watercraft engines is in Section IV.B.
that rulemaking, we finalized the advantages over pre-control engines, We consider all the following to be SD/
finding under Clean Air Act section which will allow manufacturers of SD/ I engines: inboard, sterndrive (also
213(a)(3) that all Marine SI engines I engines to promote their engines as known as inboard/outboard), airboat
cause or contribute to ozone having a greater value to justify any engines, and jet boat engines.
concentrations in two or more ozone price increases. As a result, we believe The existing definitions for sterndrive
nonattainment areas in the United we can achieve the maximum emission and inboard engines from 40 CFR part
States. However, because uncontrolled reductions from Marine SI engines by 91 are presented below:
SD/I engines appeared to be a low- setting standards for SD/I engines based • Sterndrive engine means a four
emission alternative to outboard and on the use of catalyst technology at the stroke Marine SI engine that is designed
personal watercraft engines in the same time that we adopt more stringent such that the drive unit is external to
marketplace, even after the emission standards for outboard and personal the hull of the marine vessel, while the
standards for these engines were fully watercraft engines. engine is internal to the hull of the
phased in, we decided to set emission As described in Section II, we are marine vessel.
standards only for outboard and proposing to make the finding under • Inboard engine means a four stroke
personal watercraft engines. At that Clean Air Act section 213(a)(3) that Marine SI engine that is designed such
time, outboard and personal watercraft Marine SI engines cause or contribute to that the propeller shaft penetrates the
hull of the marine vessel while the propeller-driven vessels, jet boats, dealership or otherwise offered for sale
engine and the remainder of the drive airboats, and hovercraft. to the general public.
unit is internal to the hull of the marine High-performance SD/I engines are • Sale of the vessel in which the
vessel. generally characterized by high-speed engine is installed must be limited to
We are proposing to amend the above operation, supercharged air intake, professional racers or other qualified
definitions for determining which customized parts, very high power racers.
exhaust emission standards apply to densities, and a short time until rebuild • The engine must have performance
spark-ignition marine engines in 2009. (50 to 200 hours). Based on current SD/ characteristics that are substantially
The new proposed definition would be I product offerings, we are proposing to superior to noncompetitive models (e.g.
a single term to include sterndrive and define a high-performance engine as an higher power-to-weight ratio).
inboard engines together as a single SD/I engine with maximum power at or • The engines must be intended for
engine category. The proposed above 373 kW (500 hp) that has design use only in racing events sanctioned
definition for sterndrive/inboard also is features to enhance power output such (with applicable permits) by the Coast
drafted to include all engines not that the expected operating time until Guard or other public organization, with
otherwise classified as outboard or rebuild is substantially shorter than 480 operation limited to racing events,
personal watercraft engines. Note that hours. speed record attempts, and official time
we are proposing to revise the trials.
(2) Exclusions and Exemptions Engine manufacturers would make
definitions of outboard and personal
their request for each new model year,
watercraft engines as described in We are proposing to extend our basic
and we would deny a request for future
Section IV.B. nonroad exemptions to the SD/I engines
production if there are indications that
The proposed definition has several and vessels covered by this proposal.
some engines covered by previous
noteworthy impacts. First, it removes a These include the testing exemption,
requests are not being used solely for
requirement that only four-stroke the manufacturer-owned exemption, the
competition. Competition engines are
engines can qualify as sterndrive/ display exemption, and the national-
produced and sold in very small
inboard engines. We believe limiting the security exemption. If the conditions for
quantities, so manufacturers should be
definition to include only four-stroke an exemption are met, then the engine
able to identify which engines qualify
engines is unnecessarily restrictive and is not subject to the exhaust emission
for this exemption. We are also
could create an incentive to use two- standards. These exemptions are
proposing to apply the same criteria to
stroke (or rotary) engines to avoid the described in more detail under Section
outboard and personal watercraft
proposed catalyst-based standards. VIII.
engines and vessels. We request
Second, it removes limitations caused In the rulemaking for recreational comment on this approach to qualifying
by reference to propellers. The vehicles, we chose not to apply for a competition exemption.
definition should not refer specifically standards to hobby products by We are proposing a new exemption to
to propellers, because there are other exempting all reduced-scale models of address individuals who manufacture
propulsion drives on marine vessels, vehicles that are not capable of recreational marine vessels for personal
such as jet drives, that could be used transporting a person (67 FR 68242, use (see § 1045.630). Under the
with SD/I engines. Third, as explained November 8, 2002). We are proposing to proposed exemption, these vessels and
in the section on the OB/PWC extend that same provision to SD/I their engines could be exempt from
definitions, the proposed definitions marine engines (see § 1045.5). standards, subject to certain limitations.
treat engines installed in open-bay The Clean Air Act provides for For example, an individual may
vessels (e.g. jet boats) and in vessels different treatment of engines used produce one such vessel over a ten-year
over 4 meters long as SD/I engines. solely for competition. Rather than period, the vessel may not be used for
Finally, the existing definition does not relying on engine design features that commercial purposes, and any exempt
clearly specify how to treat specialty serve as inherent indicators of dedicated engines may not be sold for at least five
vessels such as airboats or hovercraft competitive use, as specified in the years. The vessel must generally be built
that use engines that are similar to those current regulations, we have taken the from unassembled components, rather
in conventional SD/I applications. approach in more recent programs of than simply completing assembly of a
Under the discretion in the regulation more carefully differentiating vessel that is otherwise similar to one
allowing EPA to make judgments about competition and noncompetition that will be certified to meet emission
the scope of the SD/I engine definition, models in ways that reflect the nature of standards. This proposal addresses the
we have classified airboats as SD/I the particular products. In the case of concern that hobbyists who make their
engines. See 40 CFR 91.3 for the existing Marine SI engines, we do not believe own vessels could otherwise be a
definitions of the marine engine classes. there are engine design features that manufacturer subject to the full set of
We continue to believe these engines allow us to differentiate between emission standards by introducing these
share fundamental characteristics with engines that are used in high- vessels into commerce. We expect this
traditional SD/I engines and should performance recreational applications exemption to involve a very small
therefore be treated the same way. and those that are used solely for number of vessels.
However, we believe the definitions competition. We are therefore proposing
should address these applications that, starting January 1, 2009, Marine SI C. Proposed Exhaust Emission
expressly to make clear which standards engines meeting all the following Standards
apply. criteria would be considered to be used We are proposing technology-based
We request comment on the following solely for competition, except in other exhaust emission standards for new SD/
proposed definition: cases where information is available I engines. These standards are similar to
• Sterndrive/inboard engine means a indicating that engines are not used the exhaust emission standards that
spark-ignition engine that is used to solely for competition (see § 1045.620): California ARB recently adopted (see
propel a marine vessel, but is not an • The engine (or a vessel in which the Section I). This section describes the
outboard engine or a personal watercraft engine is installed) may not be proposed requirements for SD/I engines
engine. This includes engines on displayed for sale in any public for controlling exhaust emissions. See
Section V for a description of the not be able to begin the engineering equipped SD/I engines nationwide.
proposed requirements related to processes related to marinizing these However, we request comment on
evaporative emissions. engines, including the development of whether an additional year of lead time
catalyst-equipped exhaust manifolds, would be appropriate for engines not
(1) Standards and Dates
until mid-2007, when they are expecting using catalysts in California in 2008.
We are proposing exhaust emission to see the first prototypes of the two This is potentially the 4.3L or 8.1L SD/
standards of 5 g/kW-hr HC+NOX and 75 replacement engine models. In addition, I engines. Under this alternative,
g/kW-hr CO for SD/I engines, starting they are concerned that they do not engines based on the three engine
with the 2009 model year (see have enough remaining years of sales of blocks not being changed would be
§ 1045.105). On average, this represents the 4.3L and 8.1L engines to justify the required to meet the standards in 2009.
about a 70 percent reduction in cost of developing catalyst-equipped Also, engines built from the 4.3L and/
HC+NOX and a 50 percent reduction in exhaust manifolds for these engines and or the 8.1L GM blocks would be
CO from baseline engine configurations. amortizing the costs of the required required to meet the EPA standards if
Due to the challenges of controlling CO tooling while also developing the two sold in California in 2008 or 2009.
emissions at high load, the expected new engine models. Otherwise the new standards for these
reduction in CO emissions from low to The SD/I requirements begin in engines could be delayed for an
mid-power operation is expected to be earnest in California in the 2008 model additional model year (until 2010).
more than 80 percent. We are proposing year. Manufacturers have indicated that Assuming product plans follow through
additional lead time for small they plan to use catalysts to meet the as projected, the two new engine blocks
businesses as discussed in Section California standards in 2008 for three or would be required to meet the standards
III.F.2. The proposed standards would four of the five engine models used in in the 2010 model year.
be based on the same duty cycle that SD/I applications but to potentially have
Another possibility would be to
currently is in place for outboard and limited availability of the 4.3L or 8.1L
address this issue through the
personal watercraft engines, as engines until the catalyst-equipped
combination of the flexibilities provided
described in Section III.D. Section III.F versions of the two new engine models
through an ABT program and a phase-
discusses the technological feasibility of (4.1L and 6.0L) have been marinized
in of the standards over two model years
these standards in more detail. We and meet the new California emission
(2009/2010) instead of implementation
request comment on the feasibility and standards. At this point, the
in one model year (2009). Under this
appropriateness of the proposed manufacturers project that the two new
engine models would be available for approach, manufacturers could certify
standards. and sell the 4.3L and 8.1L engines in the
The proposed standards are largely sale in California in 2010. Some 4.3L
and 8.1L engines may be available in 2009 model year without catalysts or
based on the use of small catalytic
California during the phase-out based with limited use of catalysts through
converters that can be packaged in the
on the possibility of some use of catalyst emissions averaging. This approach
water-cooled exhaust systems typical for
for one or both of these displacements would have the advantage of giving
these applications. California ARB also
and the use of transitional flexibilities. manufacturers flexibility in how they
adopted an HC+NOX standard of 5 g/
These are unique circumstances choose to phase in their catalyst-
kW-hr, but they did not adopt a
because the SD/I engine manufacturers’ equipped engines. However, engine
standard for CO emissions. We believe
plans and products depend on the manufacturers have expressed concern
the type of catalyst used to achieve the
manufacture of the base engine by a that, even though they will be offering
HC+NOX standard will also be effective
company not directly involved in limited configurations of catalyzed
in reducing CO emissions enough to
marine engine manufacturing. The SD/ engines in California in 2008, that the
meet the proposed standard, so no
I sales represent only a small fraction of lead time is short and they will not have
additional technology will be needed to
total engine sales and thus did not the ability to fully catalyze their entire
control CO emissions.
weigh heavily in GM’s decision to line of engines for 2009. Thus, if the
Manufacturers have expressed
replace the existing engine blocks with rule is structured in a manner to permit
concern that the proposed
two comparable versions during the it, marine engine manufacturers would
implementation dates may be difficult
timeframe when the SD/I manufacturers sell a mix of catalyzed and non-
to meet, for certain engines, due to
are facing new emission standards. SD/ catalyzed engines in 2009. Since boat
anticipated changes in engine block
I manufacturers have stated that builders can determine which engines
designs produced by General Motors. As
alternative engine blocks that meet their are purchased and can choose either
described in the Draft RIA and in the
are not available in the interim, and that catalyzed or non-catalyzed versions of
docket, the vast majority of SD/I engines
it would be cost-prohibitive for them to the engines if available, manufacturers
are based on automotive engine blocks
produce their own engine blocks. are concerned that it would be difficult
sold by General Motors.75 There are five
EPA is proposing that the Federal for SD/I engine manufacturers to ensure
basic engine blocks used, and recently
SD/I standards take effect for the 2009 compliance with standards based on
GM has announced that it will
model year, one year after the same sales and horsepower weightings.
discontinue production of the 4.3L and
standards apply in California. We Engine manufacturers, not boat builders,
8.1L engine blocks in 2009. GM
believe a requirement to extend the are subject to exhaust emission
anticipates that it will offer a 4.1L
California standards nationwide after a standards. Thus, a phase-in approach,
engine block and a 6.0L supercharged
one-year delay allows manufacturers which would be based on a projection
engine block to the marine industry as
adequate time to incorporate catalysts that a certain number of catalyzed
replacements. Full run production of
across their product lines as they are engines would be sold, may not be a
these new blocks is anticipated in mid

doing in California. Once the technology feasible approach for this industry. The
to late 2009. SD/I engine manufacturers
is developed for use in California, it industry would thus prefer a mandatory
have expressed concern that they will
would be available for use nationwide implementation date as discussed below
75 ‘‘GM Product Changes Affecting SD/I Engine soon thereafter. In fact, one company without a phase-in that uses averaging.
Marinizers,’’ memo from Mike Samulski, EPA, to currently certified to the California The industry’s concerns
Docket EPA–HQ–QAR–2004–0008–0528. standards is already offering catalyst- notwithstanding, there are benefits to
this approach. Therefore, we are from the weighted CO test level and the under EPA’s discretionary authority and
requesting comment on phasing in the other four test modes would be re- are not required to comply with part 91.
proposed standards over the 2009–2010 weighted accordingly. Under this As described above, engines used
timeframe. Under this approach, the approach, the measured CO emissions solely for competition would not be
standards would be 10 g/kW-hr from catalyst-equipped engines were subject to the proposed regulations, but
HC+NOX and 100 g/kW-hr CO in 2009. observed to be 65–85 percent lower many SD/I high-performance engines
The proposed standards would then go without Mode 1, even though the are sold for recreational use. High-
into effect in 2010. During the phase-in weighting factor for Mode 1 is only 6 performance SD/I engines have very
period, the proposed family emission percent of the total cycle weighting. high power outputs, large exhaust gas
limit (FEL) caps (see Section III.C.3) These test results are presented in flow rates, and relatively high
would still apply. Chapter 4 of the Draft RIA. We request concentrations of hydrocarbons and
A third alternative, preferred by the comment on finalizing a CO standard of carbon monoxide in the exhaust gases.
two large SD/I manufacturers, would be 25 g/kW-hr based on a four-mode duty From a conceptual perspective, the
full compliance with the 5 g/kW-hr cycle that excludes Mode 1 instead of application of catalytic converter
standard in 2010 except for the 4.1L the proposed CO standard. Under this technology to these engines is feasible.
engine and the 6.0L supercharged approach, we also request comment on As is the case in similar heavy-duty
engine and requiring those engines to CO cap, such as 350 g/kW-hr, specific highway gasoline engines, these
comply with the standards in 2011. to Mode 1. Manufacturers would still catalytic converters would have to be
Manufacturers have expressed the view measure CO emissions at Mode 1 to quite large in volume, perhaps on the
that there is value in limiting demonstrate compliance with this cap. order of the same volume as the engine
production volumes of catalyst- Controlling CO emissions at high displacement, and would involve
equipped engines only to California for power may be a more significant issue significant heat rejection issues.
two years to gain in-use experience with supercharged 6.0L engines due to Highway heavy-duty gasoline engine
before selling these engines nationwide. uncertainty with regard to the air fuel certification information from the late
Under this approach, any technical ratio of the engine at high power. Engine 1970s and early 1980s suggests that it is
issues that may arise with catalyst manufacturers have not yet received possible to achieve HC and CO emission
designs or in-use performance would prototype engines; however, they have reductions around 20 to 40 percent by
affect only a small portion of the fleet, expressed concern that these engines adding an air pump to increase the level
which would help minimize in-use may need to be operated with a rich air- of oxygen in the exhaust stream. This
concerns and costs associated with fuel ratio even at Mode 2 as an engine- would be a relatively low-cost and
warranty claims. This approach would protection strategy.76 This concern is durable method of oxidizing HC and CO
also provide additional lead time for based on previous experience with other when the exhaust gases are hot enough
those configurations not modified for supercharged engines. If this is the case, to support further oxidation reactions.
California and the two new engine it may affect the potential CO emission California ARB has implemented the
displacements. In addition, as discussed reductions from these engines. To same HC+NOX standards we are
above, manufacturers stated that an address the uncertainties related to the proposing but is expecting
averaging-based phase-in program that two new SD/I engines (4.1L and 6.0L manufacturers to rely on emissions
required the introduction of catalyst- supercharged) we are asking for averaging within the SD/I class. This is
equipped engines outside of California comment on a CO averaging standard not viable for small business
before 2010 is problematic because of with a maximum family emission limit manufacturers who do not have other
marketplace and competitive issues as to cap high CO emissions. Specifically, products with which to average.
discussed above. For these reasons, we we request comment on averaging
request comment on whether the Even if manufacturers use catalysts to
standard of 25 g/kW-hr CO based on a control HC+NOX emissions from high-
proposed standards for SD/I engines four-mode test, as discussed above, with
should be delayed to 2010 for the three performance engines, controlling CO
a maximum family emission limit for emissions continues to present a
engine models that are not being the four-mode test of 75 g/kW-hr.
modified and with an additional model technological challenge. Since these
Engines used on jet boats may have
year (2011) for the 4.1L and 6.0L engines generally operate with fuel-rich
been classified under the existing
supercharged engines. combustion, there is little or no oxygen
definitions as personal watercraft
Under stoichiometric or lean in the exhaust stream. As a result, any
engines. As described above, engines
conditions, catalysts are effective at oxidation of hydrocarbon compounds in
used in jet boats or personal watercraft-
oxidizing CO in the exhaust. However, the catalyst would likely increase CO
like vessels 4 meters or longer would be
under very rich conditions, catalysts are levels, rather than oxidizing all the way
classified as SD/I engines under the
not effective for reducing CO emissions. to CO2. We are therefore proposing a CO
proposed definitions. Such engines
In contrast, NOX emissions are standard for high-performance engines
subject to part 91 today would therefore
effectively reduced under rich of 350 g/kW-hr. We believe this is
need to continue meeting EPA emission
conditions. SD/I engines often run at achievable with more careful control of
standards as personal watercraft engines
high power modes for extended periods fueling under idle conditions. Control of
through the 2008 model year under part
of time. Under high-power operation, air-fuel ratios at idle should result in
91, after which they would need to meet
engine marinizers must calibrate the improved emission control even after
the new SD/I standards under the
engine to run rich as an engine- multiple rebuilds. Basing standards on
proposed part 1045. This is another
protection strategy. If the engine were non-catalyst hardware such as an air
situation where the transition period
calibrated for a stoichometric air-fuel pump could enable lower CO levels.
discussed above may be helpful. In

ratio at high power, high temperatures contrast, as discussed above, air boats We are proposing a variety of
could lead to failures in exhaust valves have been classified as SD/I engines provisions to simplify the requirements
and engine heads. In developing the for exhaust emission certification and
proposed CO standard for SD/I engines, 76 80 percent of maximum engine test speed and compliance for these engines, as
we considered an approach where test 71.6 percent of maximum torque at maximum test described in Section IV.F. We are also
Mode 1 (full power) would be excluded speed. proposing not to apply the not-to-exceed
emission standards to high-performance they are much smaller and may individual points varying as needed to
SD/I marine engines. experience very different in-use maintain maximum engine performance
We also request comment on two operation. These engines may have and still meet the engine standard. The
alternative approaches to define more in common with marine auxiliary NTE limit would be an additional
emission standards for high- engines that are subject to land-based requirement. It is intended to ensure
performance engines. First, we could set standards. Nevertheless, these engines that emission controls function with
the HC+NOX standard at 5 g/kW-hr and share some important characteristics relative consistency across the full range
allow for emission credits as described with bigger SD/I engines, such as of expected operating conditions.
above, but allow small-volume reliance on four-stroke technology and
manufacturers of high-performance access to water-based cooling. It is also (3) Emission Credit Programs
engines to meet a HC+NOX emission true that emission standards are based (a) Averaging, Banking, and Trading
standard in the range of 15 to 22 g/kW- on specific emission levels expected We are proposing averaging, banking,
hr. See Section III.F.2 for our proposed from engines of comparable sizes, so the and trading of emission credits for
definition of small-volume SD/I engine standards adjust automatically with the sterndrive and inboard marine engines
manufacturers. We would also need to size of the engine to require a relatively for meeting HC+NOX and CO standards
adopt an FEL cap of 22 g/kW-hr for constant level of stringency. These (see § 1045.105 and part 1045, subpart
HC+NOX for all manufacturers under engines are not like the very small H). See Section VII.C.5 for a description
this approach to avoid the situation outboard engines that are subject to less of general provisions related to
where only small-volume manufacturers stringent standards because of their
averaging, banking, and trading
of high-performance engines need to technical limitations in controlling
programs. Emission credit calculations
make design changes to reduce these emissions. Accordingly, we believe
would be based on the maximum engine
emissions. Our concern is that a large these engines can incorporate the same
manufacturer would otherwise be able power for an engine family, as described
technologies as the bigger marine
to use emission credits to avoid making in Section IV.F.
propulsion engines and meet the same
As with previous emission control
design changes to their high- emission standards. However, we
performance engines. This emission programs, we are also proposing not to
request comment on the need for
level is consistent with measured allow an emission family to earn credits
adjusting the emission standards for
HC+NOX emission values from these for one pollutant if it is using credits to
these engines to accommodate any
engines showing a range of emission meet the standard for another pollutant.
technology constraints related to their
levels with different types of fuel In other words, an engine family that
unique designs. Specifically, we request
systems and different calibrations, as does not meet the CO standard would
comment on allowing manufacturers the
shown in the Draft RIA. Treating small- not be able to earn HC+NOX emission
option of certifying small SD/I engines
volume manufacturers of high- to the proposed standards for auxiliary credits, or vice versa. This should rarely
performance engines differently may be marine engines discussed in Section be an issue for SD/I engines, because the
appropriate because they have little or V.C.1. We also request comment on the same catalyst technology is effective for
no access to emission credits. possibility that some other small controlling HC+NOX and CO emissions.
Second, we could alternatively set the engines may inappropriately fall into In addition, as with previous emission
high-performance engine HC+NOX the category of sterndrive/inboard control programs, we are proposing that
standard in the range of 15 to 22 g/kW- engines. We request comment on the engines sold in California would not be
hr for all companies and disallow the engine size for which any special included in this ABT program because
use of emission credits for meeting this accommodations must be made. Such they are already subject to California
standard. This would require all comments should also address any HC+NOX requirements.
companies to redesign their engines, issues that may exist for these engines Credit generation and use is
rather than use emission credits, to with regard to meeting the proposed calculated based on the family emission
reduce emissions to a standard that is standards, or identify any other limit (FEL) of the engine family and the
tailored to high-performance engines. appropriate way of differentiating these standard. We are proposing FEL caps to
We request comment on the primary engines from conventional sterndrive/ prevent the sale of very-high emitting
approach as well as the two alternatives inboard engines. engines. For HC+NOX, the proposed
for high-performance engine standards. FEL cap is 16 g/kW-hr for HC+NOX
Comment is requested on the costs and (2) Not-To-Exceed Standards emissions from engines below 373 kW;
general positives and negatives of each We are proposing emission standards this emission level is equal to the first
approach. Comment is also requested on for an NTE zone representing a phase of the California SD/I standards.
the technology required if a level above multiplier times the duty cycle standard We are proposing an FEL cap of 150
the proposed standards is supported, as for HC+NOX and for CO (see g/kW-hr for CO emissions from engines
well as information on safety and energy § 1045.105). Section III.D.2 describes the below 373 kW. These FEL caps
implications of the alternative emission proposed NTE test procedures and gives represent the average baseline emission
standards. If a commenter supports an overview of the proposed NTE levels of SD/I engines, based on data
either of the two alternative approaches, provisions. In addition, Section III.D.2 described in the Draft RIA. The
information and data are requested to presents the specific multipliers for the analogous figures for high-performance
assist EPA in setting the appropriate proposed NTE standards. engines are 30 g/kW-hr for HC+NOX and
HC+NOX and CO emission standards The NTE approach is consistent with 350 g/kW-hr for CO, as described in
within the 15 to 22 g/kW-hr range. the concept of a weighted modal Section III.C.(d).
We are also aware that there may be emission test such as the steady-state Except as specified below for jet boat
some very small sterndrive or inboard tests included in this rule. The proposed engines, we are proposing to keep
engines. In particular, sailboats may duty cycle standard itself is intended to OB/PWC engines and SD/I engines in
have small propulsion engines for represent the average emissions under separate averaging sets. This means that
backup power. These engines would fall steady-state conditions. Because it is an credits earned by SD/I and OB/PWC
under the proposed definition of average, manufacturers design their engines are counted separately and may
sterndrive/inboard engines, even though engines with emission levels at not be exchanged to demonstrate
compliance with emission standards. used until many years later when the To earn these credits, the engine
Most of the engine manufacturers engines generating the credits have been would have to meet both the proposed
building SD/I engines do not also build scrapped and are no longer part of the HC+NOX and CO standards. These early
OB/PWC engines. The exception to this fleet. EPA believes there may be value credits would be treated the same as
is the largest manufacturer in both to limiting the use of credits to the emission credits generated after the
categories. We are concerned that period that the credit-generating engines emission standards start to apply. This
allowing averaging, banking, or trading exist in the fleet. For this reason, EPA approach would provide an incentive
between OB/PWC engines and SD/I requests comment on limiting the for manufacturers to pull ahead
engines would not provide the greatest lifetime of the credits to five years or, significantly cleaner technologies. We
achievable reductions, because the level alternatively, to the regulatory useful believe such an incentive would lead to
of the standard we are proposing is life of the engine. early introduction of catalysts on SD/I
premised on the use of aftertreatment and help promote earlier market
technology in SD/I engines, and is based (b) Early-Credit Approaches acceptance of this technology. Because
on what is feasible for SD/I engines. We We are proposing an early-credit of the proposed credit life, these credits
did not set the SD/I level based on the program in which a manufacturer could would only be able to be used during
reductions achievable between OB/PWC earn emission credits before 2009 with the transition period to the new
and SD/I, but instead based on what is early introduction of emission controls standards. We believe this proposed
achievable by SD/I engines alone. The designed to meet the proposed early credit program will allow
proposed limitation on ABT credits is standards (see § 1045.145). For engines manufactures to comply to the proposed
consistent with this approach to setting produced by small-volume SD/I standards in an earlier time frame than
the level of the SD/I standard. In manufacturers that are eligible for the they would otherwise because it allows
addition, allowing such credit usage proposed two-year delay described in them to spread out their development
could provide an incentive to avoid the Section III.F.2, early credits could be resources over multiple years. To ensure
use of aftertreatment technologies in earned before 2011. While we believe that manufacturers do not generate
SD/I engines. This could create a adequate lead time is provided to meet credits for already required activities, no
competitive disadvantage for the many the proposed standards, we recognize credits would be generated for the
small manufacturers of SD/I engines that flexibility in timing could help proposed federal program for engines
that do not also produce OB/PWC some manufacturers—particularly small that are produced for sale in California.
engines. manufacturers—to meet the new We request comment on this approach.
We propose that emission credits for standards. Other manufacturers that are Alternatively, we request comment on
SD/I engines have an unlimited credit able to comply early on certain models the alternative of an early ‘‘family
life with no discounting. We consider would be better able to transition their banking’’ approach. Under this
these emission credits to be part of the full product line to the new standards approach, we would allow
overall program for complying with the by spreading out the transition over two manufacturers to certify an engine
proposed standards. Given that we may family early to the proposed standards.
years or more. Under this approach, we
consider further reductions beyond For each year of certifying engines early,
anticipate that manufacturers would
these standards in the future, we believe the manufacturer would be able to delay
generate credits through the use of
it will be important to assess the ABT certification of a comparable number of
catalysts.
credit situation that exists at the time engines by one year, taking into account
any further standards are considered. Manufacturers would generate these the relative power ratings of the
We would need to set such future credits based on the difference between different engine families. This would be
emission standards based on the the measured emission level of the clean based on the actual sales and would
statutory direction that emission engines and an assigned baseline level require no calculation or accounting of
standards must represent the greatest (16 g/kW-hr HC+NOX and 150 g/kW-hr emission credits. This approach would
degree of emission control achievable, CO). These assigned baseline levels are not provide the same degree of precision
considering cost, safety, lead time, and based on data presented in Chapter 4 of as the early-credit program described
other factors. Emission credit balances the Draft RIA representing the average above, but it may be an effective way of
will be part of the analysis for level observed for uncontrolled engines. helping manufacturers make the
determining the appropriate level and We are also proposing to provide bonus transition to new emission standards.
timing of new standards. If we were to credits to any manufacturer that certifies See 40 CFR 1048.145(a) for an example
allow the use of credits generated under early to the proposed standard to of regulations that implement such a
this proposed program for future, more provide a further incentive for family banking program.
stringent, standards, we may, depending introducing catalysts in SD/I engines. We request comment on the above
on the level of emission credit banks, The bonus credits would take the form early-credit approaches or any other
need to adopt emission standards at of a multiplier times the earned credits. approach that would help
more stringent levels or with an earlier The proposed multipliers are 1.25 for manufacturers bring the product lines
start date than we would absent the one year early, 1.5 for two years early, into compliance with the proposed
continued or limited use of existing and 2.0 for three years early. For standards without compromising overall
emission credits. Alternatively, we example, a small-volume manufacturer emission reductions. Any allowance for
could adopt future standards without certifying an engine to 5.0 g/kW-hr high-emitting or late-compliant engines
allowing the use of existing emission HC+NOX in 2009 (2 years early) would should be offset by emission controls
credits. get a bonus multiplier of 1.5. Therefore, that achieve emission reductions
We are requesting comment on one early HC+NOX credits would be beyond that required by the new
particular issue regarding credit life. As calculated using the following equation: standards. We request comment on the
proposed, credits earned under the credits [grams] = (16¥5) × Power [kW] merits of the various approaches noted
exhaust ABT program would have an × Useful Life [hours] × Load Factor × above and others that commenters may
unlimited lifetime. This could result in 1.5. We are proposing to use a load wish to suggest. We request that
a situation where credits generated by factor of 0.207, that is currently used in commenters provide detailed comments
an engine sold in a model year are not the OB/PWC calculations. on how the approaches described above
should be set up, enhanced, or personal watercraft engines must certify advantage of the default values, we
constrained to ensure that they serve these jet boat engines to an FEL that would require them to rely on measured
their purpose without diminishing the meets or exceed the standards for values for both HC+NOX and CO
overall effectiveness of the standards. outboard and personal watercraft emissions if they do testing.
engines. This limits the degree to which For the purposes of the credit
(c) Jet Boats calculations, we are proposing to use an
manufacturers may take advantage of
Sterndrive and inboard vessels are emission credits to produce engines that hours term longer than the proposed
typically propelled by traditional SD/I are emitting at higher levels than useful life for these engines. The
engines based on automotive engine competitive engines. As such, the FELs proposed useful life for traditional SD/
blocks. As explained in Section IV, we for these engines must therefore be at or I engines is intended to reflect the full
are proposing to amend the definition of below the proposed emission standards useable life of the engine. For high-
personal watercraft engine to ensure for outboard and personal watercraft performance engines the proposed
that engines used on jet boats would no engines. useful life is intended to reflect the
longer be classified as personal expected time until the engine is rebuilt.
watercraft engines but instead as SD/I (d) SD/I High-Performance Engines High-performance engines are typically
engines because jet boats are more We are proposing that the ABT rebuilt several times. In fact,
comparable to SD/I vessels. However, program described above (III.C.3(a) manufacturers have indicated that it is
manufacturers in some cases make these through (c)) would also include SD/I common for the boat owner to own two
jet boats by installing an engine also high-performance engines. pairs of engines so that they can use one
used in outboard or personal watercraft Manufacturers would be able to use pair while the other is being rebuilt.
applications (less than 4 meters in emission credits from conventional Therefore, the proposed useful life does
length) and coupling the engine to a jet SD/I engines to offset credit deficits not reflect the full life of the engine,
drive for propelling the jet boat. Thus, from higher-emitting SD/I high- including rebuilds, over which emission
manufacturers of outboard or personal performance engines. Although SD/I credits would be used (or generated).
watercraft engines may also high-performance engines represent We are proposing, for purposes of the
manufacture the same or similar engine fewer than 1 percent of total SD/I engine credit calculations, that a life of 480
for use on what we would propose here sales, there are many more companies hours would be used for high-
to be considered a jet boat (whose producing SD/I high-performance performance SD/I engines at or below
engine we would therefore proposed to engines than conventional SD/I engines. 485 kW and 250 hours for engines above
be subject to SD/I standards). Because of the relatively small sales of 485 kW. We request comment on the
We are proposing to allow some these engines, a large manufacturer with number of times that high-performance
flexibility in meeting new emission a broad product line could readily offset engines are typically rebuilt and how
standards for jet boat engines because a potential credit deficit by using credits the number of rebuilds should be
they are currently designed to use from high-volume SD/I engines. In addressed in the credit calculations.
engines derived from OB/PWC contrast, most manufacturers of SD/I
applications and because of their high-performance engines are small (4) Crankcase Emissions
relatively low sales volumes. We are businesses that do not also produce Due to blowby of combustion gases
also proposing to allow manufacturers conventional SD/I engines. Section III.F and the reciprocating action of the
to use emission credits generated from discusses special provisions intended to piston, exhaust emissions can
outboard and personal watercraft reduce the burden for small businesses accumulate in the crankcase.
engines to demonstrate that their jet to meet the proposed standards. We Uncontrolled engine designs route these
boat engines meet the proposed request comment on whether this ABT vapors directly to the atmosphere.
HC+NOX and CO standards for SD/I program would create a competitive Closed crankcases have become
engines (see § 1045.660 and § 1045.701). disadvantage for small businesses. standard technology for automotive
We further propose that such engine We are proposing an approach in engines and for outboard and personal
manufacturers may only use this which manufacturers can use default watercraft engines. Manufacturers
provision if the engines are certified as emission factor of 30 g/kW-hr for generally do this by routing crankcase
outboard or personal watercraft engines, HC+NOX emissions and 350 g/kW-hr for vapors through a valve into the engine’s
and if the majority of units sold in the CO emissions in lieu of testing for air intake system. We propose to require
United States from those related engine certification. For purposes of this ABT manufacturers to prevent crankcase
families are sold for use as outboard or program these default emission factors, emissions from SD/I marine engines (see
personal watercraft engines. We would if used in lieu of testing, would be used § 1045.115). Because automotive engine
decide whether a majority of engine for certification to an FEL at these blocks are already tooled for closed
units are sold for use as outboard or levels. Thus, the emission credits crankcases, the cost of adding a valve
personal watercraft engines based on needed would be the difference between for positive crankcase ventilation is
projected sales volumes from the the default levels and the applicable small for SD/I engines. Even with non-
application for certification. standard (see § 1045.240). These default automotive blocks, the tooling changes
Manufacturers would need to group emission levels represent the highest necessary for closing the crankcase are
SD/I engines used for jet boats in a emission rates observed on uncontrolled straight-forward.
separate engine family from the engines. Manufacturers would always
outboard or personal watercraft engine have the option of conducting tests to (5) Durability Provisions
to ensure proper labeling and establish a measured emission rate to We rely on pre-production
calculation of emission credits, but reduce or eliminate the need to use certification, and other programs, to
manufacturers could rely on emission emission credits. While this testing may ensure that engines control emissions
data from the same prototype engine for require additional setup and throughout their intended lifetime of
certifying both engine families. Finally, preparation, we believe it would be operation. Section VII describes how we
we propose that manufacturers of jet possible even for the most high-powered are proposing to require manufacturers
boat engines subject to SD/I standards engines. To avoid the possibility of to incorporate laboratory aging in the
and using credits from outboard or manufacturers selectively taking certification process, how we limit the
extent of maintenance that operation, this would form the basis for technologies for these other applications
manufacturers may specify to keep establishing a shorter useful life period are generally less susceptible to drift
engines operating as designed, and other for those engines. See the proposed and gradual deterioration. We have
general provisions related to regulations for additional detail in adopted similar diagnostic requirements
certification. The following sections establishing a shorter useful life. for Large SI engines operating in
describe additional provisions that are forklifts and other industrial equipment
(b) Warranty Periods
specific to SD/I engines. that also use three-way catalysts to meet
We are proposing that manufacturers emission standards.
(a) Useful Life must provide an emission-related This diagnostic requirement focuses
We are proposing to specify a useful warranty during the first 3 years or 480 solely on maintaining stoichiometric
life period of 480 hours or ten years, hours of engine operation, whichever control of air-fuel ratios. This kind of
whichever comes first. The engines comes first (see § 1045.120). This design detects problems such as broken
would be subject to the emission warranty period would apply equally to oxygen sensors, leaking exhaust pipes,
standards during this useful life period. emission-related electronic components fuel deposits, and other things that
This is consistent with the requirements on SD/I high-performance engines. require maintenance to keep the engine
adopted by California ARB (see However, we are proposing shorter at the proper air-fuel ratio.
§ 1045.105). We are further proposing warranty periods for emission-related Diagnostic monitoring provides a
that the 480-hour useful life period is a mechanical components on SD/I high- mechanism to help keep engines tuned
baseline value, which may be extended performance engines because these parts to operate properly, with benefits for
if data show that the average service life are expected to wear out more rapidly both controlling emissions and
for engines in the family is longer. For than comparable parts on traditional maintaining optimal performance. There
example, we may require that the SD/I engines. Specifically, we are are currently no inspection and
manufacturer certify the engine over a proposing a warranty period for maintenance programs for marine
longer useful life period that more emission-related mechanical engines, so the most important variable
accurately represents the engines’ components of 3 years or 150 hours for in making the emission control and
expected operating life if we find that engines between 373 and 485 kW, and diagnostic systems effective is in getting
in-use engines are typically operating 1 year or 50 hours for engines above 485 operators to repair the engine when the
substantially more than 480 hours. This kW. These proposed warranty periods diagnostic light comes on. This calls for
approach is similar to what we adopted are the same as those adopted by the a relatively simple design to avoid
for recreational vehicles. California ARB. signaling false failures as much as
For high-performance SD/I engines (at If the manufacturer offers a longer possible. The diagnostic requirements in
or above 373 kW), we are proposing a warranty for the engine or any of its this rule therefore focus on detecting
useful life of 150 hours or 3 years for components at no additional charge, we inappropriate air-fuel ratios, which is
engines at or below 485 kW and a useful propose that the emission-related the most likely failure mode for three-
life of 50 hours or 1 year for engines warranty for the respective engine or way catalyst systems. The malfunction
above 485 kW. Due to the high power component must be extended by the indicator light must go on when an
and high speed of these engines, same amount. The emission-related engine runs for a full minute under
mechanical parts are often expected to warranty includes components related closed-loop operation without reaching
wear out quickly. For instance, one to controlling exhaust, evaporative, and a stoichiometric air-fuel ratio.
manufacturer indicated that some crankcase emissions from the engine. California ARB has adopted
engines above 485 kW have scheduled This approach to setting warranty diagnostic requirements for SD/I
head rebuilds between 50 and 75 hours requirements is consistent with engines that involve a more extensive
of operation. These proposed useful life provisions that apply in most other system for monitoring catalyst
values are consistent with the California programs for nonroad engines. performance and other parameters. We
ARB regulations for high-performance would accept a California-approved
SD/I engines. We request comment on (6) Engine Diagnostics
system as meeting EPA requirements.
the proposed useful life requirements We are proposing to require that However, we believe the simpler system
for high performance marine engines. manufacturers design their SD/I engines described above is better matched to the
Some SD/I engines below 373 kW to diagnose malfunctioning emission level of emission control involved, and
may be designed for high power output control systems starting with the is more appropriate in the context of
even though they do not reach the introduction of the proposed standards recreational boating by consumers who
power threshold to qualify as SD/I high- (see § 1045.110). As discussed in the are not subject to any systematic
performance engines. Because they do Draft RIA, three-way catalyst systems requirements for inspecting or
not qualify for the shorter useful life with closed-loop fueling control work maintaining their engines.
that applies to SD/I high-performance well only when the air-fuel ratios are The proposed regulations direct
engines, they would be subject to the controlled to stay within a narrow range manufacturers to follow standard
default value of 480 hours for other SD/ around stoichiometry. Worn or broken practices defined in documents adopted
I engines. However, to address the components or drifting calibrations over by the International Organization for
limited operating life for engines that time can prevent an engine from Standardization (ISO) that establish
are designed for especially high power operating within the specified range. protocols for automotive systems. The
output, we are proposing to allow This increases emissions and can lead to proposed regulations also state that we
manufacturers to request a shorter significantly increased fuel may approve variations from these
useful life for such an engine family consumption and engine wear. The industry standards, because individual
based on information showing that operator may or may not notice the manufacturers may have systems with
engines in the family rarely operate change in the way the engine operates. unique operating parameters that
beyond the requested shorter period. We are not proposing to require similar warrant a deviation from the automotive
For example, if engines designed for diagnostic controls for OB/PWC or approach. Also, if a new voluntary
extremely high performance are Small SI engines because the consensus standard is adopted to define
typically rebuilt after 250 hours of anticipated emission control appropriate practices for marine
engines, we would expect to incorporate applying the proposed NTE To ensure that engines control
that new standard into our regulations. requirements to spark-ignition marine emissions over the full range of speed
See § 1045.110 of the draft regulations engines and on the application of the and load combinations seen on boats,
for more information. requirements to these engines. we propose to establish a zone under
the engine’s power curve where the
D. Test Procedures for Certification (a) Concept engine may not exceed a specified
(1) General Provisions Our goal is to achieve control of emission limit (see § 1045.105 and
The proposed test procedures are emissions over a wide range of ambient § 1045.515). This limit would apply to
generally the same for both SD/I and conditions and over the broad range of all regulated pollutants during steady-
in-use speed and load combinations that state operation. In addition, we propose
OB/PWC engines. This involves
can occur on a marine engine. This that a wide range of real ambient
laboratory measurement of emissions
would ensure real-world emission conditions be included in testing with
while the engine operates on the ISO E4
control, rather than just controlling this NTE zone. The NTE zone, limit, and
duty cycle. This is a five-mode steady-
emissions under certain laboratory ambient conditions are described below.
state duty cycle including an idle mode We believe there are significant
and four modes lying on a propeller conditions. An important tool for
achieving this goal is an in-use testing advantages to establishing NTE
curve with an exponent of 2.5, as shown standards. The proposed NTE test
in Appendix II to part 1045 of the draft program with an objective standard and
an easily implemented test procedure. procedure is flexible, so it can represent
regulations. The International the majority of in-use engine operation
Organization for Standardization (ISO) Our traditional approach has been to set
a numerical standard on a specified test and ambient conditions. The NTE
intended for this cycle to be used for approach thus takes all the benefits of
recreational spark-ignition marine procedure and rely on the additional
prohibition of defeat devices to ensure a numerical standard and test procedure
engines installed in vessels up to 24 m and expands it to cover a broad range
in length. Because most or all vessels in-use control over a broad range of
operation not included in the test of conditions. Also, laboratory testing
over 24 m have diesel engines, we makes it harder to perform in-use testing
believe the E4 duty cycle is most procedure.
We are proposing to apply the same because either the engines would have
appropriate for SD/I engines covered by to be removed from the vessel or care
this rule. There may be some spark- prohibition on defeat devices for OB/
PWC and SD/I engines (see § 1045.115). would have to be taken to achieve
ignition engines installed in vessels laboratory-type conditions on the vessel.
somewhat longer than 24 m, but we No single test procedure or test cycle
With the NTE approach, in-use testing
believe the E4 duty cycle is no less can cover all real-world applications,
and compliance become much easier
appropriate in these cases. See Section operations, or conditions. Yet to ensure
since emissions may be sampled during
IV.D for a discussion of adjustments to that emission standards are providing
normal boating. By establishing an
the test procedures related to the the intended benefits in use, we must
objective measurement, this approach
migration to 40 CFR part 1065, testing have a reasonable expectation that
makes enforcement of defeat device
with a ramped-modal cycle, emissions under real-world conditions provisions easier and provides more
determining maximum test speed for reflect those measured on the test certainty to the industry.
denormalizing the duty cycle, and procedure. The defeat device Even with the NTE requirements, we
testing at higher altitudes. prohibition is designed to ensure that believe it is still appropriate to retain
The E4 duty cycle is gives a weighting emission controls are employed during standards based on the steady-state duty
of 40 percent for idle. High-performance real-world operation, not just under cycle. This is the standard that we
engine manufacturers have expressed laboratory testing conditions. However, expect the certified marine engines to
their belief that the E4 duty cycle the defeat device prohibition is not a meet on average in use. The NTE testing
overstates the idle fraction of operation quantified standard and does not have is focused more on maximum emissions
of high-performance engines. They an associated test procedure, so it does for segments of operation and, in most
stated that these engines are rarely not have the clear objectivity and ready cases, would not require additional
operated at idle and are therefore enforceability of a numerical standard technology beyond what is used to meet
primarily designed for mid-range and and test procedure. We believe using the the proposed standards. In some cases,
high-power operation at the expense of traditional approach, i.e., using only a the calibration of the engine may need
rough idle operation. We request standardized laboratory test procedure to be adjusted. We believe that basing
comment on whether the modes for the and test cycle, makes it difficult to the emission standards on a distinct
proposed duty cycle should be ensure that engines will operate with cycle and using the NTE zone to ensure
reweighted toward higher power for the same level of control in use as in the in-use control creates a comprehensive
high-performance engines. Commenters laboratory. program.
should support their assertions with Because the proposed duty cycle uses We believe the technology used to
data on high-performance engine use. If only five modes on an average propeller meet the standards over the five-mode
constructive data are forthcoming, we curve to characterize marine engine duty cycle will meet the caps that apply
may finalize an alternative cycle operation, we are concerned that an across the NTE zone. We therefore do
weighting for high-performance engines engine designed to the proposed duty not expect the proposed NTE standards
based on this data. cycle would not necessarily perform the to cause manufacturers to need
same way over the range of speed and additional technology. We believe the
(2) Not-to-Exceed Test Procedures and load combinations seen on a boat. This NTE standard will not result in a large
Standards proposed duty cycle is based on an amount of additional testing, because
We are proposing not-to-exceed (NTE) average propeller curve, but a marine these engines should be designed to
requirements similar to those propulsion engine may never be fitted perform as well in use as they do over
established for marine diesel engines. with an ‘‘average propeller.’’ For the five-mode test. However, our cost
Engines would be required to meet the instance, an engine fit to a specific boat analysis in the Draft RIA accounts for
NTE standards during normal in-use may operate differently based on how some additional testing, especially in
operation. We request comment on heavily the boat is loaded. the early years, to provide
manufacturers with assurance that their installed on vessels and operated under emissions increase dramatically as
engines would meet the proposed NTE light and heavy load. Chapter 4 of the power approaches zero. An NTE limit
requirements. Draft RIA presents this data and for low-speed or low-power operation
(b) Shape of NTE Zone describes the development of the would be very hard for manufacturers
boundaries and conditions associated and EPA to implement in a meaningful
Figure III–1 illustrates our proposed with the proposed NTE zone. Although way. We are proposing NTE limits for
NTE zone for SD/I engines. We
significant in-use engine operation the subzones shown in Figure III–1, as
developed this zone based on the range
occurs at low speeds, we are excluding described below. We request comment
of conditions that these engines
typically see in use. Manufacturers operation below 40 percent of maximum on the proposed NTE zone and
collected data on several engines test speed because brake-specific subzones.
We propose to allow manufacturers to the proposed NTE zone, the at relatively high speeds. This limits the
request approval for adjustments to the manufacturer would be responsible for degree to which we would expect
size and shape of the NTE zone for notifying us so the NTE zone can be engines to experience frequent
certain engines, if they can show that modified appropriately to include this accelerations during extended
the engine will not see operation operation for that engine family. operation. Also, because most of the
outside of the revised NTE zone in use transient events involve acceleration
(see § 1045.515). We would not want (c) Excluded Operation from idle to reach a planing condition,
manufacturers to go to extra lengths to As with marine diesel engines, we are most transient engine operation is
design and test their engines to control proposing that only steady-state outside the NTE zone and would
emissions for operation that will not operation be included for NTE testing therefore not be covered by NTE testing
occur in use. However, manufacturers (see § 1045.515). Steady-state operation anyway. Moreover, we believe OB/PWC
would still be responsible for all would generally mean setting the and SD/I engines designed to comply
operation of an engine on a vessel that throttle (or speed control) in a fixed with steady-state NTE requirements will
would reasonably be expected to be position. We believe most operation be using technologies that also work
seen in use, and they would be with Marine SI engines involves effectively under the changing speed
responsible for ensuring that their nominally steady-state operator and load conditions that may occur. If
specified operation is indicative of real- demand. It is true that boats often we find there is substantial transient
world operation. In addition, if a experience rapid accelerations, such as operation within the NTE zone that
manufacturer designs an engine for with water skiing. However, boats are causes significantly increased emissions
EP18MY07.000</GPH>
operation at speeds and loads outside of typically designed for planing operation from installed engines, we will revisit
this provision in the future. We request operator on the water without any specific emissions increase for engine
comment on the appropriateness of means of propulsion. speeds below 50 percent of maximum
excluding transient operation from NTE (d) NTE Emission Limits test speed (Subzone 4). We are therefore
requirements. proposing an HC+NOX cap of 1.5 times
We are proposing NTE limits for the the certification level in Subzone 4.
We are aware that SD/I engines may subzones shown in Figure III–1 above
not be able to meet emission standards Emission data on catalyst-equipped
based on data collected from several engines also show higher emissions near
under all conditions, such as times SD/I engines equipped with catalysts.
when emission control must be full-power operation. We understand
These data and our analysis are
compromised for startability or safety. that richer air-fuel ratios are needed
presented in Chapter 4 of the Draft RIA.
We are proposing to specify that NTE under high-power operation to protect
See Section IV.C for a discussion of NTE
testing excludes engine starting and limits for OB/PWC engines. the engines from overheating. We are
warm-up. We would allow Because the proposed NTE zone does therefore proposing higher NTE limits
manufacturers to design their engines to not include the idle point, which is for engine speeds at or above 90 percent
utilize engine protection strategies that weighted at 40 percent of the of rated test speed and at or above 100
would not be covered by defeat device certification duty cycle, brake-specific percent of peak torque measured at the
provisions or NTE standards. This is emissions throughout most of the rated test speed (Subzone 1).
analogous to the tampering exemptions proposed NTE zone are less than the Specifically, we are proposing an
incorporated into 40 CFR 1068.101(b)(1) weighted average from the steady-state HC+NOX cap of 1.5 times the duty cycle
to address emergencies. We believe it is testing. For most of the NTE zone, we standard and a CO cap of 3.5 times the
appropriate to allow manufacturers to are therefore proposing a limit equal to duty cycle standard for Subzone 1. We
design their engines with ‘‘limp-home’’ the duty cycle standard (i.e., NTE request comment on the proposed NTE
capabilities to prevent a scenario where multiplier = 1.0). However, data on low- limits for SD/I engines. These limits are
an engine fails to function, leaving an emission engines show that brake- summarized in Table III–1.
TABLE III–1.—PROPOSED NTE LIMITS BY SUBZONE FOR SD/I ENGINES

Pollutant Subzone 1 Subzone 2 Subzone 3 Subzone 4
HC+NOX .......................................................................................................... 1.5 1.0 1.0 1.5

CO .................................................................................................................... 3.5 1.0 1.0 1.0
SD/I engine manufacturers have between test modes seen in direct- engines and personal watercraft without
begun developing prototype engines injection two-stroke outboard and PWC removing the engine from the vessel.
with catalysts, and one manufacturer is engines. However, we request comment Field testing would also provide a much
currently selling SD/I engines equipped on alternative approaches for SD/I better means of measuring emissions to
with catalysts. These manufacturers engines as well. establish compliance with the NTE
have indicated that they begin moving standards, because it is intended to
(e) Ambient Conditions
to richer air-fuel ratio calibrations at ensure control of emissions during
torque values greater than 80 percent of Variations in ambient conditions can normal in-use operation that may not
maximum. These richer air-fuel ratios affect emissions. Such conditions occur during laboratory testing over the
give more power but because more fuel include air temperature, water specified duty cycle. We propose to
is burned also lead to higher temperature, and barometric pressure, apply the field testing provisions for all
hydrocarbon and carbon monoxide and humidity. We are proposing to SD/I engines. These field-testing
emission rates. Part of the apply the comparable ranges for these procedures are described further in
manufacturers’ rationale in selecting the variables as for marine diesel engines Section IV.E.2.d. We request comment
appropriate air-fuel ratio in this type of (see § 1045.515). Within the ranges, on any ways the field testing procedures
operation is to protect the engine by there is no calculation to correct should be modified to address the
minimizing excess air, which would measured emissions to standard unique operating characteristics of
lead to greater engine temperatures as conditions. Outside of the ranges, marine engines.
increased combustion of fuel and emissions could be corrected back to the A parameter to consider is the
exhaust gases. To avoid the adverse nearest end of the range using good minimum sampling time for field
effects of this potential for overheating, engineering practice. The proposed testing. A longer period allows for
we request comment on whether ranges are 13 to 35 °C (55 to 95 °F) for greater accuracy, due mainly to the
subzone 1 should be expanded to ambient air temperature, 5 to 27 °C (41 smoothing effect of measuring over
accommodate the engine-protection to 80 °F) for ambient water temperature, several transient events. On the other
strategies needed for SD/I engines at and 94.0 to 103.325 kPa for atmospheric hand, an overly long sampling period
high power. In addition, we request pressure. We do not specify a range of can mask areas of engine operation with
comment on the proposed NTE limits in humidity values, but propose only to poor emission control characteristics.
subzone 1 with respect to open-loop require that laboratory testing be To balance these concerns, we are
engine operation, especially for carbon conducted at humidity levels applying a minimum sampling period of
monoxide. representing in-use conditions. 30 seconds. This is consistent with the
Marine engine manufacturers have requirement for marine diesel engines.

(f) Measurement Methods
suggested alternative approaches to Spark-ignition engines generally don’t
setting NTE limits for marine engines, While it may be easier to test outboard have turbochargers and they control
which are discussed in Section IV.C.2. engines in the laboratory, there is a emissions largely by maintaining air-
Largely, these suggestions have been strong advantage to using portable fuel ratio. Spark-ignition engines are
made to address the emission variability measurement equipment to test SD/I therefore much less prone to consistent
emission spikes from off-cycle or (2) In-Use Testing (3) Certification Fees
unusual engine operation. We believe Under our current certification
the minimum 30 second sampling time Manufacturers of OB/PWC engines
have been required to test in-use program, manufacturers pay a fee to
will ensure sufficient measurement cover the costs for various certification
engines to show that they continue to
accuracy and will allow for meaningful and other compliance activities
meet emission standards. We
measurements. associated with implementing the
contemplated a similar requirement for
We do not specify a maximum SD/I engines, but have decided not to emission standards. As explained
sampling time. We expect propose a requirement for a below, we are proposing to assess EPA’s
manufacturers testing in-use engines to manufacturer-run in-use testing program compliance costs associated with SD/I
select an approximate sampling time at this time. Manufacturers have pointed engines based on EPA’s existing fees
before measuring emissions; however, out that it would be very difficult to regulation. Section VI describes our
the standards apply for any sampling proposal to establish a new fees
identify a commercial fleet of boats that
category, based on the cost study
time that meets the minimum. could be set up to operate for hundreds
methodology used in establishing EPA’s
of hours, because it is very uncommon
(g) Certification existing fees regulation, for costs related
for commercial operators to have
to the proposed evaporative emission
We propose to require that significant numbers of SD/I vessels.
standards for both vessels and
manufacturers state in their application Where there are commercial fleets of
equipment that would be subject to
for certification that their engines will vessels that may be conducive to
standards under this proposal.
comply with the NTE standards under accelerated in-use service accumulation, EPA established a fee structure by
any nominally steady-state combination these vessels generally use outboard grouping together various manufacturers
engines. Manufacturers could instead and industries into fee categories, with
of speeds and loads within the proposed
hire drivers to operate the boats, but this an explanation that separation of
NTE zone (see § 1045.205). The
may be cost-prohibitive. We request industries into groups was appropriate
manufacturer would also provide a
comment on any other alternative to tailor the applicable fee to the level
detailed description of all testing,
approaches that might be available for of effort expected for EPA to oversee the
engineering analysis, and other accumulating operating hours with
information that forms the basis for the range of certification and compliance
SD/I engines. For example, to the extent responsibilities (69 FR 26222, May 11,
statement. This statement would be that boat builders maintain a fleet of
based on testing and, if applicable, other 2004). As part of this process, EPA
boats for product development or conducted a cost analysis to determine
research that supports such a statement, employees’ recreational use, those
consistent with good engineering the various compliance activities
engines may be available for emission associated with each fee category and
judgment. We would be able to review testing after in-use operation. EPA’s associated annual cost burden.
the basis for this statement during the
There is also a question about access Once the total EPA costs were
certification process. For marine diesel determined for each fee category, the
to the engines for testing. If engines
engines, we have provided guidance need to be removed from vessels for total number of certificates involved
that manufacturers may demonstrate testing in the laboratory, it is unlikely within a fee category was added
compliance with NTE standards by that owners would cooperate. However, together and divided into the total costs
testing their engines at a number of we are proposing test procedures with to determine the appropriate assessment
standard points throughout the NTE specified portable equipment that for each anticipated certificate.77 One of
zone. In addition, manufacturers must would potentially allow for testing the fee categories created was for ‘‘Other
test at a few random points chosen by engines that remain installed in boats. Engines and Vehicles,’’ which includes
EPA prior to the testing. We request This is described in Section IV.E.2.d. marine engines (both compression-
comment on this approach for Marine SI While we are not proposing a program ignition and spark-ignition), nonroad
engines. to require manufacturers to routinely spark-ignition engines (above and below
test in-use engines, the Clean Air Act 19 kW), locomotive engines,
E. Additional Certification and recreational vehicles, heavy-duty
Compliance Provisions allows us to perform our own testing at
any time with in-use engines to evaluate evaporative systems, and heavy-duty
(1) Production Line Testing whether they continue to meet emission engines certified only for sale in
standards throughout the useful life. California. These engine and vehicle
We are proposing to require that types were grouped together because
This may involve either laboratory
manufacturers routinely test engines at EPA planned a more basic certification
testing or in-field testing with portable
the point of production to ensure that review than, for example, light-duty
measurement equipment. For laboratory
production variability does not affect vehicles.
tests, we could evaluate compliance
the engine family’s compliance with EPA determined in the final fees
with either the duty cycle standards or
emission standards (see part 1045, rulemaking that it would be premature
the not-to-exceed standards. For testing
subpart D). These proposed testing to assess fees for the SD/I engines since
with engines that remain installed on
requirements are the same as we are they were not yet subject to emission
marine vessels, we would evaluate
proposing for outboard and personal standards. The fee calculation
compliance with the not-to-exceed
watercraft engines and are very similar nevertheless includes a projection that
standards. In addition, we may require
to those already in place in part 91. See there will eventually be 25 certificates
the manufacturer to conduct a
Section VII.C.7 and the draft regulations of conformity annually for SD/I engines.
reasonable degree of testing under Clean
for a detailed description of these We are proposing to now formally

Air Act section 208 if we have reason
requirements. We may also require include SD/I engines in the ‘‘Other
to believe that an engine family does not
Engines and Vehicles’’ category and
manufacturers to perform production conform to the regulations. This testing
line testing under the selective may take the form of a Selective 77 See Cost Analysis Document at p. 21 associated
enforcement auditing provisions Enforcement Audit, or we may require with the proposed fees rule (http://www.epa.gov/
described in Section VIII.E. the manufacturer to test in-use engines. otaq/fees.htm).
assess a fee of $839 for each certificate Flexibility Act as amended by the Small 500 people are considered small
of conformity in 2006. Note that we will Business Regulatory Enforcement businesses for the SBAR Panel. Based
continue to update assessed fees each Fairness Act of 1996. The purpose of the on this information, we asked 25
year, so the actual fee in 2009 and later Panel was to collect the advice and companies that met the SBA small
model years will depend on these recommendations of representatives of business thresholds to serve as small
annual calculations (see § 1027.105). small entities that could be affected by entity representatives for the duration of
this proposed rule and to report on the Panel process. Of these 25
(4) Special Provisions Related to
those comments and the Panel’s companies, 13 were involved in the
Partially Complete Engines
findings and recommendations as to marine industry. These companies
It is common practice for Marine SI issues related to the key elements of the represented a cross-section of SD/I
engines for one company to produce the Initial Regulatory Flexibility Analysis engine manufacturers, boat builders,
base engine for a second company to under section 603 of the Regulatory and fuel system component
modify for the final application. Since Flexibility Act. We convened a Panel manufacturers.
our regulations prohibit the sale of again on August 17, 2006 to update our With input from small entity
uncertified engines, we are proposing review for this new proposal. The Panel representatives, the Panel reports
provisions to clarify the status of these reports have been placed in the provide findings and recommendations
engines and defining a path by which rulemaking record for this proposal. on how to reduce potential burden on
these engines can be handled without Section 609(b) of the Regulatory small businesses that may occur as a
violating the regulations. See Section XI Flexibility Act directs the review Panel result of this proposed rule. The Panel
for more information. to report on the comments of small reports are included in the rulemaking
(5) Use of Engines Already Certified to entity representatives and make findings record for this proposal. In light of the
Other Programs as to issues related to identified Panel reports, and where appropriate,
elements of an initial regulatory the agency has made changes to the
In some cases, manufacturers may flexibility analysis (IRFA) under RFA provisions anticipated for the proposed
want to use engines already certified section 603. Those elements of an IRFA rule. The proposed options
under our other programs. Engines are: recommended to us by the Panel are
certified to the emission standards for • A description of, and where described below.
highway applications in part 86 or Large feasible, an estimate of the number of
SI applications in part 1048 are meeting (2) Proposed Burden Reduction
small entities to which the proposed
more stringent standards. We are Approaches for Small-Volume SD/I
rule will apply;
therefore proposing to allow the pre- • A description of projected Engine Manufacturers
existing certification to be valid for reporting, recordkeeping, and other We are proposing several options for
engines used in marine applications, on compliance requirements of the small-volume SD/I engine
the condition that the engine is not proposed rule, including an estimate of manufacturers. For purposes of
changed from its certified configuration the classes of small entities that will be determining which engine
in any way (see § 1045.605). subject to the requirements and the type manufacturers are eligible for the small
Manufacturers would need to of professional skills necessary for business provisions described below for
demonstrate that fewer than five percent preparation of the report or record; SD/I engine manufacturers, we are
of the total sales of the engine model are • An identification, to the extent proposing criteria based on a production
for marine applications. There are also practicable, of all relevant Federal rules cut-off of 5,000 SD/I engines per year.
a few minor notification and labeling that may duplicate, overlap, or conflict Under this approach, we would allow
requirements to allow for EPA oversight with the proposed rule; and engine manufacturers that exceed the
of this provision. • A description of any significant production cut-off level noted above to
(6) Import-Specific Information at alternative to the proposed rule that request treatment as a small business if
Certification accomplishes the stated objectives of they have fewer than the number of
applicable statutes and that minimizes employees specified above. In such a
We are proposing to require any significant economic impact of the case, the manufacturer would provide
additional information to improve our proposed rule on small entities. information to EPA demonstrating the
ability to oversee compliance related to In addition to the EPA’s Small number of employees in their employ.
imported engines (see § 1045.205). In Business Advocacy Chairperson, the The proposed options would be used at
the application for certification, we are Panel consisted of the Director of the the manufacturers’ discretion. We
proposing to require the following Assessment and Standards Division of request comment on the appropriateness
additional information: (1) The port or the Office of Transportation and Air of these options, which are described in
ports at which the manufacturer will Quality, the Administrator of the Office detail below.
import the engines, (2) the names and of Information and Regulatory Affairs
addresses of the agents the manufacturer within the Office of Management and (a) Additional Lead Time
has authorized to import the engines, Budget, and the Chief Counsel for One small business marine engine
and (3) the location of the test facilities Advocacy of the Small Business manufacturer is already using catalytic
in the United States where the Administration. converters on some of its production
manufacturer will test the engines if we Using definitions provided by the SD/I marine engines below 373 kW.
select them for testing under a selective Small Business Administration (SBA), These engines have been certified to
enforcement audit. companies that manufacture internal- meet standards adopted by California
F. Small-Business Provisions combustion engines and that employ ARB that are equivalent to the proposed
fewer than 1000 employees are standards. However, other small

(1) Small Business Advocacy Review considered small businesses for a Small businesses producing SD/I engines have
Panel Business Advocacy Review (SBAR) stated that they are not as far along in
On June 7, 1999, we convened a Small Panel. Equipment manufacturers, boat their catalyst development efforts. These
Business Advocacy Review Panel under builders, and fuel system component manufacturers support the concept of
section 609(b) of the Regulatory manufacturers that employ fewer than receiving additional time for
compliance, beyond the implementation program, combined with the additional families. Typically in EPA engine and
date for large manufacturers. lead time for small businesses, would equipment programs, manufacturers are
High-performance SD/I engine give small-volume SD/I engine able to group their engine lines into
manufacturers are typically smaller manufacturers ample opportunity to engine families for certification to the
businesses than other SD/I engine bank emission credits prior to the standards. Engines in a given family
manufacturers. The majority of high- proposed implementation date of the must have many similar characteristics
performance engine manufacturers standards. including the combustion cycle, cooling
produce fewer than 100 engines per year system, fuel system, air aspiration, fuel
for sale in the United States, and some (d) Assigned Emission Rates for High-
type, aftertreatment design, number of
produce only a few engines per year. Performance SD/I Engines
cylinders and cylinder bore sizes. A
Due to these very low sales volumes, Small businesses commented that manufacturer would then perform
additional lead time may be useful to certification may be too costly to emission tests only on the engine in that
the manufacturers to help spread out the amortize effectively over the small sales family that would be most likely to
compliance efforts and costs. volumes for high-performance SD/I exceed an emission standard. We are
As recommended in the SBAR Panel engines. One significant part of proposing to allow small businesses to
report, EPA is proposing an certification costs is engine testing. This group all of their high performance
implementation date of 2011 for SD/I includes testing for emissions over the SD/I engines into a single engine family
engines below 373 kW produced by specified duty cycle, deterioration for certification, subject to good
small business marine engine testing, and not to exceed (NTE) zone engineering judgment (see § 1045.230).
manufacturers and a date of 2013 for testing. Even in the case where an
small business manufacturers of high- engine manufacturer is using emission (g) Simplified Test Procedures for High-
performance (at or above 373 kW) credits to comply with the standard, the Performance SD/I Engines
marine engines (see § 1045.145). As manufacturer would still need to test Existing testing requirements include
discussed earlier, we have requested engines to calculate how many emission detailed specifications for the
comment on alternative non-catalyst credits are needed. One way of calibration and maintenance of testing
based standard of 22 g/kW-hr for high- minimizing this testing burden would equipment and tolerances for
performance SD/I marine engines. In the be to allow manufacturers to use performing the actual tests. For
case of an alternative non-catalyst based assigned baseline emission rates for laboratory equipment and testing, these
standard, less lead time may be certification based on previously specifications and tolerances are
necessary. EPA requests comments on generated emission data. As discussed intended to achieve the most repeatable
the proposed additional lead time in the earlier in this preamble, we are results feasible given testing hardware
implementation of the proposed SD/I proposing assigned baseline HC+NOX capabilities. For in-use testing, EPA
exhaust emission standards for small and CO emission rates for all high- allows for different equipment than is
businesses. performance SD/I engines. These specified for the laboratory and with
assigned emission rates are based on test arguably less restrictive specifications
(b) Exhaust Emission ABT and tolerances. The purpose of separate
data presented in Chapter 4 of the Draft
As discussed above, we are proposing RIA. requirements for in-use testing is to
an averaging, banking, and trading account for the variability inherent in
(ABT) credit program for exhaust (e) Alternative Standards for High- testing outside of the laboratory. These
emissions from SD/I marine engines (see Performance SD/I Engines less restrictive specifications allow for
part 1045, subpart H). Small businesses Small businesses expressed concern lower cost emission measurement
expressed some concern that ABT could that catalysts have not been devices, such as portable emission
give a competitive advantage to large demonstrated on high-performance measurement units. For high
businesses. Specifically, there was an engines and that they may not be performance SD/I engines, it may be
equity concern that if credits generated practicable for this application. In difficult to hold the engine at idle or
by SD/I engines below 373 kW could be addition, the concern was expressed high power within the tolerances
used for high-performance SD/I engines, that emission credits may not be currently specified by EPA in the
that one large manufacturer could use available at a reasonable price. As laboratory test procedure. Therefore, we
these credits to meet the high- discussed earlier, we are requesting are proposing less restrictive
performance SD/I engine standards comment on the need for and level of specifications and tolerances, for testing
without making any changes to their alternative standards for high- high performance SD/I engines, which
engines. EPA requests comment on the performance marine engines. would allow the use of portable
desirability of credit trading between The proposed NTE standards emission measurement equipment (see
high-performance and other SD/I marine discussed above would likely require § 1065.901(b)). This would facilitate less
engines and the impact it could have on additional certification and expensive testing for these small
small businesses. development testing. The SBAR Panel businesses without having a negative
recommended that NTE standards not effect on the environment.
(c) Early Credit Generation for ABT
apply to any high-performance SD/I
The SBAR Panel recommended an (h) Reduced Testing Requirements
engines, as it would minimize the costs
early banking program and expressed of compliance testing for small We are proposing that small-volume
belief that bonus credits will provide businesses. For these reasons, we are engine manufacturers may rely on an
greater incentive for more small not proposing to apply NTE standards to assigned deterioration factor to
business engine manufacturers to high-performance SD/I engines (See demonstrate compliance with the
introduce advanced technology earlier § 1045.105). standards for the purposes of

across the nation than would otherwise certification rather than doing service
occur. As discussed above, we are (f) Broad Engine Families for High- accumulation and additional testing to
proposing an early banking program in Performance SD/I Engines measure deteriorated emission levels at
which bonus credits could be earned for Testing burden could be reduced by the end of the regulatory useful life (see
certifying early (see § 1045.145). This using broader definitions of engine § 1045.240). EPA is not proposing actual
levels for the assigned deterioration G. Technological Feasibility water mixes with the exhaust stream
factors with this proposal. EPA intends before exiting the vessel. Manufacturers
(1) Level of Standards
to analyze available emission add a water jacket to the exhaust
deterioration information to determine Over the past few years, manifold to meet temperature-safety
appropriate deterioration factors for developmental programs have protocol. They route this cooling water
SD/I engines. The data will likely demonstrated the capabilities of into the exhaust to protect the exhaust
achieving significant reductions in couplings and to reduce engine noise.
include durability information from
exhaust emissions from SD/I engines. Catalysts must therefore be placed
engines certified to California ARB’s
California ARB has acted on this upstream of the point where the exhaust
standards and may also include engines information to set an HC+NOX emission
certified early to EPA’s standards. Prior and water mix—this ensures the
standard of 5 g/kW-hr for SD/I engines, effectiveness and durability of the
to the implementation date for the SD/ starting in 2008. Chapter 4 of the Draft
I standards, EPA will provide guidance catalyst. Because the catalyst must be
RIA presents data from several SD/I small enough to fit in the exhaust
to engine manufacturers specifying the engines with catalysts packaged within manifold, potential emission reductions
levels of the assigned deterioration water-cooled exhaust manifolds. Four of are not likely to exceed 90 percent, as
factors for small-volume engine these engines were operated with is common in land-based applications.
manufacturers. catalysts in vessels for 480 hours. The However, as discussed in Chapter 4 of
We are also proposing that small- remaining engines were tested with the Draft RIA, demonstration programs
volume engine manufacturers would be catalysts that had been subjected to a have shown that emissions may be
exempt from the production-line testing rapid-aging cycle in the laboratory. Data reduced by 70 to 80 percent for
requirements (see § 1045.301). While we from these catalyst-equipped engines HC+NOX and 30 to 50 percent for CO
are proposing to exempt small-volume generally show emission levels below over the proposed test cycle. Larger
engine manufacturers from production the proposed standards. reductions, especially for CO, have been
line testing, we believe requiring limited (2) Implementation Dates achieved at lower-speed operation.
production-line testing could be We anticipate that manufacturers will There have been concerns that aspects
beneficial to implement the ongoing use the same catalyst designs to meet of the marine environment could result
obligation to ensure that production the proposed standards that they will in unique durability problems for
engines are complying with the use to meet the California ARB catalysts. The primary aspects that
standards. Therefore, we request standards for SD/I engines in 2008. We could affect catalyst durability are
comment on the alternative of applying believe a requirement to extend the sustained operation at high load,
limited production-line testing to small- California standards nationwide after a saltwater effects on catalyst efficiency,
volume engine manufacturers with a one-year delay allows manufacturers and thermal shock from cold water
requirement to test one production adequate time to incorporate catalysts coming into contact with a hot catalyst.
across their product lines. Once the Modern catalysts perform well at
engine per year.
technology is developed for use in temperatures up to 1100° C, which is
(i) Hardship Provisions California, it would be available for use much higher than would be seen in a
nationwide. In fact, one company marine exhaust manifold. These
We are proposing two types of catalysts have also been shown to
hardship provisions for SD/I engine currently certified to the California
standards is already offering catalyst- withstand the thermal shock of being
manufacturers consistent with the Panel immersed in water. More detail on
equipped SD/I engines nationwide. As
recommendations. The first type of catalyst durability is presented in the
discussed above, we request comment
hardship is an unusual circumstances Draft RIA. In addition, use of catalysts
on the effect that anticipated product
hardship, which would be available to changes for specific General Motors in automotive, motorcycle, and
all businesses regardless of size. The engine blocks may have on the proposed handheld equipment has shown that
second type of hardship is an economic implementation dates. catalysts can be packaged to withstand
hardship provision, which would be vibration in the exhaust manifold.
available to small businesses only. (3) Technological Approaches Manufacturers already strive to design
Sections VIII.C.8 and VIII.C.9 provide a Engine manufacturers can adapt their exhaust systems to prevent water
description of the proposed hardship readily available technologies to control from reaching the exhaust ports. If too
provisions that would apply to SD/I emissions from SD/I engines. much water reaches the exhaust ports,
engine manufacturers. Electronically controlled fuel injection significant durability problems would
gives manufacturers more precise result from corrosion or hydraulic lock.
Because boat builders in many cases
control of the air/fuel ratio in each As discussed in the Draft RIA, industry
will depend on engine manufacturers to
cylinder, thereby giving them greater and government worked on a number of
supply certified engines in time to cooperative test programs in which
flexibility in how they calibrate their
produce complying boats, we are also several SD/I engines were equipped
engines. With the addition of an oxygen
proposing a hardship provision for all sensor, electronic controls give with catalysts and installed in vessels to
boat builders, regardless of size, that manufacturers the ability to use closed- prove out the technology. Early in the
would allow the builder to request more loop control, which is especially development work, a study was
time if they are unable to obtain a valuable when using a catalyst. In performed on an SD/I engine operating
certified engine and they are not at fault addition, manufacturers can achieve in a boat to see if water was entering the
and would face serious economic HC+NOX reductions through the use of part of the manifold where catalysts
hardship without an extension (see exhaust gas recirculation. However, the would be installed. Although some
§ 1068.255). Section VIII.C.10 provides a most effective technology for controlling water was collected in the exhaust
description of the proposed hardship emissions is a three-way catalyst in the manifold, it was found that this water
provisions that would apply to boat exhaust stream. came from water vapor that condensed
builders. In SD/I engines, the exhaust out of the combustion products. This
manifolds are water-jacketed and the was easily corrected using a thermostat
to prevent overcooling from the water effective approach to reducing IV. Outboard and Personal Watercraft
jacket. emissions from SD/I marine engines. Engines
Four SD/I engines equipped with However, we believe greater reductions
catalysts were operated in vessels for A. Overview
could be achieved through the use of
480 hours on fresh water. This time catalysts. We considered basing an This section applies to spark-ignition
period was intended to represent the interim standard on EGR, but were outboard and personal watercraft (OB/
full expected operating life of a typical concerned that this would divert PWC) marine engines and vessels. OB/
SD/I engine. No significant deterioration manufacturers’ resources away from PWC engines are currently required to
was observed on any of these catalysts, catalyst development and could have meet the HC+NOX exhaust emissions
nor was there any evidence of water the effect of delaying emission and other related requirements under 40
reaching the catalysts. In addition, the reductions from this sector. CFR part 91. As a result of these
catalysts were packaged such that the Several of the marine engines with standards, manufacturers have spent the
exhaust system met industry standards catalysts that were tested as part of the last several years developing new
for maximum surface temperatures. development of the proposed standards technologies to replace traditional,
Testing has been performed on one had HC+NOX emission rates in the 3–4 carbureted, two-stroke engine designs.
engine in a vessel on both fresh water g/kW-hr range, even with consideration Many of these technologies are capable
and saltwater over a test protocol of expected in-use emissions of emission levels well below the
designed by industry to simulate the deterioration associated with catalyst current standards. We are proposing
worst-case operation for water aging. However, we believe a standard new HC+NOX and CO exhaust emission
reversion. No evidence was found of of 5 g/kW-hr is still appropriate given standards for OB/PWC marine engines.
water reaching the catalysts. After the the potential variability in in-use For outboard and personal watercraft
testing, the engine had emission rates performance and in test data. The test engines, the current emission standards
below the proposed HC+NOX standard. programs described in Chapter 4 of the regulate only HC+NOX emissions. As
We later engaged in a test program to Draft RIA did not investigate larger described in Section II, we are
evaluate three additional engines with catalysts for SD/I applications. The goal proposing in this notice to make the
catalysts in vessels operating on of the testing was to demonstrate finding under Clean Air Act section
saltwater for extended periods. Early in catalysts that would work within the 213(a)(3) that Marine SI engines cause
the program, two of the three manifolds packaging constraints associated with or contribute to CO nonattainment in
experienced corrosion in the salt-water water jacketing the exhaust and fitting two or more areas of the United States.
environment resulting in water leaks the engines into engine compartments
and damage to the catalyst. These We believe manufacturers can use
on boats. However, we did perform
manifolds were rebuilt with guidance readily available technological
testing on engines equipped with both
from experts in the marine industry and approaches to design their engines to
catalysts and EGR. These engines
additional hours have been accumulated meet the proposed standards. In fact, as
showed emission results in the 2–3 g/
on the boats. Although the accumulated discussed in Chapter 4 of the Draft RIA,
kW-hr range. We expect that these same
hours are well below the 480 hours manufacturers are already producing
reductions could be achieved more
performed on fresh water, the operation simply through the use of larger several models of four-stroke engines
completed has shown no visible catalysts or catalysts with higher and direction-injection two-stroke
evidence of water reversion or damage precious metal loading. Past experience engines that meet the proposed
to the catalysts. indicates that most manufacturers will standards. The most important
One SD/I engine manufacturer began strive to achieve emission reductions compliance step for the proposed
selling engines equipped with catalysts well below the proposed standards to standards will be to retire high-emitting
in Summer 2006. They have certified give them certainty that they will pass designs that are still available and
their engines to the California ARB the standards in-use, especially as replace them with these cleaner engines.
standards, and are selling their catalyst- catalysts on SD/I engines are a new We are not proposing standards based
equipped engines nationwide. This technology. Therefore, we do not on the use of catalytic converters in OB/
manufacturer indicated that they have believe it is necessary at this time to set PWC engines. While this may be an
successfully completed durability a lower standard for these engines. attractive technology in the future, we
testing, including extended in-use do not believe there has been sufficient
testing on saltwater. Other (5) Our Conclusions development work on the application of
manufacturers have indicated that they We believe the proposed 2009 exhaust catalysts to OB/PWC engines to use as
will have catalyst-equipped SD/I emission standards for SD/I engines a basis for standards at this time.
engines for sale in California by the end represent the greatest degree of emission Note that we are proposing to migrate
of this year. reduction feasible in this time frame. the regulatory requirements for marine
Manufacturers could meet the proposed spark-ignition engines from 40 CFR part
(4) Regulatory Alternatives standards through the use of three-way 91 to 40 CFR part 1045. This gives us
In developing the proposed emission catalysts packaged in the exhaust the opportunity to update the details of
standards, we considered both what was systems upstream of where the water our certification and compliance
achievable without catalysts and what and exhaust mix. One manufacture is program to be consistent with the
could be achieved with larger, more already selling engines with this comparable provisions that apply to
efficient catalysts than those used in our technology and by 2009 many other other engine categories and describe
test programs. Chapter 4 of the Draft RIA manufacturers will have experience in regulatory requirements in plain
presents data on SD/I engines equipped producing engines with catalysts for language. Most of the change in
with exhaust gas recirculation (EGR). sale in California. regulatory text provides improved
HC+NOX emission levels below 10 g/ As discussed in Section X, we do not clarity without substantially changing
kW-hr were achieved for each of the believe the proposed standards would procedures or compliance obligations.
engines. CO emissions ranged from 25 have negative effects on energy, noise, Where there is a change that warrants
to 185 g/kW-hr. We believe EGR would or safety and may lead to some positive further attention, we describe the need
be a technologically feasible and cost- effects. for the change below.
B. Engines Covered by This Rule submerged during operation and can be positioned on, rather than within, the
tilted out of the water when not in use. confines of the hull. A vessel using an
(1) Definition of Outboard and Personal Second, engines used on jet boats outboard engine as its primary source of
Watercraft Engines and Vessels (with an open bay for passengers) have propulsion is not a personal watercraft.
The proposed standards are intended size, power, and usage characteristics • Personal watercraft engine means a
to apply to outboard marine engines and that are very similar to sterndrive and spark-ignition engine used to propel a
engines used to propel personal inboard applications, but these engines personal watercraft.
watercraft. We are proposing to change may be the same as OB/PWC engines, Section III.C.2 describes special
the existing definitions of outboard and rather than the marinized automotive provisions that would allow
personal watercraft to reflect this intent. engines traditionally used on sterndrive manufacturers extra flexibility with
The existing definitions of outboard vessels. We believe classifying such emission credits if they want to
engine and personal watercraft marine engines as personal watercraft engines is continue using outboard or personal
engine are presented below: inappropriate because it would subject watercraft engines in jet boats. These
• Outboard engine is a Marine SI the jet boats to less stringent emission engines would need to meet the
engine that, when properly mounted on standards than other boats with similar standards for sterndrive/inboard
a marine vessel in the position to size and power characteristics. This engines, but we believe it is appropriate
operate, houses the engine and drive different approach could lead to for them to make this demonstration
unit external to the hull of the marine increased use of high-emitting engines using emission credits generated by
vessel. in these vessels. Under the current other outboard and personal watercraft
• Personal watercraft engine (PWC) is regulations, engines powering jet boats engines because these vessels are
a Marine SI engine that does not meet could be treated as SD/I engines at the currently using these engine types. We
the definition of outboard engine, discretion of the Agency, because they request comment on this approach to
inboard engine, or sterndrive engine, are comparable in technology to defining personal watercraft, especially
except that the Administrator in his or conventional SD/I engines. We are as it relates to vessels 4 meters or longer
her discretion may classify a PWC as an proposing definitions that would and jet boats.
inboard or sterndrive engine if it is explicitly exclude jet boats and their
comparable in technology and (2) Exclusions and Exemptions
engines from being treated as personal
emissions to an inboard or sterndrive watercraft engines or vessels. Instead, We are proposing to maintain the
engine. we are proposing to classify jet boat existing exemptions for OB/PWC
With the proposed implementation of engines as SD/I. engines. These include the testing
catalyst-based standards for sterndrive The proposed definitions conform to exemption, the manufacturer-owned
and inboard marine engines, we believe the existing definition of personal exemption, the display exemption, and
the above definitions could be watercraft established by the the national-security exemption. If the
problematic. Certain applications using International Organization for conditions for an exemption are met, the
SD/I engines and able to apply catalyst Standardization (ISO 13590). This ISO engine is not subject to the exhaust
control would not be categorized as standard excludes open-bay vessels and emission standards. These exemptions
SD/I under the existing definitions in at specifies a maximum vessel length of 4 are described in more detail under
least two cases. First, an airboat engine, meters. The ISO standard therefore Section VIII.
which is often mounted well above the excludes personal watercraft-like The Clean Air Act provides for
hull of the engine and used to drive an vessels 4 meters or greater and jet boats. different treatment of engines used
aircraft-like propeller could be Thus, engines powering such vessels solely for competition. In the initial
misconstrued as an outboard engine. would be classified as sterndrive/ rulemaking to set standards for OB/PWC
However, like traditional sterndrive and inboard engines. We believe this engines, we adopted the conventional
inboard engines, airboat engines are definition effectively serves to definitions that excluded engines from
typically derived from automotive-based differentiate vessels in a way that the regulations if they had features that
engines without substantial groups propulsion engines into would be difficult to remove and that
modifications for marine application. categories that are appropriate for would make it unsafe, impractical, or
Airboat engines can use the same meeting different emission standards. unlikely to be used for noncompetitive
technologies that are available to This approach is shown below with the purposes. We have taken the approach
sterndrive and inboard engines, so we corresponding proposed definition of in other programs of more carefully
believe they should be subject to the personal watercraft engine. We are differentiating competition and
same standards. To address the proposing one change to the ISO noncompetition models, and are
concerns about classifying airboats, we definition for domestic regulatory proposing these kinds of changes in this
are proposing to change the outboard purposes; we propose to remove the rule. The proposed changes to the
definition to specify that the engine and word ‘‘inboard’’ to prevent confusion existing provisions relating to
drive unit be a single, self-contained between PWC and inboard engines and competition engines would apply
unit that is designed to be lifted out of state specifically that a vessel powered equally to all types of Marine SI
the water. This clarifies that air boats by an outboard marine engine is not a engines. See Section III and § 1045.620
are not outboard engines; air boats do PWC. We are proposing the following of the regulations for a full discussion
not have engines and drive units that definition: of the proposed approach.
are designed to be lifted out of the • Personal watercraft means a vessel We are proposing a new exemption to
water. We are proposing the following less than 4.0 meters (13 feet) in length address individuals who manufacture
definition: that uses an installed internal recreational marine vessels for personal
• Outboard engine means an combustion engine powering a water jet use (see § 1045.630). Under the
assembly of a spark-ignition engine and pump as its primary source of proposed exemption, these vessels and
drive unit used to propel a marine propulsion and is designed with no their engines could be exempt from
vessel from a properly mounted position open load carrying area that would standards, subject to certain limitations.
external to the hull of the marine vessel. retain water. The vessel is designed to For example, an individual may
An outboard drive unit is partially be operated by a person or persons produce one such vessel over a ten-year
period, the vessel may not be used for extend that same provision to OB/PWC more than a 60 percent reduction from
commercial purposes, and any exempt marine engines (see § 1045.5). the existing 2006 standards. We are also
engines may not be sold for at least five proposing new CO emission standards.
C. Proposed Exhaust Emission
years. The vessel must generally be built These proposed standards would result
Standards
from unassembled components, rather in meaningful CO reductions from many
than simply completing assembly of a We are proposing more stringent engines and prevent CO from increasing
vessel that is otherwise similar to one exhaust emission standards for new OB/ from engines that already use
that will be certified to meet emission PWC marine engines. These proposed technologies with lower CO emissions.
standards. This proposal addresses the standards can be met through the The proposed emission standards are
concern that hobbyists who make their expanded reliance on four-stroke
largely based on certification data from
own vessels would otherwise be engines and two-stroke direct-injection
cleaner-burning Marine SI engines, such
manufacturers subject to the full set of engines. This section describes the
emission standards by introducing these proposed requirements for OB/PWC as four-stroke engines and two-stroke
vessels into commerce. We expect this engines for controlling exhaust direct-injection engines. Section IV.F
exemption to involve a very small emissions. See Section V for a discusses the technological feasibility of
number of vessels. description of the proposed these standards in more detail. Table
In the rulemaking for recreational requirements related to evaporative IV–1 presents the proposed exhaust
vehicles, we chose not to apply emissions. emission standards for OB/PWC. We are
standards to hobby products by also proposing to apply not-to-exceed
exempting all reduced-scale models of (1) Standards and Dates emission standards over a range of
vehicles that are not capable of We are proposing new HC+NOX engine operating conditions, as
transporting a person (67 FR 68242, standards for OB/PWC engines starting described in Section IV.C.2. (See
November 8, 2002). We are proposing to in model year 2009 that would achieve § 1045.103.)
TABLE IV–1—PROPOSED OB/PWC EXHAUST EMISSION STANDARDS [G/KW-HR] FOR 2009 MODEL YEAR
Pollutant Pa ≤ 40 kW Pa > 40 kW
HC+NOX ...................................................................................................................................................... 28–0.3 × P 16

CO ................................................................................................................................................................ 500–5.0 × P 300
aP = maximum engine power in kilowatts (kW).
The proposed emission standards for The proposed implementation date and prohibit the use of defeat devices.
HC+NOX are similar in stringency to the gives an additional year beyond the (See § 1045.115.)
2008 model year standards adopted in implementation date of the California
(2) Not-to-Exceed Standards
California, and we expect that the same standards of similar stringency.
technology anticipated to be used in Manufacturers generally sell their Section III.D.2 describes NTE
California can be used to meet these lower-emission engines, which are standards for sterndrive and inboard
proposed standards. However, we are already meeting the 2008 California engines. We are proposing to apply the
proposing to simplify the form of the standards, nationwide. However, the same NTE testing provisions to OB/PWC
standards. The existing EPA 2006 and additional year would give engines, including the same NTE zone
California ARB 2008 requirements use a manufacturers time to address any and subzones and ambient conditions
functional relationship to set the models that may not meet the upcoming (see § 1045.515). However, data
emission standard for each engine California standards or are not generally presented in Chapter 4 of the Draft RIA
family depending on the power rating— sold in California. We request comment suggest that different emission limits
the numerical value of the standard on additional regulatory flexibility that would be appropriate for OB/PWC
increases with decreasing power ratings, manufacturers may need to transition to engines. For instance, we are proposing
especially for the smallest engines. the proposed standards. For instance, a higher limits at full power for SD/I
However, as described in Chapter 4 of modest phase-in of the standards may engines equipped with catalysts because
the Draft RIA, certification data show be useful to manufacturers to complete the engines must operate rich at this
that brake-specific emission rates (in g/ mode to protect catalysts and exhaust
an orderly turnover of high-emitting
kW-hr) are relatively constant for valves. Because we are not anticipating
engines. This phase-in could take the
engines with maximum engine power the use of catalysts on OB/PWC to meet
form of giving an extra year for
above 40 kW. We are therefore the exhaust emission standards, we
compliance with the proposed
proposing a single standard for engines believe it is not necessary to adopt such
standards for a small percentage of
with maximum engine power above 40 high limits for OB/PWC engines.
kW. For smaller engines, the engines (e.g., 10 percent of projected The Draft RIA describes the available
relationship between brake-specific sales) or phasing-in the level of the emission data that allow us to specify
emissions and maximum engine power standard (e.g., 20–25 g/kW-hr HC+NOX). appropriate modal caps for OB/PWC
is pronounced. We are proposing a Any comments on proposed transitional engines based on four-stroke engine
simple linear function for the standards flexibility should give details that fully technology. The available data for
for these engines, as shown in Table IV– describe the recommended program. direct-injection two-stroke engines
1. While this approach differs slightly The proposed standards include the showed two different distinct patterns
from the California ARB standards, we same general provisions that apply in modal emission rates. We are
believe it provides a good match for today. For example, engines must therefore proposing two alternative sets
establishing a comparable level of control crankcase emissions. The of NTE limits—manufacturers could use
stringency while simplifying the form of regulations also require compliance over either set of NTE limits for their OB/
the regulatory standard. the full range of adjustable parameters PWC engines. To offset the relaxed
limits for certain subzones, we are approaches. Table IV–2 presents the We request comment on the proposed
proposing more stringent limits for proposed sets of NTE limits for the NTE limits for OB/PWC engines.
other subzones for these alternative subzones described in Section III.D.2.
TABLE IV–2—PROPOSED NTE LIMITS BY SUBZONE FOR OB/PWC ENGINES

Approach Pollutant Subzone 4 Subzone 3 Subzone 2 Subzone 1
Primary ............................................................ HC+NOX ............................ 1.6 1.2 1.2 1.2

CO ..................................... 1.5 1.5 1.5 1.5
Alternative 1 ..................................................... HC+NOX ............................ 2.0 0.8 0.8 2.0
CO ..................................... 1.0 1.0 1.5 3.0
Alternative 2 ..................................................... HC+NOX ............................ 3.0 1.0 1.0 1.0
CO ..................................... 2.0 1.0 1.0 1.5
Marine engine manufacturers family emission limit) times a multiplier also be used to comply with the new
indicated that they are concerned that (under this approach, only a single OB/PWC standards as described below.
the differences in engine designs, multiplier would be needed). The We are proposing an unlimited life for
especially for direct-injection two-stroke purpose of the multiplier would be to emission credits earned under the
engines, may result in emission allow for some variability within each proposed new standards for OB/PWC
variation that would make it difficult to subzone. Because the weighted average engines. We consider these emission
meet a fixed set of NTE limits for all emissions from the subzones would credits to be part of the overall program
engines. To address this variability, they have the tendency of approaching the for complying with proposed standards.
have suggested two alternative steady-state test value, this multiplier Given that we may consider further
approaches to setting NTE limits for would not be expected to be much reductions beyond the proposed
marine engines. The first approach higher than 1.0. However, one drawback standards in the future, we believe it
would be to base the NTE limits on the to this approach is that there is no will be important to assess the ABT
modal test results from the certification specific cap for each mode and a credit situation that exists at the time
test rather than fixed values that would weighted average approach may not be any future standards are considered. We
apply to all engines. NTE limits would as effective in capping modal emissions would need to set such future emission
then be linearly interpolated between as would be specific limits for each standards based on the statutory
the modes as a function of speed and subzone. More detail on this concept is direction that emission standards must
load. For example, if the modal results available in the docket.78 represent the greatest degree of emission
were 2.0 g/kW-hr at Mode 3 and 4.0 g/ We request comment on the two control achievable, considering cost,
kW-hr at Mode 4, the interpolated value alternative NTE limit approaches safety, lead time, and other factors.
half way between these modal test described above. Specifically, Emission credit balances will be part of
points would be 3 g/kW-hr. A multiplier commenters should provide detail on the analysis for determining the
would then be applied to this what advantages (and disadvantages) appropriate level and timing of new
interpolated value to create the NTE these alternatives may provide and what standards. If we were to allow the use
limit. This multiplier would be effect they may have on in-use of existing emission credits for meeting
intended to account for testing and emissions and the potential for future standards, we may, depending on
production variability. The multiplier improving the manufacturer in-use the level of emission credit banks, need
would not likely need to be as large as testing program. In addition, to adopt emission standards at more
the proposed general multipliers for the commenters should describe what stringent levels or with an earlier start
subzones presented above because it emission limits or multipliers would be date than we would absent the
would be applied to a surface generated appropriate for the alternative continued or limited use of existing
from each manufacturer’s actual modal approaches and provide test data emission credits. Alternatively, we
data. Because the NTE cap would be supporting these conclusions. could adopt future standards without
calculated from the individual test allowing the use existing credits. The
modes in the steady-state test, it may be (3) Emission Credit Programs proposal described in this notice
necessary for the manufacturers to Engine manufacturers may use describes a middle path in which we
assign family emission limits for each of emission credits to meet OB/PWC allow the use of existing credits to meet
the test modes in the proposed NTE standards under part 91. See Section the proposed new standards, with
zone. VII.C.5 for a description of general provisions that limit the use of these
The second conceptual approach provisions related to averaging, banking, credits based on a three-year credit life.
would be to use a weighted average and trading programs. We are requesting comment on one
approach to the NTE limit rather than to We propose to adopt an ABT program particular issue regarding credit life. As
have individual NTE limits for each for the new HC+NOX emission proposed, credits earned under the new
subzone. Under this approach, an standards that is similar to the existing exhaust ABT program would have an
emission measurement would be made program (see part 1045, subpart H). unlimited lifetime. This could result in
in each of the subzones plus idle. These Credits may be used interchangeably a situation where credits generated by
measurements could be made at any between outboard and personal an engine sold in a model year are not
operation point within each subzone. watercraft engine families. Credits used until many years later when the
The measured emissions would then be earned under the current program may engines generating the credits have been
combined using the weighting factors scrapped and are no longer part of the
for the modal test. This weighted 78 ‘‘Marine NTE Zones,’’ Presentation to EPA by fleet. EPA believes there may be value
average emission level would be BRP on October 26, 2006, Docket EPA–HQ–OAR– to limiting the use of credits to the
required to be below the standard (or 2004–0008–0508. period that the credit-generating engines
exist in the fleet. For this reason, EPA In addition, as with the current incentive to use credits from the OB/
requests comment on limiting the standards, we are proposing that PWC marine sector to avoid the use of
lifetime of the credits generated under engines sold in California would not be aftertreatment technologies in SD/I
the proposed exhaust ABT program to included in this ABT program because engines.
five years or, alternatively, to the they are already subject to California We request comment on the structure
regulatory useful life of the engine. requirements. of the proposed ABT program, including
We are interested in using a common Under the existing standards, no cap the new provisions related to CO
emission credit calculation is set on FELs for certifying engine emissions. For any commenters
methodology across our programs. families. This was intended to allow suggesting that we include banking or
Therefore, we are proposing to use the manufacturers to sell old-technology trading for CO emissions, we solicit
same emission credit equation for OB/ two-stroke engines by making up the further comment on what the
PWC engines that is common in many emissions deficit with credits under the appropriate CO standard should be to
of our other programs. This equation ABT program. For engines subject to the account for the greater regulatory
results in a simpler calculation than is new emission standards, we are flexibility and therefore greater degree
currently used for OB/PWC engines. proposing FEL caps to prevent the sale of control achievable using emissions
The primary difference is that the of very high-emitting engines. For credits. We also request comment on the
regulatory useful life would be used in HC+NOX, the proposed FEL cap is based use and level of the proposed FEL caps
the credit calculation rather than a on the existing 2006 standards. For CO, and on the approach to defining
discounted useful life function based on the proposed FEL cap is 150 g/kW-hr averaging sets.
engine type and power rating. In above the proposed standard. We
addition, the emission credits would be believe this will still allow a great deal (4) Durability Provisions
reported in units of kilograms rather of flexibility for manufacturers using We are proposing to keep the existing
than grams. We anticipate that this credits, but will require manufacturers useful life periods from 40 CFR part 91.
change in the credit calculation would to stop producing engines that emit The specified useful life for outboard
directionally increase the relative value pollutants at essentially uncontrolled engines is 10 years or 350 hours of
of emission credits generated under the levels. operation, whichever comes first. The
existing ABT program. However, due to Except as specified in Section III.C.2
useful life for personal watercraft
the proposed limit on credit life and the for jet boats, we are proposing to specify
engines is 5 years or 350 hours of
proposed FEL cap for OB/PWC engines, that OB/PWC engines and SD/I engines
operation, whichever comes first. (See
we do not believe that this increase in are in separate averaging sets. This
§ 1045.103.)
relative value will significantly hamper means that credits earned by OB/PWC
engines may be used only to offset We are proposing to update the
the introduction of clean engine
higher emissions from other OB/PWC specified emissions warranty periods for
technology. We request comment on the
engines, and credits earned by SD/I outboard and personal watercraft
new credit calculation and on whether
engines may be used only to offset engines to align with our other emission
credits generated under the existing OB/
higher emissions from other SD/I control programs (see § 1045.120). Most
PWC standards should be adjusted to be
more equivalent to credits generated engines. We are allowing jet boats to use nonroad engines have emissions
under the proposed ABT program. OB/PWC credits because there are warranty periods that are half of the
We are proposing an averaging currently small sales of these engines total useful life period. As a result, we
program for CO emissions. Under this currently using OB/PWC engines. Most are proposing a warranty period for
program, manufacturers could generate of the engine manufacturers building outboard engines of five years or 175
credits with engine families that have SD/I engines do not also build OB/PWC hours of operation, whichever comes
FELs below the CO emission standard to engines. The exception to this is the first. The proposed warranty period for
be used for engine families in their largest manufacturer in both categories. personal watercraft engines is 30
product line in the same model year that We are concerned that allowing months or 175 hours, whichever comes
are above the CO standard. However, we averaging, banking, and trading between first. This contrasts somewhat with the
are proposing to disallow banking for OB/PWC engines and SD/I engines currently specified warranty period of
CO emissions. We are concerned that a would not provide the greatest 200 hours or two years (or three years
banking program could result in a large achievable reductions, because the level for specified major emission control
accumulation of credits based on a of the standard we are proposing is components). The proposed approach
given company’s mix of engine premised on the technology used in OB/ would slightly decrease the warranty
technologies. If banking were allowed, PWC engines, and is based on what is period in terms of hours, but would
the proposed CO standard would need feasible for these engines. We did not somewhat increase the period in terms
to be substantially more stringent to set the OB/PWC level based on the of calendar years (or months). We
reflect the capability for industry-wide reductions achievable between OB/PWC request comment on this revised
average CO emission levels. We and SD/I, but instead based on what is approach to defining warranty periods.
generally allow trading only with achievable by OB/PWC itself. The If the manufacturer offers a longer
banked credits, so we are also proposing proposed limitation on ABT credits is mechanical warranty for the engine or
to disallow trading of CO emission consistent with this approach to setting any of its components at no additional
credits. the level of the OB/PWC standards. We charge, we propose that the emission-
As with previous emission control are also concerned that allowing trading related warranty for the respective
programs, we are also proposing not to between OB/PWC and SD/I could create engine or component must be extended
allow manufacturers to earn credits for a competitive disadvantage for the many by the same amount. The emission-
one pollutant for an emission family small manufacturers of SD/I engines related warranty includes components
that is using credits to meet the standard that do not also produce OB/PWC related to controlling exhaust,
for another pollutant. In other words, an engines. In addition, we are proposing evaporative, and crankcase emissions
engine family that does not meet the CO SD/I emission standards that would from the engine. This approach to
standard would not be able to earn likely require the use of aftertreatment. setting warranty requirements is
HC+NOX emission credits, or vice versa. We would not want to provide an consistent with provisions that apply in
most other programs for nonroad (1) Duty Cycle point on an engine’s normalized
engines. A duty cycle is the set of modes maximum-power versus speed curve.
We are proposing to keep the existing (engine speed and load) over which an Maximum test speed is defined at that
requirements related to demonstrating engine is operated during a test. For point where the length of this line
the durability of emission controls for purposes of exhaust emission testing, reaches its maximum value. This change
purposes of certification (see § 1045.235, we are proposing to keep the existing would apply to testing of OB/PWC
§ 1045.240, and § 1045.245). duty cycle specified for OB/PWC engines as well as SD/I engines. We
Manufacturers must run engines long engines, with two adjustments (see request comment on the use and
enough to develop and justify full-life definition of maximum test speed.
§ 1045.505). First, we are proposing that
deterioration factors. This allows manufacturers may choose to run the (3) 40 CFR Part 1065
manufacturers to generate a specified duty cycle as a ramped-modal
deterioration factor that helps ensure We are proposing to specify that OB/
cycle, as described in Section IX.B. PWC engines certified to the proposed
that the engines will continue to control Second, we are proposing to change the
emissions over a lifetime of operation. exhaust emission standards use the test
low-power test mode from a specified procedures in 40 CFR part 1065 instead
The new requirement to generate 25 percent load condition to 25.3
deterioration factors for CO emissions is of those in 40 CFR part 91.79 We are
percent load, which would complete the proposing that the new procedures
the same as that for HC+NOX emissions. intended alignment with the E4 duty
For the HC+NOX standard, we propose would apply starting with the
cycle adopted by the International introduction of proposed exhaust
to specify that manufacturers use a Organization for Standardization. standards, though we allow
single deterioration factor for the sum of We request comment on the manufacturers to start using these new
HC and NOX emissions. However, if appropriateness of changing part 91 to procedures earlier as an alternative
manufacturers get our approval to include the correction to the duty cycle procedure. The procedures in part 1065
establish a deterioration factor on an described above. We request comment include updated provisions to account
engine that is tested with service regarding whether a change in the for newer measurement technologies
accumulation representing less than the specification for the current standards and improved calculation and
full useful life for any reason, we would may cause some existing test data to be corrections procedures. Part 1065 also
require separate deterioration factors for considered invalid. For example, testing specifies more detailed provisions
HC and NOX emissions. The advantage from an earlier model year may have related to alternate procedures,
of a combined deterioration factor is involved measurements that were including a requirement to conduct
that it can account for an improvement slightly below 25 percent load, but testing representative of in-use
in emission levels with aging. However, within the specified tolerance for operation. In many cases, we allow
for engines that have service testing. These measurements may be carryover of emission test data from one
accumulation representing less than the used for carryover engine families year to another. After the
full useful life, we believe it is not today, but increasing the load point in implementation of the proposed
appropriate to extrapolate measured the regulation could cause some standards, we are proposing to allow
values indicating that emission levels measurements to be outside the carryover of any test data generated
for a particular pollutant will decrease. tolerance once it shifts to a nominal prior to 2009 under the test procedures
Under the current regulations, value of 25.3 percent. in 40 CFR part 91.
emission-related maintenance is not
allowed during service accumulation to (2) Maximum Test Speed (4) Altitude
establish deterioration factors. The only The definition of maximum test EPA emission standards generally
maintenance that may be done must be speed, where speed is the angular apply at a wide range of altitudes, as
(1) Regularly scheduled, (2) unrelated to velocity of an engine’s crankshaft reflected in the range of barometric
emissions, and (3) technologically (usually expressed in revolutions per pressures in the specified test
necessary. This typically includes minute, or rpm), is an important aspect procedures. For marine spark-ignition
changing engine oil, oil filter, fuel filter, of the duty cycles for testing. Engine engines, it is clear that the large majority
and air filter. In addition, we are manufacturers currently declare the of operation is at sea level or at inland
proposing to specify that manufacturers rated speeds for their engines and then lakes that are not at high altitude. We
may not schedule critical emission- used the rated speed as the maximum are therefore proposing a specific range
related maintenance during the useful speed for testing. However, we have of barometric pressures from 94.0 to
life period (see § 1045.125). This would established an objective procedure for 103.325 kPa, which corresponds to all
prevent manufacturers from designing measuring this engine parameter to have altitudes up to about 2,000 feet (see
engines with emission controls that a clearer reference point for an engine’s § 1045.501). Manufacturers are expected
depend on scheduled maintenance that maximum test speed. This is important to design emission control systems that
is not likely to occur with in-use to ensure that engines are tested at continue to function effectively at lower
engines. We request comment on all operating points that correspond with barometric pressures (i.e., higher
aspects of our provisions related to in-use operation. This also helps ensure altitudes), but we would not require that
manufacturers’ prescribed maintenance. that the NTE zone is appropriately engines meet emission standards when
matched to in-use operating conditions. tested at altitudes more than 2,000 feet
D. Changes to Existing OB/PWC Test above sea level.
We propose to define the maximum
Procedures
test speed for any engine to be the single (5) Engine Break-in
We are proposing a number of minor point on an engine’s maximum-power
changes to the test procedures for OB/ versus speed curve that lies farthest Testing new engines requires a period
PWC to make them more consistent away from the zero-power, zero-speed of engine operation to stabilize emission
with the test procedures for other point on a normalized maximum-power 79 See our previous rulemakings related to 40 CFR
nonroad spark-ignition engines. These versus speed plot. In other words, part 1065 for more information about the changes
test provisions would apply to SD/I consider straight lines drawn between in test provisions (70 FR 40420, July 13, 2005 and
marine engines as well. the origin (speed = 0, load = 0) and each 67 FR 68242, November 8, 2002).
levels. The regulations specify two (2) In-Use Testing these engine families are automatically
separate figures for break-in periods. We are also proposing to continue the subject to in-use testing, without regard
First, for certification, we establish a requirements related to the to the 25 percent limitation that would
limit on how much an engine may manufacturer-run in-use testing otherwise dictate our selections. This
operate and still be considered a ‘‘low- program. Under this program, may appear to increase the potential test
hour’’ engine. The results of testing with manufacturers test field-aged engines to burden, but the clear majority of
the low-hour engine are compared with determine whether they continue to applications for certification are
a deteriorated value after some degree of meet emission standards (see part 1045, completed before the end of the
service accumulation to establish a calendar year for the following model
subpart E). We are proposing to make a
deterioration factor. For Large SI year. This proposed provision would
variety of changes and clarifications to
engines, we require that low-hour test eliminate the manufacturers’ ability to
the existing requirements, as described
engines have no more than 300 hours of game the testing system by delaying a
in the following sections.
engine operation. However, given the family of potential concern until the
shorter useful life for marine engines, (a) Adjustments Related to Engine next calendar year. We would expect to
this would not make for a meaningful Selection receive few new applications after the
process for establishing deterioration Both EPA and manufacturers have end of the calendar year. This would be
factors, even if there is a degree of gained insights from implementing the consistent with the manufacturers’
commonality between the two types of current program. Manufacturers have interest in early family selections,
engines. We are proposing for all marine expressed a concern that engine families without jeopardizing EPA’s interest in
spark-ignition engines that low-hour are selected rather late in the model being able to select from a
engines generally have no more than 30 year, which makes it harder to prepare manufacturer’s full product lineup.
hours of engine operation (see We request comment on the approach
a test fleet for fulfilling testing
§ 1045.801). This allows some to selecting engine families for in-use
obligations. On the other hand, we have
substantial time for break-in, testing.
seen that manufacturers certify some of
stabilization, and running multiple their engine families well into the (b) Crankcase Emissions
tests, without approaching a significant model year. By making selections early Because the crankcase requirements
fraction of the useful life. The current in the model year, we would generally are based on a design specification
regulation in part 91 specifies that be foregoing the opportunity to select rather than emission measurements, the
manufacturers perform the low-hour engine families for which manufacturers anticipated crankcase technologies are
measurement after no more than 12 don’t apply for certification until after best evaluated simply by checking
hours of engine operation (see the selections occur. whether or not they continue to
§ 91.408(a)(1)). The proposed approach, To address these competing interests, function as designed. As a result, we
30 hours of engine operation, is we are proposing an approach that intend for an inspection of in-use
consistent with what we have done for allows for early selection of engine engines to show whether these systems
recreational vehicles and would give families, while preserving the potential continue to function properly
manufacturers more time to complete a to require testing for engines that are throughout the useful life, but are not
valid low-hour test. certified later in the model year. For proposing to require manufacturers to
For production-line testing there is applications we receive by December 31 include crankcase measurements as part
also a concern about how long an engine of a given calendar year for the of the in-use testing program described
should operate to reach a stabilized following model year, we would expect in this section. This is consistent with
emission level. We are proposing to to select engine families for testing by the approach we have taken in other
keep the provision in part 91 that allows the end of February of the following programs.
for a presumed stabilization period of 12 year. If we have not made a complete
hours (see § 90.117(a)). We believe 12 selection of engine families by the end (c) In-Use Emission Credits
hours is sufficient to stabilize the of February, manufacturers would have Clean Air Act section 213 requires
emissions from the engine. the option of making their own engines to comply with emission
We request comment on these selections for in-use testing. The standards throughout their regulatory
specified values for stabilizing new proposed regulations include criteria to useful lives, and section 207 requires a
engines for emission measurements. serve as guidance for manufacturers to manufacturer to remedy in-use
E. Additional Certification and make appropriate selections. For nonconformity when we determine that
Compliance Provisions example, we would expect a substantial number of properly
manufacturers to most strongly consider maintained and used engines fail to
(1) Production-Line Testing those engine families with the highest conform with the applicable emission
We are proposing to continue to projected sales volume and the smallest standards (42 U.S.C. 7541). As described
require that manufacturers routinely test compliance margins. Manufacturers in the original rulemaking,
engines at the point of production to may also take into account past manufacturers could use a calculation of
ensure that production variability does experience with engine families if they emission credits generated under the in-
not affect the engine family’s have already passed an in-use testing use testing program to avoid a recall
compliance with emission standards. regimen and have not undergone determination if an engine family’s in-
This is largely based on the existing test significant design changes since that use testing results exceeded emission
requirements, but includes a variety of time. standards (61 FR 52095, October 4,
changes. See Section VII.C.7 for a We propose to treat engine families 1996).
detailed description of these differently for in-use testing if we We are proposing a more general
requirements. We may also require receive the application after December approach to addressing potential
manufacturers to perform production 31. This would apply, for example, if noncompliance under the in-use testing
line testing under the selective manufacturers send an application for a program than is specified in 40 CFR part
enforcement auditing provisions 2009 engine family in February 2009. In 91. The proposed regulations do not
described in Section VIII.E. these cases, we are proposing that all specify how manufacturers would
generate emission credits to offset a Limit) and the average emission level for require manufacturers to specify how
nonconforming engine family. The an in-use testing family in g/kW-hr. they would allow for drawing emission
proposed approach is preferred for two ULi = Useful life in hours. samples from in-use engines for testing
Poweri = The sales-weighted average
primary reasons. First, manufacturers maximum engine power for an engine
installed engines. For example,
will be able to use emission data family in kW. emission samples can be drawn from
generated from field testing to LFi = Load factor or fraction of maximum the exhaust flow directly upstream of
characterize an engine family’s average engine power utilized in use; use 0.50 for the point at which water is mixed into
emission level. This becomes engine families used only in constant- the exhaust flow. This should minimize
necessarily more subjective, but allows speed applications and 0.32 for all other collection of water in the extracted
us to consider a wider range of engine families. sample, though a water separator may
information in evaluating the degree to We have adopted this same approach be needed to maintain a sufficiently dry
which manufacturers are complying for the in-use testing program that sample. Mass flow rates also factor into
with emission standards across their applies for Large SI engines in 40 CFR the torque calculation; this may be
product line. Second, this approach part 1048. measured either in the intake or exhaust
makes clearer the role of the emission (3) Optional Procedures for Field manifold.
credits in our consideration to recall Testing Calculating brake-specific emissions
failing engines. We plan to consider, depends on determining instantaneous
Outboard engines are inherently
among other information, average engine speed and torque levels. We
portable, so it may be easier to test them
emission levels from multiple engine propose to require that manufacturers
in the laboratory than in the field.
families in deciding whether to recall must therefore design their engines to be
engines from a failing engine family. We However, there is a strong advantage to
using portable measurement equipment able to continuously monitor engine
therefore believe it is not appropriate to speed and torque. We have already
have a detailed emission credit program to test personal watercraft and SD/I
engines while the engine remains adopted this requirement for other
defining precisely how and when to mobile source programs where
calculate, generate, and use credits that installed to avoid the effort of taking the
engine out and setting it up in a electronic engine control is used.
do not necessarily have value Monitoring speed values is
elsewhere. laboratory. Field testing would also
provide a much better means of straightforward. For torque, the onboard
Not specifying how manufacturers
measuring emissions to establish computer needs to convert measured
generate emission credits under the in-
compliance with the NTE standards, engine parameters into useful units.
use testing program gives us the ability
because it is intended to ensure control Manufacturers generally will need to
to consider any appropriate test data in
of emissions during normal in-use monitor a surrogate value such as intake
deciding what action to take. In
operation that may not occur during manifold pressure or throttle position
generating this kind of information,
laboratory testing over the specified (or both), then rely on a look-up table
some general guidelines would apply.
For example, we would expect duty cycle. We propose to apply the programmed into the onboard computer
manufacturers to share test data from all field testing provisions described below to convert these torque indicators into
engines and all engine families tested as an option for all OB/PWC and SD/I Newton-meters. Manufacturers may also
under the in-use testing program, engines. We request comment on any want to program the look-up tables for
including nonstandard tests that might ways the field testing procedures should torque conversion into a remote scan
be used to screen engines for later be modified to address the unique tool. Part 1065 specifies the
measurement. This allows us to operating characteristics of OB/PWC or performance requirements for accuracy,
understand the manufacturers’ overall SD/I engines. repeatability, and noise related to speed
level of performance in controlling The regulations at 40 CFR part 1065, and torque measurements. These
emissions to meet emission standards. subpart J, specify how to measure tolerances are taken into account in the
Average emission levels should be emissions using portable measurement selection of the proposed NTE
calculated over a running three-year equipment. To test engines while they standards.
period to include a broad range of remain installed, analyzers are (4) Other Changes for In-use Testing
testing without skewing the results connected to the engine’s exhaust to
based on old designs. Emission values detect emission concentrations during A question has been raised regarding
from engines certified to different tiers normal operation. Exhaust volumetric the extent of liability if an engine family
of emission standards or tested using flow rate and continuous power output is found to be noncompliant during in-
different measurement procedures are also needed to convert the analyzer use testing. Because it can take up to
should not be combined to calculate a responses to units of g/kW-hr for two years to complete the in-use testing
single average emission level. Average comparing to emission standards. These regimen for an engine family, we want
emission levels should be calculated values can be calculated from to clarify the status of engines produced
according to the following equation, measurements of the engine intake flow under that engine family’s certificate,
rounding the results to 0.1 g/kW-hr: rate, the exhaust air-fuel ratio and the and under the certificates of earlier and
engine speed, and from torque later engine families that were
Average EL = Si[(STD¥CL)i × (UL)i ×
information. effectively of the same design. For
(Sales)i × Poweri × LFi] ÷ Si [(UL)i ×
Available small analyzers and other example, manufacturers in many cases
(Sales)i × Poweri × LFi]
equipment may be adapted for use carryover data to continue certifying
Where: measuring emissions from field new engine families for a subsequent
Average EL = Average emission level in g/ equipment. A portable flame ionization model year; this avoids the need to
kW-hr. detector can measure total hydrocarbon produce new test data for engines whose
Salesi = The number of eligible sales, tracked concentrations. A portable analyzer design does not change from year to
to the point of first retail sale in the U.S.,
for the given engine family during the based on zirconia technology can year. For these cases, absent any
model year. measure NOX emissions. A contrary information from the
(STD¥CL)i = The difference between the nondispersive infrared (NDIR) unit can manufacturer, we will maintain the
emission standard (or Family Emission measure CO. We are proposing to discretion to include other applicable
engine families in the scope of any requirements to allow for EPA oversight engines in an engine family use the
eventual recall, as allowed by the Act. of this provision. same type of fuel. This may have been
There are a variety of smaller changes a simple oversight in the current
(6) Import-Specific Information at
to the in-use testing provisions as a regulations, since all OB/PWC engines
Certification
result of updating the regulatory operate on gasoline. However, if a
language to reflect the language changes We are proposing to require manufacturer would produce an engine
that we adopted for similar testing with additional information to improve our model that runs on natural gas or
Large SI engines. First, we are proposing ability to oversee compliance related to another alternative fuel, that engine
to remove the requirement to select imported engines (see § 1045.205). In model should be in its own engine
engines that have had service the application for certification, we are family.
accumulation representing less than 75 proposing to require the following The proposed regulatory language
percent of the useful life. This will additional information: (1) The port or related to engine labels remains largely
allow manufacturers the flexibility to ports at which the manufacturer will unchanged (see § 1045.135). However,
import the engines, (2) the names and we are including a provision to allow
test somewhat older engines if they
addresses of the agents the manufacturer manufacturers to print labels that have
want to. Second, we are proposing to
has authorized to import the engines, a different company’s trademark. Some
slightly adjust the description of the
and (3) the location of the test facilities manufacturers in other programs have
timing of the test program, specifying
in the United States where the requested this flexibility for marketing
that the manufacturer must submit a test
manufacturer will test the engines if we purposes.
plan within 12 months of EPA selecting
select them for testing under a selective The proposed warranty provisions are
the family for testing, with a
enforcement audit. described above. We are proposing to
requirement to complete all testing
add an administrative requirement to
within 24 months. This contrasts with F. Other Adjustments to Regulatory
describe the provisions of the emission-
the current requirement to complete Provisions
related warranty in the owners manual
testing within 12 months after the start We are proposing to migrate the (see § 1045.120). We expect that many
of testing, which in turn must occur regulatory requirements for marine manufacturers already do this, but
within 12 months of family selection. spark-ignition engines from 40 CFR part believe it is appropriate to require this
We believe the modified approach 91 to 40 CFR part 1045. This gives us as a routine practice.
allows additional flexibility without the opportunity to update the details of Certification procedures depend on
delaying the conclusion of testing. our certification and compliance establishing deterioration factors to
Third, we are proposing to require that program to be consistent with the predict the degradation in emission
manufacturers explain why they comparable provisions that apply to controls that occurs over the course of
excluded any particular engines from other engine categories. The following an engine’s useful life. This typically
testing. Finally, we are proposing to paragraphs highlight some of the involves service accumulation in the
require manufacturers to report any changes in the new language that may laboratory to simulate in-use operation.
noncompliance within 15 days after involve noteworthy changes from the Since manufacturers do in-use testing to
completion of testing for a family, rather existing regulations. All these further characterize this deterioration
than 15 days after an individual engine provisions apply equally to SD/I rate, we are proposing to specify that
fails. This has the advantage for engines, except that they are not subject deterioration factors for certification
manufacturers and the Agency of a more to the current requirements in 40 CFR must take into account any available
unified reporting after testing is part 91. data from in-use testing with similar
complete, rather than piecemeal We are proposing some adjustments engines. This provision applies in most
reporting before conclusions can be to the criteria for defining engine of our emission control programs that
drawn. families (see § 1045.230). The involve in-use testing. To the extent that
fundamental principle behind engine this information is available, it should
(5) Use of Engines Already Certified to
families is to group together engines that be factored into the certification
Other Programs
will have similar emission process. For example, if in-use testing
In some cases, manufacturers may characteristics over the useful life. We shows that emission deterioration is
want to use engines already certified are proposing that engines within an substantially higher than that
under our other programs. Engines engine family must have the same characterized by the deterioration factor,
certified to the emission standards for approximate bore diameter and all use we would expect the manufacturer to
highway applications in part 86 or Large the same method of air aspiration (for factor the in-use data into a new
SI applications in part 1048 are meeting example, naturally aspirated vs. deterioration factor, or to revise
more stringent standards. We are turbocharged). Under the current durability testing procedures to better
therefore proposing to allow the pre- regulation, manufacturers may consider represent the observed in-use
existing certification to be valid for bore and stroke dimensions and degradation.
engines used in marine applications, on aspiration method if they want to Maximum engine power for an engine
the condition that the engine is not subdivide engine families beyond what family is an important parameter. For
changed from its certified configuration would be required under the primary engines below 40 kW, the maximum
in any way (see § 1045.605). For criteria specified in § 91.115. We believe engine power determines the applicable
outboard and personal watercraft engines with substantially different bore standard. For bigger engines, emission
engines, we are also proposing to allow diameters will have combustion and credits are calculated based on total
this for engines certified to the Phase 3 operating characteristics that must be power output. As a result, we are
emission standards for Small SI engines. taken into account with unique proposing to specify that manufacturers
Manufacturers would need to engineering. Similarly, adding a determine their engines’ maximum
demonstrate that fewer than five percent turbocharger or supercharger to an engine power as the point of maximum
of the total sales of the engine model are engine changes the engine’s combustion engine power on the engine map the
for marine applications. There are also and emission control in important ways. manufacturers establish with their test
a few minor notification and labeling Finally, we are proposing that all the engines (see Section VII.C.6 and
§ 1045.140). This value would be based requirements, we request comment on introduction of two-stroke direct
on the measured maximum engine any of these changes that may be injection engines and conversion to
power, without correction to some inappropriate. We also request comment four-stroke engines. Current certification
standard ambient conditions. on any additional changes that may be data for these types of engines show that
The proposed requirements related to helpful in making the regulations clear these technologies may be used to
the application for certification would or addressing the administration or achieve emission levels significantly
involve some new information, most of implementation of the regulatory below the existing exhaust emission
which is described above, such as requirements. standards. In fact, California has
installation instructions and a adopted standards requiring a 65
description of how engines comply with G. Small-Business Provisions percent reduction beyond the current
not-to-exceed standards (see The OB/PWC market has traditionally federal standards beginning in 2008.
§ 1045.205). In addition, we are been made up of large businesses. In Our own analysis of recent
proposing to require that manufacturers addition, we anticipate that the OB/ certification data show that most four-
submit projected sales volumes for each PWC standards will be met through the stroke outboard engines and many two-
family, rather than requiring that expanded use of existing cleaner engine stroke direct injection outboard engines
manufacturers keep these records and technologies. Small businesses can meet the proposed HC+NOX
make them available upon request. certifying to standards today are already standard. Similarly, although PWC
Manufacturers already do this routinely using technologies that could be used to engines tend to have higher HC+NOX
and it is helpful to have ready access to meet the proposed standards. As a emissions, presumably due to their
this information to maintain compliance result, we are proposing only three higher power densities, many of these
oversight of the program for Marine SI small business regulatory relief engines can also meet the proposed
engines for such things as emission provisions for small business HC+NOX standard. Although there is
credit calculations. We are also manufacturers of OB/PWC engines. We currently no CO standard for OB/PWC
proposing that each manufacturer are proposing to allow small business engines, OB/PWC manufacturers are
identify an agent for service in the OB/PWC engine manufacturers to be required to report CO emissions from
United States. For companies based exempt from PLT testing and to use their engines (see § 91.107(d)(9)). These
outside the United States, this ensures assigned deterioration factors for emissions are based on test data from
that we will be able to maintain contact certification. (EPA will provide new engines and do not consider
regarding any official communication guidance to engine manufacturers on deterioration or compliance margins.
that may be required. We have adopted the assigned deterioration factors prior Based on this data, all of the two-stroke
these same requirements for other to implementation of the new OB/PWC direct injection engines show emissions
nonroad programs. standards.) We are also proposing to well below the proposed standards. In
We are proposing to require that extend the economic hardship relief for addition, the majority of four-stroke
manufacturers use good engineering small businesses described in Section engines would meet the proposed CO
judgment in all aspects of their effort to VIII.C.9 to small-business OB/PWC standards as well.
comply with regulatory requirements. engine manufacturers (see § 1068.250). We therefore believe the proposed
The regulations at § 1068.5 describe We are proposing small business HC+NOX and CO emission standards
how we would apply this provision and eligibility criteria for OB/PWC engine can be achieved by phasing out
what we would require of manufacturers based on a production conventional carbureted two-stroke
manufacturers where we disagree with a cut-off of 5,000 OB/PWC engines per engines and replacing them with four-
manufacturer’s judgment. year. We would also allow OB/PWC stroke engines or two-stroke direct
We are also proposing new defect- injection engines. This has been the
engine manufacturers that exceed the
reporting requirements. These are market-driven trend over the last five
production cut-off level noted above but
requirements are described in Section years. Chapter 4 of the Draft RIA
have fewer than 1,000 employees to
VIII. presents charts that compare
It is common practice for Marine SI request treatment as a small business.
In addition to the flexibilities noted certification data to the proposed
engines for one company to produce the standards.
above, all OB/PWC engine
base engine for a second company to
manufacturers, regardless of size, would (2) Implementation Dates
modify for the final application. Since
be able to apply for the unusual We are proposing to implement the
our regulations prohibit the sale of
circumstances hardship described in new emission standards beginning with
uncertified engines, we are proposing
Section VIII.C.8 (see § 1068.245). the 2009 model year. This gives an
provisions to clarify the status of these
Finally, all OB/PWC vessel additional year beyond the
engines and defining a path by which
manufacturers, regardless of size, that implementation date of the California
these engines can be handled without
rely on other companies to provide standards of similar stringency. This
violating the regulations. See Section XI
certified engines or fuel system additional year may be necessary for
for more information.
We request comment on all these components for their product would be manufacturers that don’t sell engine
changes to the regulations. Where there able to apply for the hardship models in California or that sell less
is an objection to any of the proposed provisions described in Section than their full product lineup into the
provisions, we request comment on VIII.C.10 (see § 1068.255). California market. We believe the same
alternative provisions that would best H. Technological Feasibility technology used to meet the 2008
address the concern on which the standards in California could be used
proposed provisions are based. Also, (1) Level of Standards nationwide with the additional year
aside from the items described in this Over the past several years, allowed for any engine models not sold
section, there are many minor manufacturers have demonstrated their in California. Low-emission engines
adjustments in the regulatory text. ability to achieve significant HC+NOX sold in California are generally sold
While most of these changes are emission reductions from outboard and nationwide as part of manufacturer
intended to improve the clarity of the personal watercraft engines. This has compliance strategies for the Federal
regulations without imposing new largely been accomplished through the 2006 standards. Manufacturers have
indicated that they are calibrating their exhaust valve is closed. This prevents for engines below 40 kW. This second
four-stroke and direct-injection two- scavenging losses. Manufacturers tier of standards could apply in the 2012
stroke engines to meet the California currently offer four-stroke marine or later time frame. Such a standard
requirements. To meet the proposed engines with maximum engine power would be consistent with currently
standards, manufacturers’ efforts would ranging from 1.5 to 224 kW. These certified emission levels from a
primarily center on phasing out their engines are available with carburetion, significant number of four-stroke
higher-emission carbureted two-stroke throttle-body fuel injection, or multi- outboard engines. We have three
engines and producing more of their point fuel injection. Based on the concerns with adopting this second tier
lower emission engines. certification data, whether the engine is of OB/PWC standards. First, while some
carbureted or fuel-injected does not four-stroke engines may be able to meet
(3) Technological Approaches
have a significant effect on combined a 10 g/kW-hr standard with improved
Conventional two-stroke engines add HC+NOX emissions. For PWC engines, calibrations, it is not clear that all
a fuel-oil mixture to the intake air with the HC+NOX levels are somewhat engines could meet this standard
a carburetor, and use the crankcase to higher, primarily due to their higher without applying catalyst technology.
force this mixed charge air into the power-to-weight ratio. CO emissions As described in Section IV.H.3, we
combustion chamber. In the two-stroke from PWC engines are similar to those believe it is not appropriate to base
design, the exhaust gases must be for four-stroke outboard engines. standards in this rule on the use of
purged from the cylinder while the fresh One manufacturer has certified two catalysts for OB/PWC engines. Second,
charge enters the cylinder. With PWC engine models with oxidation certification data for personal watercraft
traditional two-stroke designs, the fresh catalysts. One engine model uses the engines show somewhat higher exhaust
charge, with unburned fuel and oil, oxidation catalyst in conjunction with a emission levels, so setting the standard
would push the exhaust gases out of the carburetor while the other uses throttle- at 10 g/kW-hr would likely require
combustion chamber as the combustion body fuel injection. In this application, catalysts for many models. Third, it is
event concludes. As a result, 25 percent the exhaust system is shaped in such a not clear that two-stroke engines would
or more of the fresh fuel-oil could pass way to protect the catalyst from water. be able to meet the more stringent
through the engine unburned. This is The exhaust system is relatively large standard, even with direct injection and
known as scavenging losses. compared to the size of the engine. We catalysts. These engines operate with
Manufacturers have phased out sales of are not aware of any efforts to develop lean air-fuel ratios, so reducing NOX
the majority of their traditional two- a three-way catalyst system for PWC emissions with any kind of
stroke engines to meet the federal 2006 engines. We are also not aware of any aftertreatment is especially challenging.
OB/PWC exhaust emission standards. development efforts to package a Therefore, unlike the proposed
However, many of these engines still catalyst into the exhaust system of an standards for sterndrive and inboard
remain in the product mix as a result of outboard marine engine. In current engines, we are not adopting OB/PWC
emission credits. designs, water and exhaust are mixed in standards that will require the use of
One approach to minimizing the exhaust system to help cool the catalysts. Catalyst technology would be
scavenging losses in a two-stroke engine exhaust and tune the engine. Water can necessary for significant additional
is through the use of direct fuel work its way up through the exhaust control of HC+NOX and CO emissions.
injection into the combustion chamber. system because the lower end is under While there is good potential for
The primary advantage of direct water and varying pressures in the eventual application of catalyst
injection for a two-stroke is that the exhaust stream can draw water against technology to outboard and personal
exhaust gases can be scavenged with the prevailing gas flow. As discussed in watercraft engines, we believe the
fresh air and fuel can be injected into Chapter 4 of the Draft RIA, saltwater can technology is not adequately
the combustion chamber after the be detrimental to catalyst performance demonstrated at this point. Much
exhaust port closes. As a result, and durability. In addition, outboard laboratory and in-water work is needed.
hydrocarbon emissions, fuel economy, engines are designed with lower units
and oil consumption are greatly (5) Our Conclusions
that are designed to be as thin as
improved. Some users prefer two-stroke possible to improve the ability to turn We believe the proposed emission
direct injection engines over four-stroke the engine on the back of the boat and standards can be achieved by phasing
engines due to the higher power-to- to reduce drag on the lowest part of the out conventional carbureted two-stroke
weight ratio. Most of the two-stroke unit. This raises concerns about the engines in favor of four-stroke engines
direct injection engines currently placement and packaging of catalysts in or two-stroke direct injection engines.
certified to the current OB/PWC the exhaust stream. Certainly, the The four-stroke engines or two-stroke
emission standards have HC+NOX success of packaging catalysts in direct injection engines are already
emissions levels somewhat higher than sterndrive and inboard boats in recent widely available from marine engine
certified four-stroke engines. However, development efforts (see Section III) manufacturers. One or both of these
these engines also typically have lower suggests that catalysts may be feasible technologies are currently in place for
CO emissions due to the nature of a for outboards with additional effort. the whole range of outboard and
heterogeneous charge. By injecting the However, this has not yet been personal watercraft engines.
fuel directly into a charge of air in the demonstrated and significant The proposed exhaust emission
combustion chamber, localized areas of development efforts would be standards represent the greatest degree
lean air/fuel mixtures are created where necessary. We request comment on the of emission control achievable in the
CO is efficiently oxidized. feasibility of using catalysts on OB and contemplated time frame. While
OB/PWC manufacturers are also PWC engines. manufacturers can meet the proposed
achieving lower emissions through the standards with their full product line in
use of four-stroke engine designs. (4) Regulatory Alternatives 2009, requiring full compliance with a
Because the combustion cycle takes We considered a level of 10 g/kW-hr nationwide program earlier, such as in
place over two revolutions of the HC+NOX for OB/PWC engines above 40 the same year that California introduces
crankshaft, the fresh fuel-air charge can kW with an equivalent percent new emission standards, would pose an
enter the combustion chamber after the reduction below the proposed standards unreasonable requirement. Allowing
one year beyond California’s These standards target emission below 19 kW is not subject to standards
requirements is necessary to allow reductions of approximately 35 percent under part 1051, its engine would need
manufacturers to certify their full below EPA’s Phase 2 standards and are to meet the Small SI standards. We also
product line to the new standards, not based on the expectation that do not consider vehicles such as go
only those products they will make manufacturers will use relatively low- karts or golf carts to be recreational
available in California. Also, as efficiency three-way catalysts to control vehicles because they are not intended
described above, we believe the catalyst HC+NOX emissions. California ARB did for high-speed operation over rough
technology that would be required to not change the applicable CO emission terrain; these engines are also subject to
meet emission standards substantially standard.80 Small SI standards. The Small SI
more stringent than we are proposing We are proposing to place these new standards do not apply to engines used
has not been adequately demonstrated regulations for Small SI engines in 40 in scooters or other vehicles that qualify
for outboard or personal watercraft CFR part 1054 rather than changing the as motor vehicles.
engines. As such, we believe the current regulations in 40 CFR part 90. Consistent with the current regulation
proposed standards for HC+NOX and This gives us the opportunity for under 40 CFR part 90, Small SI
CO emissions are the most stringent proposing updates to the details of our standards apply to spark-ignition
possible in this rulemaking. More time certification and compliance program engines used as generators or for other
to gain experience with catalysts on that are consistent with the comparable auxiliary power on marine vessels, but
sterndrive and inboard engines and a provisions that apply to other engine not to marine propulsion engines. As
substantial engineering effort to apply categories and describe regulatory described below, we are proposing more
that learning to outboard and personal requirements in plain language. Most of stringent exhaust emission standards
watercraft engines may allow us to the change in regulatory text provides that would apply uniquely to marine
pursue more stringent standards in a improved clarity without changing generator engines.
future rulemaking. procedures or compliance obligations. Engines with rated power above 19
As discussed in Section X, we do not Where there is a change that warrants kW are subject to emission standards
believe the proposed standards would further attention, we describe the need under 40 CFR part 1048. However, we
have negative effects on energy, noise, for the change below. adopted a special provision under part
or safety and may lead to some positive 1048 allowing engines with total
B. Engines Covered by This Rule displacement at or below 1000 cc and
effects.
This action includes proposed with rated power at or below 30 kW to
V. Small SI Engines exhaust emission standards for new meet the applicable Small SI standards
A. Overview nonroad engines with rated power at or instead of the standards in part 1048.
below 19 kW that are sold in the United For any engines that are certified using
This section applies to new nonroad this provision, any emission standards
States. The exhaust standards are for
spark-ignition engines with rated power that we adopt for Class II engines and
nonhandheld engines (Classes I and II).
at or below 19 kW (‘‘Small SI engines’’). equipment in this rulemaking will also
As described in Section I, handheld
These engines are most often used in apply at the same time. Since these
Small SI engines (Classes III, IV, and V)
lawn and garden applications, typically engines are not required to meet the
are also subject to standards, but we are
by individual consumers; they are many Small SI standards we have not
not proposing changes to the level of
times also used by commercial operators included them in the analyses
exhaust emission standards for these
and they provide power for a wide range associated with this proposal.
engines. As described in Section VI, we
of other home, industrial, farm, and
are also proposing standards for (2) Maximum Engine Power and Engine
construction applications. The engines
controlling evaporative emissions from Displacement
are typically air-cooled single-cylinder
Small SI engines, including both
models, though Class II engines (with Under the current regulations, rated
handheld and nonhandheld engines.
displacement over 225 cc) may have two power and power rating are not defined
Certain of the provisions discussed in
or three cylinders, and premium models terms, which leaves manufacturers to
this Section V apply to both handheld
with higher power may be water-cooled. determine their values. We are
and nonhandheld engines, as noted.
We have already adopted two phases proposing to establish an objective
Reference to both handheld and
of exhaust standards for Small SI approach to establishing ‘‘maximum
nonhandheld engines also includes
engines. The first phase of standards for engine power’’ under the regulations
marine auxiliary engines subject to the
nonhandheld engines generally led (see Section VII.C.6 and § 1054.140).
Small SI standards for that size engine.
manufacturers to convert any two-stroke This value has regulatory significance
engines to four-stroke engines. These (1) Engines Covered by Other Programs for Small SI engines only to establish
standards applied only to engines at the The Small SI standards do not apply whether or not engines are instead
time of sale. The second phase of to recreational vehicles covered by EPA subject to Large SI standards.
standards for nonhandheld engines emission standards in 40 CFR part 1051. Determining maximum engine power is
generally led manufacturers to apply The regulations in part 1051 apply to therefore relevant only for those engines
emission control technologies such as off-highway motorcycles, snowmobiles, that are approaching the line separating
in-cylinder controls and improved all-terrain vehicles, and high-speed these two engine categories. We are
carburetion, with the additional offroad utility vehicles. However, if an proposing to require that manufacturers
requirement that manufacturers needed amphibious vehicle with an engine at or determine and report maximum engine
to meet emission standards over a useful power if their emission-data engine has
life period. a maximum modal power at or above 15
80 California ARB also adopted new fuel

As described in Section I, this evaporative emission standards for equipment using kW.
proposal is the result of a Congressional handheld and nonhandheld engines. These Similarly, the regulations depend on
mandate that springs from the new included tank permeation standards for both types engine displacement to differentiate
of equipment and hose permeation, running loss,
California ARB standards. In 2003, the and diurnal emission standards for nonhandheld
engines for the applicability of different
California ARB adopted more stringent equipment. See Section VI for additional standards. The regulations currently
standards for nonhandheld engines. information related to evaporative emissions. provide no objective direction or
restriction regarding the determinations products. In the case of Small SI exemption. We are proposing to keep
of engine displacement. We are engines, we do not believe there are this exemption but add several
proposing to define displacement as the engine design features that allow us to provisions to allow us to better monitor
intended swept volume of the engine to differentiate between engines that are how it is used (see § 1054.625). We are
the nearest cubic centimeter, where the used solely for competition from those proposing to keep the requirement that
engine’s swept volume is the product of with racing-type features that are not equipment manufacturers use certified
the internal cross-section area of the used solely for competition. We are engines if they are available. We are
cylinders, the stroke length, and the proposing that handheld and proposing to update this provision by
number of cylinders. As described nonhandheld equipment with engines adding a requirement that equipment
Section VII.C.6 for maximum engine meeting all the following criteria would manufacturers use an engine that has
power, we are proposing that the be considered to be used solely for been certified to less stringent Phase 1
intended swept volume must be within competition, except in other cases or Phase 2 standards if such an engine
the range of the actual swept volumes of where information is available is available. We are proposing to
production engines considering normal indicating that engines are not used explicitly allow engine manufacturers to
production variability. If production solely for competition: produce engines for this exemption
engines are found to have different • The engine (or equipment in which (with permanent labels identifying the
swept volumes, this should be noted in the engine is installed) may not be particular exemption), but only if they
a change to the application for displayed for sale in any public have a written request for each
certification. dealership; equipment model from the equipment
• Sale of the equipment in which the manufacturer. We are further proposing
(3) Exempted or Excluded Engines engine is installed must be limited to that the equipment manufacturer notify
Under the Clean Air Act, engines that professional competitors or other EPA of the intent to produce emergency
are used in stationary applications are qualified competitors; equipment with exempted engines.
not nonroad engines. States are • The engine must have performance Also, to clarify the scope of this
generally preempted from setting characteristics that are substantially provision, we are proposing to define
emission standards for nonroad engines superior to noncompetitive models;
‘‘emergency rescue situations’’ as
but this preemption does not apply to • The engines must be intended for
firefighting or other situations in which
stationary engines. EPA recently use only in competition events
sanctioned (with applicable permits) by a person is retrieved from imminent
adopted emission standards for danger. Finally, we are proposing to
stationary compression-ignition engines a state or federal government agency or
other widely recognized public clarify that EPA may discontinue the
sold or used in the United States (71 FR
organization, with operation limited to exemption on a case-by-case basis if we
39154, July 11, 2006). In addition, EPA
competition events, performance-record find that engines are not used solely for
has proposed emission standards for
attempts, and official time trials. emergency and rescue equipment or if
stationary spark-ignition engines in a
Engine manufacturers would make we find that a certified engine is
separate action (71 FR 33804, June 12,
their request for each new model year available to power the equipment safely
2006). In pursuing emission standards
and we would deny a request for future and practically. We propose to apply the
for stationary engines, we have
production if there are indications that provisions of this section for new
attempted to maintain consistency
some engines covered by previous equipment built on or after January 1,
between stationary and nonroad
requirements as much as possible. As requests are not being used solely for 2009.
explained in the proposal for stationary competition. Competition engines are The current regulations also specify
spark-ignition engines, since stationary produced and sold in very small an exemption allowing individuals to
spark-ignition engines below 19 kW are quantities so manufacturers should be import up to three nonconforming
almost all sold into residential able to identify which engines qualify handheld or nonhandheld engines one
applications, we believe it is not for this exemption. We request comment time. We are proposing to keep this
appropriate to include requirements for on this approach to qualifying for a exemption with three adjustments (see
owners or operators that would competition exemption. (See § 1054.630). First, we are proposing to
normally be part of a program for § 1054.620.) allow this exemption only for used
implementing standards for stationary In the rulemaking for recreational equipment. Allowing importation of
engines. As a result, in that proposal we vehicles, we chose not to apply new equipment under this exemption is
indicated that it is most appropriate to standards to hobby products by not consistent with the intent of the
set exhaust and evaporative emission exempting all reduced-scale models of provision, which is to allow people to
standards for stationary spark-ignition vehicles that were not capable of move to the United States from another
engines below 19 kW as if they were transporting a person (67 FR 68242, country and continue to use lawn and
nonroad engines. This would allow November 8, 2002). We are proposing to garden equipment that may already be
manufacturers to make a single product extend that same provision to handheld in the person’s possession. Second, we
that meets all applicable EPA standards and nonhandheld Small SI engines. (See are proposing to allow such an
for both stationary and nonroad § 1054.5.) importation once every five years but
applications. In the rulemaking to establish Phase require a statement that the person
The Clean Air Act provides for 2 emission standards, we adopted an importing the exempted equipment has
different treatment of engines used exemption for handheld and not used this provision in the preceding
solely for competition. Rather than nonhandheld engines used in rescue five years. The current regulations allow
relying on engine design features that equipment. The regulation does not only one importation in a person’s
serve as inherent indicators of dedicated require any request, approval, or lifetime without including any way of
competitive use, we have taken the recordkeeping related to the exemption making that enforceable. We believe the
approach in other programs of more but we discovered while conducting the proposed combination of provisions
carefully differentiating competition SBAR Panel described in Section VI.F represents an appropriate balance
and noncompetition models in ways that some companies are producing between preserving the enforceability of
that reflect the nature of the particular noncompliant engines under this the exemption within the normal flow
of personal property for people coming 2012 model year, and 8.0 g/kW-hr for emission standards might
into the country. Third, we are Class II engines starting in the 2011 inappropriately cause an engine to no
proposing to no longer require model year (see § 1054.105). For both longer qualify as a handheld engine (64
submission of the taxpayer classes of nonhandheld engines we are FR 5252, February 3, 1999). The
identification number since this is not proposing to maintain the existing CO regulation accordingly specifies that the
essential for ensuring compliance. standard of 610 g/kW-hr. weight limit is 20 kilograms for one-
We are proposing to eliminate the person augers and 14 kilograms for
C. Proposed Requirements defined subclasses for the smallest sizes other types of equipment, based on the
A key element of the proposed new of nonhandheld engines starting with weight of the engine that was in place
requirements for Small SI engines is the implementation of the Phase 3 before applying emission control
more stringent exhaust emission standards. Under the current regulations technologies. We believe it is
standards for nonhandheld engines. We in part 90, Class I–A is designated for impractical to base a weight limit on
are also proposing several changes to engines with displacement below 66 cc product specifications that have become
the certification program that would that may be used in nonhandheld difficult to establish. We are therefore
apply to both handheld and applications. To address the proposing to increase each of the
nonhandheld engines. For example, we technological constraints of these specified weight limits by 1 kilogram,
are proposing to clarify the process for engines, all the current requirements for representing the approximate additional
selecting an engine family’s useful life, these engines are the same as for weight related to switching to a four-
which defines the length of time over handheld engines. Class I–B is similarly stroke engine, and applying the new
which manufacturers’ are responsible designated for engines with weight limit to all engines and
for meeting emission standards. We are displacement between 66 and 100 cc equipment (see § 1054.801). We request
also proposing several provisions to that may be used in nonhandheld comment on this adjustment to the
update the program for allowing applications. These engines are handheld engine definition.
manufacturers to use emission credits to currently subject to a mix of provisions The regulations in part 90 allow
show that they meet emission standards. that result in an overall stringency that manufacturers to rely on altitude kits to
The following sections describe the lies between handheld and comply with emission requirements at
elements of this proposed rule. nonhandheld engines. We are proposing high altitude. We are proposing to
The timing for implementation of the to revise the regulations such that continue with this approach but to
new exhaust emission standards is engines below 80 cc are subject to the clarify that all nonhandheld engines
described below. Unless we specify Phase 3 handheld engine standards in must comply with Phase 3 standards
otherwise, all the additional proposed part 1054 starting in the 2010 model without altitude kits at barometric
regulatory changes would apply when year. We are also proposing to allow pressures above 94.0 kPa, which
engines are subject to the emission engines below 80 cc to be used without corresponds to altitudes up to about
standards and the other provisions restriction in nonhandheld equipment. 2,000 feet above sea level (see
under 40 CFR part 1054. This would be Identifying the threshold at 80 cc aligns § 1054.115). This would ensure that all
model year 2012 for Class I engines and with the California ARB program. For areas east of the Rocky Mountains and
model year 2011 for Class II engines. For nonhandheld engines at or above 80 cc, most of the populated areas in Pacific
handheld engines, we propose to we are proposing to treat them in every Coast states would have compliant
require compliance with the provisions way as Class I engines. Based on the fact engines without depending on engine
of part 1054, including the certification that it is more difficult for smaller modifications. This becomes
provisions, starting in the 2010 model displacement engines to achieve the increasingly important as we anticipate
year. These proposed requirements same g/kW-hr emission level as larger manufacturers relying on technologies
apply to handheld engines unless stated displacement engines, it will be more of that are sensitive to controlling air-fuel
otherwise. For convenience we refer to a challenge for manufacturers to achieve ratio for reducing emissions. Engine
the handheld emission standards in part a 10.0 g/kW-hr HC+NOX level on these manufacturers must identify the altitude
1054 as Phase 3 standards even though smallest Class I engines. However, for ranges for proper engine performance
the numerical values remain those engines unable to achieve the and emission control that are expected
unchanged. level of the proposed standards (either with and without the altitude kit in the
(1) Emission Standards with or without a catalyst), owners manual. The owners manual
manufacturers may elect to rely on must also state that operating the engine
Extensive testing and dialogue with emissions averaging to comply with with the wrong engine configuration at
manufacturers and other interested emission standards. We believe all a given altitude may increase its
parties has led us to a much better manufacturers producing engines emissions and decrease fuel efficiency
understanding of the capabilities and formerly included in Class I–B also have and performance. See Section V.E.5 for
limitations of applying emission control a wide enough range of engine models further discussion related to the
technologies to Small SI nonhandheld that they should be able to generate deployment of altitude kits where the
engines. As described in the Draft RIA, sufficient credits to meet standards manufacturers rely on them for
we have collected a wealth of across the full product line. (See operation at higher altitudes.
information related to the feasibility, § 1054.101 and § 1054.801.) We are proposing a slightly different
performance characteristics, and safety We are proposing another slight approach for handheld engines with
implications of applying catalyst change to the definition of handheld respect to altitude. Since we are not
technology to these engines. We have engines that may affect whether an adopting more stringent exhaust
concluded within the context of Clean engine is subject to handheld or emission standards, we believe it is
Air Act section 213 that it is appropriate nonhandheld standards. The handheld appropriate to adopt provisions that are
to propose emission standards that are definition relies on a weight threshold consistent with current practice at this
consistent with those adopted by for certain engines. As recently as 1999, time. We are therefore proposing to
California ARB. We are proposing we affirmed that the regulation should require handheld engines to comply
HC+NOX emission standards of 10.0 g/ allow for the fact that switching to a with the current standards without
kW-hr for Class I engines starting in the heavier four-stroke engine to meet altitude kits at barometric pressures
above 96.0 kPa, which would allow for emission control information label to sufficient to necessitate overhaul or
testing in most weather conditions at all prevent someone from inappropriately replacement; and (3) failure reports from
altitudes up to about 1,100 feet above installing these engines (either new or engine customers. These regulatory
sea level. used) in equipment that would not provisions identify the median time to
Spark-ignition engines used for qualify for the wintertime exemption. retirement for in-use equipment as the
marine auxiliary power are covered by All engines subject to standards must marker for defining the useful life
the same regulations as land-based continue to control crankcase emissions. period. This allows manufacturers to
engines of the same size. However, the consider that equipment models may
(2) Useful Life
marine versions of Small SI engines are fail before the engine has reached the
able to make use of ambient water for The Phase 2 standards for Small SI point of failure and that engines may be
enhanced cooling of the engine and engines included the concept that installed in different types of equipment
exhaust system. Exhaust systems for manufacturers are responsible for with varying usage patterns. Engines
these engines are water-jacketed to meeting emission standards over a used in different types of equipment, or
maintain low surface temperatures to useful life period. The useful life even engines used in the same
minimize the risk of fires on boats defines the design target for ensuring equipment models used by different
where the generator is often installed in the durability of emission controls operators, may experience widely
small compartments within the boat. under normal in-use operation for varying usage rates. The manufacturer is
Recently, auxiliary marine engine properly maintained engines. Given the expected to make judgments that take
manufacturers have developed very wide range of engine applications, this variability into account when
advanced technology in an effort to from very low-cost consumer products estimating the median life of in-use
improve fuel consumption and CO to commercial models designed for engines and equipment.
emission rates for marine generators. continuous operation, we determined Several manufacturers have made a
This advanced technology includes the that a single useful life value for all good faith effort to select appropriate
use of electronic fuel injection and products, which is typical for other useful life values for their engine
three-way catalysts. As a result, engine programs, was not appropriate families, either by selecting only the
manufacturers are offering new products for Small SI engines. We proposed at highest value, or by selecting higher
with more than a 99 percent reduction that time to determine the useful life for values for families that appear more
in CO and have expressed their intent an engine family based on specific likely to be used in commercial
to offer only these advanced technology criteria, but commenters suggested that applications. At the same time, we have
engines in the near future. They have such a requirement was overly rigid and observed several instances in which
stated that these low CO engines are due unnecessary. The final rule instead engine models are installed in
to market demand. We are proposing a specified three alternative useful life commercial equipment and marketed as
CO standard of 5.0 g/kW-hr CO for values, giving manufacturers the long-life products but are certified to the
marine generator engines to reflect the responsibility to select the useful life minimum allowable useful life period.
recent trend in marine generator engine that was most appropriate for their As described in the Phase 2 final rule,
design (see § 1054.105). For other engines and the corresponding types of we are considering modifications to the
auxiliary marine engines, we are equipment. The preamble to the final regulations to address this recurring
proposing the same CO emission limits rule expressed a remaining concern that problem.
as for land-based engines. We believe manufacturers might not select the most After assessing several ideas, we are
this cap is necessary to prevent appropriate useful life value, both for proposing an approach that preserves
backsliding in CO emissions that could ensuring effective in-use emission the fundamental elements of the current
occur if new manufacturers were to control and for maintaining the integrity provisions related to useful life but
attempt to enter the market with of emission-credit calculations. The clarifies and enhances its
cheaper, high-CO designs. See Section II preamble also stated our intent to implementation (see § 1054.107).
for a discussion of air quality concerns periodically review the manufacturers’ Manufacturers will continue to select
related to CO emissions. We request decisions to determine whether the most appropriate useful life from the
comment on the appropriateness of modifications to these rules are same nominal values to best match the
setting a separate standard for marine appropriate. expected in-use lifetime of the
auxiliary engines and on the most The regulations in § 90.105 provide a equipment into which the engines in the
appropriate level of such a standard. benchmark for determining the engine family will be installed.
At this time, we are planning to appropriate useful life value for an Manufacturers must continue to
continue the current regulatory engine family. The regulations direct document the information supporting
approach for wintertime engines (e.g., manufacturers to select the useful life their selected useful life. We are
engines used exclusively to power value that ‘‘most closely approximates considering three approaches to address
equipment such as snowthrowers and the expected useful lives of the remaining concerns with the process of
ice augers). Under this proposal, the equipment into which the engines are selecting useful life values.
HC+NOX exhaust emission standards anticipated to be installed.’’ To maintain First, for manufacturers not selecting
would be optional for wintertime a measure of accountability, we the highest available nominal value for
engines. However, if a manufacturer included a requirement that useful life, we would expect to routinely
chooses to certify its wintertime engines manufacturers document the basis for review the information to confirm that
to such standards, those engines would their selected useful life values. The it complies with the regulation. Where
be subject to all the requirements as if suggested data included, among other our review indicates that the selected
the optional standards were mandatory. things: (1) Surveys of the life spans of useful life may not be appropriate for an
We are adding a definition of the equipment in which the subject engine family, we may request further
wintertime engines to clarify which engines are installed; (2) engineering justification. If we determine from
engines qualify for these special evaluations of field-aged engines to available information that a longer
provisions. We are also proposing to ascertain when engine performance useful life is appropriate, the
require that manufacturers identify deteriorates to the point where utility manufacturer must either provide
these as wintertime engines on the and/or reliability is impacted to a degree additional justification or select a longer
useful life for that engine family. We Purpose), and Commercial. Any useful into ‘‘engine families’’ that are
would encourage manufacturers to use life values beyond the three nominal comprised of engines expected to have
the proposed provisions related to values would appropriately be similar emission characteristics
preliminary approval in § 1054.210 if identified as Heavy Commercial. throughout their useful life. Averaging
there is any uncertainty related to the Handheld engine manufacturers have allows a manufacturer to certify one or
useful life selection. We would rather suggested using the terms Light Use, more engine families at levels above the
work to establish this together early in Medium Use, and Heavy Use to applicable emission standard, but below
the certification process rather than characterize the three useful life a set upper limit. This level then
reviewing a completed application for categories applicable to handheld becomes the applicable standard for all
certification to evaluate whether the engines. of the engines in that engine family, for
completed durability demonstration is In all of our other engine programs, purposes of certification, in-use testing,
sufficient. useful life is defined in terms of years and the like. However, the increased
Second, we believe it is appropriate to of use or extent of engine operation, emissions must be offset by one or more
modify the regulations to allow whichever comes first. Under the engine families within that
nonhandheld engine manufacturers to current regulations, manufacturers are manufacturer’s product line that are
select a useful life value that is longer responsible for meeting emission certified below the same emission
than the three specified nominal values. standards for any in-use engine that is standard, such that the average standard
Manufacturers may choose to do this for properly maintained and used over the from all the manufacturer’s engine
the marketing advantage of selling a full useful life period. Since the useful families, weighted by engine power,
long-life product or they may want to life is defined in operating hours regulatory useful life, and production
generate emission credits that without regard to calendar years, some volume, is at or below the level of the
correspond to an expected lifetime that engines that accumulate operating hours emission standard. Banking means the
is substantially longer than we would very slowly could remain within the retention of emission credits by the
otherwise allow. We are proposing to useful life period for ten years or more. engine manufacturer for use in future
allow manufacturers to select longer We request comment regarding the model year averaging or trading.
useful life values in 100-hour appropriateness of revising the useful Trading means the exchange of emission
increments. Durability testing for life to limit the useful life period to five credits between engine manufacturers
certification would need to correspond years or the specified number of which can then be used for averaging
to the selected useful life period. We operating hours, whichever comes first. purposes, banked for future use, or
have considered the possibility that a Adding a five-year limit on the useful traded to another engine manufacturer.
manufacturer might overstate an engine life would not change the certification Because we are not proposing any
family’s useful life to generate emission process. change in the general equation under
credits while knowing that engines may which emission credits are calculated,
(3) Averaging, Banking, and Trading
not operate that long. We believe the EPA is proposing to allow
inherent testing burden and compliance EPA has included averaging, banking, manufacturers to use Phase 2 credits
liability is enough to avoid such a and trading (ABT) programs in almost generated under the part 90 ABT
problem, but we are specifying all of its recent mobile source emissions program for engines that are certified in
maximum values corresponding with control programs. EPA’s existing Phase the Phase 3 program under part 1054,
the applicable useful life for comparable 2 regulations for Small SI engines within the limits described below. As
diesel engines or Large SI engines. We include an exhaust ABT program (40 with the existing exhaust ABT program
are not proposing to allow for longer CFR 90.201 through 90.211). We for Phase 2 engines in part 90, we are
useful life values for handheld engines. propose to adopt an ABT program for proposing that engines sold in
We are also proposing to require that the Phase 3 HC+NOX exhaust emission California which are subject to the
engines and equipment be labeled to standards that is similar to the existing California ARB standards would not be
identify the applicable useful life program (see part 1054, subpart H in the included in the proposed exhaust ABT
period. The current requirement allows proposed regulations). The proposed program because they are subject to
manufacturers to identify the useful life exhaust ABT program is intended to California’s requirements and not EPA’s
with code letters on the engine’s enhance the ability of engine requirements. Furthermore, even though
emission control information label, with manufacturers to meet the emission we are not proposing new exhaust
the numerical value of the useful life standards for the proposed model years. emission standards for handheld
spelled out in the owners manual. We The proposed exhaust ABT program is engines, the handheld engine
believe it is important for equipment also structured to avoid delay of the regulations are migrating to part 1054.
manufacturers and consumers to be able transition to the new exhaust emission Therefore, handheld engines will be
to find an unambiguous designation controls. As described in Section VI, we included in the proposed ABT program
showing the manufacturer’s are proposing a separate evaporative under part 1054 with one change in the
expectations about the useful life of the ABT program for fuel tanks used in overall program as described below.
engine. There has also been some Small SI equipment (and for fuel lines Under an ABT program, averaging is
interest in using descriptive terms to used in handheld equipment). We are allowed only between engine families in
identify the useful life on the label. We proposing that credits cannot be the same averaging set, as defined in the
believe any terminology would exchanged between the exhaust ABT regulations. For the exhaust ABT
communicate less effectively than the program and the evaporative ABT program, we are proposing to separate
numerical value of the useful life. program. handheld engines and nonhandheld
However, we request comment on The exhaust ABT program has three engines into two distinct averaging sets
allowing or requiring manufacturers to main components. Averaging means the starting with the 2011 model year.
also include descriptive terms. We exchange of emission credits between Under the proposed program, credits
believe it would be most appropriate to engine families within a given engine may generally be used interchangeably
characterize the three useful life values manufacturer’s product line for a between Class I and Class II engine
in increasing order as Residential, specific model year. Engine families, with a limited restriction on
Premium Residential (or General manufacturers divide their product line Phase 3 credits during model years 2011
and 2012 as noted below. Likewise, prohibit the use of Phase 2 nonhandheld 3 standards. First, we are proposing
credits will be able to be used engine credits after 2013 to demonstrate incentives for manufacturers to produce
interchangeably between all three compliance with the Phase 3 and sell engines certified at or below the
handheld engine classes (Classes III, IV, nonhandheld engine standards. For this Phase 3 standards before the standards
and V). Because the Phase 2 exhaust reason, we request comment on whether are scheduled to be implemented.
ABT program allowed exchange across we should allow only Phase 3 Second, we are proposing provisions to
all engine classes (i.e., allowing nonhandheld engine credits to be used allow the use of Phase 2 credits for a
exchanges between handheld engines under this handheld engine credit limited period of time under specific
and nonhandheld engines), provision after 2013 as well. conditions. The following discussions
manufacturers using credits beginning A second exception to the provision describes each of these provisions in
with the 2011 model year would need restricting credit exchanges between more detail for Class I engines and Class
to show that the credits were generated handheld engines and nonhandheld II engines separately.
within the allowed category of engines. engines arises because of our proposed For Class I, engine manufacturers
For many companies, especially those handling of engines below 80cc. Under could generate early Phase 3 credits by
in the handheld market, this will the proposed Phase 3 program, all producing engines with an FEL at or
potentially be straightforward since they engines below 80cc are considered below 10.0 g/kW-hr prior to 2012. These
are primarily in the handheld market. handheld engines for the purposes of early Phase 3 credits would be
For companies that have a commingled the emission standards. However, a few calculated and categorized into two
pool of emission credits generated by of these engines are used in distinct types of credits, Transitional
both handheld engines and nonhandheld applications. Therefore, Phase 3 credits and Enduring Phase 3
nonhandheld engines, this will take EPA will allow a manufacturer to credits. For engines certified with an
some more careful accounting. Because generate nonhandheld ABT credits from FEL at or below 10.0 g/kW-hr, the
manufacturers are aware of this already engines below 80cc for those engines a manufacturer would earn Transitional
at the time of this proposal, keeping manufacturer has determined are used Phase 3 credits. The Transitional Phase
records to distinguish handheld credits in nonhandheld applications. (The 3 credits would be calculated based on
and nonhandheld credits will be credits would be generated against the the difference between 10.0 g/kW-hr
relatively straightforward for 2006 and applicable handheld engine standard.) and 15.0 g/kW-hr. (The 15.0 g/kW-hr
later model years. These nonhandheld credits could be level is the production-weighted average
used within the Class I and Class II
We are proposing two exceptions to of Class I FEL values under the Phase 2
engine classes to demonstrate
the provision restricting credit program.) Manufacturers could use the
compliance with the Phase 3 exhaust
exchanges between handheld engines Transitional Phase 3 credits from Class
standards (subject to applicable
and nonhandheld engines. Currently, I engines in 2012 through 2014 model
restrictions). The credits generated by
some companies that are primarily years. For engines certified with an FEL
engines below 80cc used in handheld
nonhandheld engine manufacturers also below 10.0 g/kW-hr, manufacturers
applications could only be used for
sell a relatively limited number of would earn Enduring Phase 3 credits in
other handheld engines.
handheld engines. Under the Phase 2 Under an ABT program, a addition to the Transitional Phase 3
program, these engine manufacturers manufacturer establishes a ‘‘family credits described above. The Enduring
can use credits from nonhandheld emission limit’’ (FEL) for each Phase 3 credits would be calculated
engines to offset the higher emissions of participating engine family. This FEL based on the difference between the FEL
their handheld engines. Because we are may be above or below the standard. for the engine family and 10.0 g/kW-hr
not proposing new exhaust The FEL becomes the enforceable (i.e., the applicable Phase 3 standard).
requirements for handheld engines, we emissions limit for all the engines in The Enduring Phase 3 credits could be
are proposing to address this existing that family for purposes of compliance used once the Phase 3 standards are
practice by specifying that an engine testing. FELs that are established above implemented without the model year
manufacturer may use emission credits the standard may not exceed an upper restriction noted above for Transitional
from their nonhandheld engines for limit specified in the ABT regulations. Phase 3 credits.
their handheld engines under the For nonhandheld engines we are For Class I, engine manufacturers may
following conditions. A manufacturer proposing FEL caps to prevent the sale use Phase 2 credits generated by
may use credits from their nonhandheld of very high-emitting engines. Under the nonhandheld engines for the first two
engines for their handheld engines but proposed FEL cap, manufacturers would years of the Phase 3 standards (i.e.,
only where the handheld engine family need to establish FELs at or below the model years 2012 and 2013) under
is certified in 2008 and later model levels of the Phase 2 HC+NOX emission certain conditions. The manufacturer
years without any design changes from standards of 16.1 g/kW-hr for Class I must first use all of its available Phase
the 2007 model year and the FEL of the engines and 12.1 g/kW-hr for Class II 3 credits to demonstrate compliance
handheld engine family does not engines. (The Phase 3 FEL cap for Class with the Phase 3 standards. This would
increase above the level that applied in I engines with a displacement between include all early Phase 3 credits
the 2007 model year unless such an 80 cc and 100 cc would be 40.0 g/kW- (Transitional and Enduring) as well as
increase is based on emission data from hr since these engines would have been all other Phase 3 credits, subject to the
production engines. We believe this Class I–B engines under the Phase 2 cross-class credit restriction noted
allows for engine manufacturers to regulations and subject to this higher below which applies prior to model year
continue producing these handheld level.) For handheld engines, where we 2013. If these Phase 3 credits are
engines for use in existing handheld are not proposing new exhaust emission sufficient to demonstrate compliance,
models of low-volume equipment standards, we are maintaining the FEL the manufacturer may not use Phase 2
applications while preventing new high- caps as currently specified in the part 90 credits. If these Phase 3 credits are
emitting handheld engine families from ABT regulations. insufficient to demonstrate compliance,
entering the market through the use of For nonhandheld engines we are the manufacturer could use Phase 2
nonhandheld engine credits. As proposing two special provisions related credits to a limited degree (under the
discussed below, we are proposing to to the transition from Phase 2 to Phase conditions described below) to cover the
remaining amount of credits needed to below 8.0 g/kW-hr prior to 2011. These II engines, and production-weighted
demonstrate compliance. early Phase 3 credits would be useful life value for all Class II engines
The maximum number of Phase 2 calculated and categorized as produced in each of those years.
HC+NOX exhaust emission credits a Transitional Phase 3 credits and Manufacturers would not include their
manufacturer could use for their Class I Enduring Phase 3 credits. For engines wintertime engines in the calculations
engines would be calculated based on certified with an FEL at or below 8.0 g/ unless the engines are certified to meet
the characteristics of Class I engines kW-hr, the manufacturer would earn the otherwise applicable HC+NOX
produced during the 2007, 2008, and Transitional Phase 3 credits. The emission standard. The maximum
2009 model years. For each of those Transitional Phase 3 credits would be number of Phase 2 HC+NOX exhaust
years, the manufacturer would calculate calculated based on the difference emission credits a manufacturer could
a Phase 2 credit allowance using the between 8.0 g/kW-hr and 11.0 g/kW-hr. use for their Class II engines (calculated
ABT credit equation and inserting 1.6 g/ (The 11.0 g/kW-hr level is the in kilograms) would be the average of
kW-hr for the ‘‘Standard—FEL’’ term, production-weighted average of Class II the three values calculated for model
and basing the rest of the values on the FEL values under the Phase 2 program.) years 2007, 2008, and 2009. The
total production of Class I engines, the Manufacturers could use the calculation described above allows a
production-weighted power for all Class Transitional Phase 3 credits from Class manufacturer to use Phase 2 credits to
I engines, and production-weighted II engines in 2011 through 2013 model cover a cumulative shortfall over the
useful life value for all Class I engines years. For engines certified with an FEL first three years for their Class II engines
produced in each of those years. below 8.0 g/kW-hr, manufacturers of 2.1 g/kW-hr above the Phase 3
Manufacturers would not include their would earn Enduring Phase 3 credits in standard.
wintertime engines in the calculations addition to the Transitional Phase 3 The Phase 2 credit allowance for Class
unless the engines are certified to meet credits described above. The Enduring II engines could be used all in 2011, all
the otherwise applicable HC+NOX Phase 3 credits would be calculated in 2012, all in 2013, or partially in any
emission standard. The maximum based on the difference between the FEL or all three model year’s ABT
number of Phase 2 HC+NOX exhaust for the engine family and 8.0 g/kW-hr compliance calculations. Because ABT
emission credits a manufacturer could (i.e., the applicable Phase 3 standard). compliance calculations must be done
use for their Class I engines (calculated The Enduring Phase 3 credits could be annually, the manufacturer will know
in kilograms) would be the average of used once the Phase 3 standards are its remaining allowance based on its
the three values calculated for model implemented without the model year previous calculations. For example, if a
years 2007, 2008, and 2009. The restriction noted above for Transitional manufacturer uses all of its Phase 2
calculation described above allows a Phase 3 credits. credit allowance in 2011, it will have no
manufacturer to use Phase 2 credits to For Class II, engine manufacturers Phase 2 credits for 2012 or 2013.
cover a cumulative shortfall over the may use Phase 2 credits generated by However, if a manufacturer uses less
first two years for their Class I engines nonhandheld engines for the first three than its calculated total credits based on
of 1.6 g/kW-hr above the Phase 3 years of the Phase 3 standards (i.e., the 2.1 g/kW-hr limit in 2011, it will
standard. model years 2011, 2012 and 2013) under have the remainder of its allowance
The Phase 2 credit allowance for Class certain conditions. The manufacturer available for use in 2012 and 2013. This
I engines could be used all in 2012, all must first use all of its available Phase provision allows for some use of Phase
in 2013, or partially in either or both 3 credits to demonstrate compliance 2 emission credits to address the
model year’s ABT compliance with the Phase 3 standards. This would possibility of unanticipated challenges
calculations. Because ABT compliance include all early Phase 3 credits in reaching the Phase 3 emission levels
calculations must be done annually, the (Transitional and Enduring) as well as in some cases or selling Phase 3 engines
manufacturer will know its 2013 all other Phase 3 credits, subject to the nationwide, without creating a situation
remaining allowance based on its 2012 cross-class credit restriction noted that would allow manufacturers to
calculation. For example, if a below which applies prior to model year substantially delay the introduction of
manufacturer uses all of its Phase 2 2013. If these credits are sufficient to Phase 3 emission controls.
credit allowance in 2012, it will have no demonstrate compliance, the Engine manufacturers have raised
use of Phase 2 credits for 2013. manufacturer may not use Phase 2 concerns that despite all of their
Conversely, if a manufacturer doesn’t credits. If these Phase 3 credits are planning, they may not be able to
use any Phase 2 credits in 2012, it will insufficient to demonstrate compliance, accurately predict their use of credits at
have all of its Phase 2 credit allowance the manufacturer could use Phase 2 the beginning of the year. They are
available for use in 2013. And of course, credits to a limited degree (under the concerned that they may end up in a
if a manufacturer uses less than its conditions described below) to cover the credit deficit situation if sales do not
calculated total credits based on the 1.6 remaining amount of credits needed to materialize as projected, potentially
g/kW-hr limit in 2012, the remainder demonstrate compliance. needing to use more Phase 2 credits
would be available for use in 2013. This The maximum number of Phase 2 than they have available to them. In
provision allows for some use of Phase HC+NOX exhaust emission credits a order to prevent such a non-compliance
2 emission credits to address the manufacturer could use for their Class II situation from occurring, manufacturers
possibility of unanticipated challenges engines would be calculated based on have suggested that we allow
in reaching the Phase 3 emission levels the characteristics of Class II engines manufacturers to carry a limited credit
in some cases or selling Phase 3 produced during the 2007, 2008, and deficit during the initial years of the
compliant engines early nationwide, 2009 model years. For each of those Phase 3 program. EPA has allowed such
without creating a situation that would years, the manufacturer would calculate provisions in other rules, including
allow manufacturers to substantially a Phase 2 credit allowance using the deficit provisions for handheld engines
delay the introduction of Phase 3 ABT credit equation and inserting 2.1 g/ in the Phase 2 regulations in which the
emission controls. kW-hr for the ‘‘Standard—FEL’’ term, manufacturer was required to cover the
For Class II, engine manufacturers and basing the rest of the values on the deficit in the next four model years with
could generate early Phase 3 credits by total production of Class II engines, the a penalty applied that increased over
producing engines with an FEL at or production-weighted power for all Class time depending how soon the deficit
was repaid. EPA requests comment on actual emission levels were below that We request comment on this approach
providing some type of credit deficit represented by the emission-data engine to addressing the concern related to
provisions for the Phase 3 exhaust for certification. However, it is not clear engines involving delegated-assembly
standards for nonhandheld engines why manufacturers should not perform provisions. In particular, we request
including what limits and penalties sufficient testing early in the model year comment regarding the amount of the
would be appropriate if such provisions to be confident that the FEL is properly credit adjustment, and whether there
were adopted. matched to the emission levels from might be alternative approaches that
To avoid the use of credits to delay production engines. Nevertheless, we would address this concern.
the introduction of Phase 3 request comment on any appropriate For all emission credits generated by
technologies, we are also proposing that methods to use the results of engines under the Phase 3 exhaust ABT
manufacturers may not use Phase 3 production-line testing to revise FELs program, we are proposing an unlimited
credits from Class I engines to retroactively such that the past credit life. We consider these emission
demonstrate compliance with Class II production is clearly compliant with credits to be part of the overall program
engines in the 2011 and 2012 model respect to the modified FEL. An for complying with Phase 3 standards.
years. Similarly, we are proposing that important element of our compliance Given that we may consider further
manufacturers may not use Phase 3 program involves the responsibility to reductions beyond the Phase 3
credits from Class II engines to meet standards with production-line standards in the future, we believe it
demonstrate compliance with Class I testing, not just with a backward- will be important to assess the ABT
engines in the 2012 model year. The 1.6 looking calculation, but with a real-time credit situation that exists at the time
kW-hr and 2.1 g/kW-hr allowances evaluation at the point of testing. We any post-Phase 3 standards are
discussed above may not be traded would therefore not consider allowing considered. We will need to set such
across engine classes or among revised FELs to apply for more than the future emission standards based on the
manufacturers. first half of the production for a given statutory direction that emission
We are proposing to make two model year. standards must represent the greatest
additional adjustments related to the
As described below in Section V.E.3., degree of emission control achievable,
exhaust ABT program for engines
we are proposing that a limited number considering cost, safety, lead time, and
subject to the new emission standards.
of Class II engines certified by engine other factors. Emission credit balances
As with all our other emission control
manufacturers with a catalyst as Phase will be part of the analysis for
programs, we are proposing that engine
3 engines, may be installed by determining the appropriate level and
manufacturers identify an engine’s FEL
equipment manufacturers in equipment timing of new standards. If we were to
on the emission control information
without the catalyst. (This would only allow the use of Phase 3 credits for
label (see § 1054.135). This is important
for readily establishing the enforceable be allowed when the engine is shipped meeting post-Phase 3 standards, we
level of emission control that applies for separately from the exhaust system may, depending on the level of Phase 3
each engine. Recent experience has under the provisions described in credit banks, need to adopt emission
shown that this is also necessary in Section V.E.2.) Because engine standards at more stringent levels or
cases where the engine’s build date is manufacturers may be generating with an earlier start date than we would
difficult to determine. We are proposing emission credits from these catalyst- absent the continued or limited use of
to require that lowering an FEL after the equipped engines, EPA is concerned Phase 3 credits. Alternatively, we could
start of production may occur only if the that engine manufacturers could be adopt future standards without allowing
manufacturer has emission data from earning exhaust ABT credits for engines the use of Phase 3 credits. The proposal
production engines justifying the lower that are sold but never have the catalyst described in this notice describes a
FEL (see § 1054.225). This prevents installed. In discussions with EPA, middle path in which we allow the use
manufacturers from making FEL engine manufacturers expressed of Phase 2 credits to meet the Phase 3
changes late in the model year to concern about the difficulty of tracking standards, with provisions that limit the
generate more emission credits (or use the eventual use of these engines by extent and timing of using these credits.
fewer emission credits) when there is equipment manufacturers (i.e., whether We are requesting comment on one
little or no opportunity to verify the catalyst-equipped exhaust system particular issue regarding credit life. As
whether the revised FEL is appropriate was installed or not). Therefore, instead proposed, credits earned under the
for the engine family. This provision is of requiring engine manufacturers to Phase 3 exhaust ABT program would
common in EPA’s emission control track whether equipment manufacturers have an unlimited lifetime. This could
programs for other engine categories. install the catalyst-equipped exhaust result in a situation where credits
We are also proposing that the any system into the equipment, EPA is generated by an engine sold in a model
revised FEL can apply only for engines proposing for model years 2011 through year are not used until many years later
produced after the FEL change. This is 2014 that all Class II engine families when the engines generating the credits
necessary to prevent manufacturers which are offered for sale under the have been scrapped and are no longer
from recalculating emission credits in a separate shipment provisions must part of the fleet. EPA believes there may
way that leaves no way of verifying that decrease the number of ABT credits be value to limiting the use of credits to
the engines produced prior to the FEL generated by the engine family by 10 the period that the credit-generating
change met the applicable requirements. percent. This adjustment would only engines exist in the fleet. For this
It is also consistent with the proposal to apply to engines generating credits reason, EPA requests comment on
require identification of the FEL on the because those are the engines most limiting the lifetime of the credits
emission control information label. likely to be equipped with catalysts. We generated under the Phase 3 exhaust
Manufacturers have raised concerns that believe the 10 percent decrease from ABT program to five years. The five-year
this approach sets up an inappropriate credit generating engines should period is intended to be similar to the
incentive to set FELs with the smallest provide an emission adjustment typical median life of Small SI
possible compliance margin to avoid commensurate with the potential use of equipment and is consistent with the
foregone emission credits in case the equipment manufacturer flexibility contemplated specification for defining
production-line testing shows that provisions described in Section V.E.3. the useful life in years in addition to
operating hours (see Section V.C.2 for Engine manufacturers have raised one (see Table 1 in Appendix A of this subpart
more information). issue related to the specified test for a description of test Modes).
procedures in part 1065. The Manufacturers have raised some
D. Testing Provisions
calculations for determining mass questions about the interpretation of
The test procedures provide an emissions depend on a simplifying these provisions. Our intent is that the
objective measurement for establishing assumption that combustion is at current requirements specify that testing
whether engines comply with emission stoichiometry or is in fuel-lean be conducted as follows:
standards. The following sections environment. This is not the case for • Full-load testing (Mode 1) occurs at
describe a variety of proposed changes many Small SI engines. The equation wide-open throttle to maintain engines
to the current test procedures. Except as with the simplifying assumption does at rated speed, which is defined as the
identified in the following sections, we not take into account the equilibrium speed at which the engine’s maximum
are proposing to preserve the testing- reaction between hydrogen and water. power occurs (as declared by the
related regulatory provisions that As a result, engines with fuel-rich manufacturer).
currently apply under 40 CFR part 90. operation would have detectable • Idle testing (Mode 6) occurs at the
Note that we will approve any hydrogen concentrations in the exhaust, manufacturer’s specified idle speed
appropriate alternatives, deviations, or which would cause the analyzers to with a maximum load of five percent of
interpretations of the new testing have a reading for hydrocarbon maximum torque. The regulation allows
requirements on a case-by-case basis emissions that is somewhat higher than adjustment to control speeds that are
rather than operating under any the actual value. To the extent there is
presumption that any such judgments different than would be maintained by
a concern, we believe it would always the installed governor.
made under the Phase 1 or Phase 2 be appropriate to rely on the reference
programs will continue to apply. • The installed governor must be
equations without the simplifying used to control engine speed for testing
(1) Migrating Procedures to 40 CFR Part assumptions made for the equations at all modes with torque values between
1065 published in part 1065. We request idle and full-load modes. The regulation
Manufacturers have been using the comment on this approach to allows adjustments for nominal speed
procedures in 40 CFR part 90 to test measurements from Small SI engines. settings that are different than would be
their engines for certification of Phase 1 (2) Duty Cycle maintained by the installed governor
and Phase 2 engines. As part of a much without modification.
The regulations under part 90 We are proposing adjustments to the
broader effort, we have adopted currently specify duty cycles for testing
comprehensive testing specifications in current regulatory requirements in 40
engines for exhaust emissions. The CFR part 90 (see § 1054.505). Since each
40 CFR part 1065 that are intended to
current requirements specify how to of these proposed adjustments may have
serve as the basis for testing all types of
control speeds and loads and describe some effect on measured emission
engines. The procedures in part 1065
the situations in which the installed levels, we believe it is appropriate to
include updated information reflecting
engine governor controls engine speed. implement these changes concurrent
the current state of available technology.
We are proposing to extend these with the Phase 3 standards. To the
We are proposing to apply the
provisions to testing under the new extent the proposed adjustments apply
procedures in part 1065 to nonhandheld
standards with a few adjustments to handheld engines, we believe it is
engines starting with the applicability of
described below. For engines equipped appropriate to apply the changes for
the Phase 3 standards as specified in 40
with an engine speed governor, the new testing with 2012 and later model
CFR part 1054, subpart F. As described
current regulations at 40 CFR year engines for the reasons described
in Section IX, the procedures in part
90.409(a)(3) state: above for adopting the test procedures
1065 identifies new types of analyzers
and updates a wide range of testing For Phase 2 Class I, Phase 2 Class I–B, and in part 1065.
specifications, but leaves intact the Phase 2 Class II engines equipped with an First, we are proposing to require
fundamental approach for measuring engine speed governor, the governor must be engine speed during the idle mode to be
used to control engine speed during all test
exhaust emissions. There is no need to controlled by the engine’s installed
cycle modes except for Mode 1 or Mode 6,
shift to the part 1065 procedures for and no external throttle control may be used speed governor. We believe there is no
nonhandheld engines before the that interferes with the function of the testing limitation that would call for
proposed Phase 3 standards apply. See engine’s governor; a controller may be used engine operation at idle to depart from
Section IX for additional information. to adjust the governor setting for the desired the engine’s governed speed. Allowing
We are not proposing new exhaust engine speed in Modes 2–5 or Modes 7–10; manufacturers to arbitrarily declare an
emission standards for handheld and during Mode 1 or Mode 6 fixed throttle idle speed only allows manufacturers to
engines so there is no natural point in operation may be used to determine the 100 select an idle speed that gives them an
percent torque value.
time for shifting to the part 1065 advantage in achieving lower measured
procedures. For the reasons described In addition the current regulations at emission results, but not in a way that
above and in Section IX, we 40 CFR 90.410(b) state: corresponds to in-use emission control.
nevertheless believe handheld engines For Phase 2 Class I, I–B, and II engines We are also aware that some production
should also use the part 1065 equipped with an engine speed governor, engines have a user-selectable control
procedures for measuring exhaust during Mode 1 or Mode 6 hold both the for selecting high-speed or low-speed
emissions. We propose to require specified speed and load within ± five idle (commonly identified as ‘‘rabbit/
manufacturers to start using the part percent of point, during Modes 2–3, or turtle’’ settings). We believe this
1065 procedures in the 2012 model Modes 7–8 hold the specified load with ± parameter adjustment may have a
year. Manufacturers would be allowed five percent of point, during Modes 4–5 or significant effect on emissions that
Modes 9–10, hold the specified load within
to continue certifying engines using the larger range provided by ± 0.27 Nm (± 0.2
should be captured in the certification
carryover data generated under the part lb-ft), or ± ten (10) percent of point, and test procedure. As a result, we are
90 procedures, but any new certification during the idle mode hold the specified proposing a requirement that
testing would be subject to the part 1065 speed within ± ten percent of the manufacturers conduct testing with
procedures. manufacturer’s specified idle engine speed user-selectable controls set to keep the
engine operating at low-speed idle if However, we are concerned that this The test fuel specifications apply to
any production engines in the engine approach allows manufacturers too all testing. However, we may be able to
family have such an option. much discretion for selecting a rated allow for testing with oxygenated fuel
Second, we are proposing an option speed for high-load testing. for production-line testing if
in which manufacturers would test their Manufacturers are encouraged to select manufacturers first establish the
nonhandheld engines using a ramped- a speed that best represents in-use appropriate correction to account for the
modal version of the specified duty operation for the engine family, but fuel’s effect on emissions. We request
cycle, as described in Section IX. We there is no requirement to prevent a comment on an appropriate approach
expect this testing to be equivalent to manufacturer from selecting a rated that would allow for production-line
the modal testing described above but speed that results in lower emissions, testing with oxygenated fuel.
would have advantages for streamlining independent of the speeds at which in- We are similarly proposing test fuel
test efforts by allowing for a single result use engines operate. We are proposing specifications for liquefied petroleum
for the full cycle instead of relying on to specify that manufacturers select a gas (LPG) and natural gas. Since natural
a calculation from separate modal value for rated speed that matches the gas has a very high methane content and
results. Under the proposal we would most common speed for full-load methane is generally nonreactive in the
allow manufacturers the option to select operation within the engine family. atmosphere, we are proposing to apply
this type of testing. EPA’s testing would Engine manufacturers generally also the same emission standards for natural
generally involve ramped-modal testing make their own equipment, so this gas engines but not count methane
only if the engine manufacturer selected information should be readily available. emissions toward the total hydrocarbon
this option for certification. We would expect manufacturers to measurement.
Third, the part 90 regulations identify the range of equipment models
currently specify two duty cycles for E. Certification and Compliance
covered by a given engine family, Provisions for Small SI Engines and
nonhandheld engines: (1) Testing at identify the in-use operating speeds for
rated speed; and (2) testing at 85 percent Equipment
those models, and select the full-load
of rated speed. The regulations direct speed applicable for the greatest number (1) Deterioration Factors
manufacturers simply to select the most of projected unit sales. We further
appropriate cycle and declare the rated As part of the certification process,
propose to require manufacturers to manufacturers generate deterioration
speed for their engines. We believe it is describe in their application for
appropriate to make this more objective factors to demonstrate that their engines
certification how they selected the value meet emission standards over the full
by stating that rated speed is 3600 rpm for rated speed.
and intermediate speed is 3060 rpm, useful life. We are proposing some
unless the manufacturer demonstrates (3) Test Fuel changes from the procedures currently
that a different speed better represents included in part 90 (see § 1054.240 and
We are proposing to require Phase 3 § 1054.245). Much of the basis for these
the in-use operation for their engines.
testing with a standard test fuel changes comes from the experience
This is consistent with the most
consistent with the requirements under gained in testing many different engines
common in-use settings and most
40 CFR part 90 (see 40 CFR part 1065, in preparation for this proposal. First,
manufacturers’ current practice.
In addition, we are proposing subpart H). In particular, we do not we are proposing to discontinue bench
regulatory provisions to clarify how believe it is appropriate to create a aging of emission components. Testing
nonhandheld engines are operated to flexibility to allow for testing using has shown that operating and testing the
follow the prescribed duty cycle. As oxygenated fuel since this could affect complete engine is necessary to get
described in part 90, we are proposing an engine’s air-fuel ratio, which in turn accurate deterioration factors. Second,
to require that the engines operate could affect the engine’s combustion we are proposing to allow for assigned
ungoverned at wide-open throttle for the and emission characteristics. However, deterioration factors for a limited
full-power mode. This test mode is used we understand that engine number of small-volume nonhandheld
to denormalize the rest of the duty manufacturers may have emission data engine families. Manufacturers could
cycle. Testing at other modes occurs from some model years before the Phase use assigned deterioration factors for
with the governor controlling engine 3 standards take effect. We would allow multiple small-volume nonhandheld
speed. Before each test mode, for continued use of this pre-existing engine families as long as the total
manufacturers may adjust the governor data as long as it is appropriate to use production for all of the nonhandheld
to target the same nominal speed used carryover data for demonstrating engine families for which the
for the full-power mode, with a compliance with current standards. manufacturer is using assigned
tolerance limiting the variation in Ethanol is commonly blended into in- deterioration factors is estimated at the
engine speed at each mode. use gasoline and is anticipated to be time of certification to be no more than
Alternatively, testing may be done by more widely used in the future. 10,000 units per year. Third, we are
letting the installed governor control However, we are not proposing a test proposing to allow for assigned
engine speed, in which case only the fuel containing ethanol for two reasons. deterioration factors for all engines
torque value would need to be First, the technical feasibility of this produced by small-volume
controlled within an established range. rule is based on certification gasoline. If nonhandheld engine manufacturers.
A different duty cycle applies to an ethanol fuel blend were used as the For the HC+NOX standard, we
handheld engines, which are generally certification fuel, the standards would propose to specify that manufacturers
not equipped with governors to control need to be adjusted to account for the use a single deterioration factor for the
engine speed. The current regulations effects of this fuel on emissions. Second, sum of HC and NOX emissions.
allow manufacturers to name their manufacturers may not use ethanol However, if manufacturers get approval
operating speed for testing at each of the blends to certify Small SI engines in to establish a deterioration factor on an
test modes. We are proposing to California. The use of an ethanol blend engine that is tested with service
continue the allowance for would require manufacturers to test accumulation representing less than the
manufacturers to select an appropriate their engines separately for the full useful life for any reason, we would
engine speed for idle operation. California and Federal testing. require separate deterioration factors for
HC and NOX emissions. The advantage exhaust gas composition and other in- that engine manufacturers apply for
of a combined deterioration factor is use operating parameters. We request certification in the normal way,
that it can account for an improvement comment on any appropriate identifying all the engine parts that
in emission levels with aging. However, procedures, or limitations on the use of make up the engine configurations
for engines that have service such procedures, for certifying Small SI covered by the certification. Equipment
accumulation representing less than the engines. manufacturers would be able to work
full useful life, we believe it is not with muffler manufacturers to get
(2) Delegated Final Assembly
appropriate to extrapolate measured mufflers with installed catalysts as
values indicating that emission levels The current practice of attaching specified in the engine manufacturer’s
for a particular pollutant will decrease. exhaust systems to engines varies. Class application for certification. If
This is the same approach we adopted I engines are typically designed and equipment manufacturers would need a
for recreational vehicles. produced by the engine manufacturer muffler or catalyst that is not covered by
EPA is not proposing the values for with complete emission control the engine manufacturer’s certification,
the assigned deterioration factors for systems. Equipment manufacturers the engine manufacturer would need to
small-volume nonhandheld engine generally buy these engines and install amend the application for certification.
manufacturers in this proposal. In an them in their equipment, adjusting This may require new testing if the data
effort to develop deterioration factors equipment designs if necessary to from the original emission-data engine
that are appropriate for Small SI accommodate the mufflers and the rest are not appropriate for showing that the
engines, we plan to evaluate of the exhaust system from the engine new configuration will meet emission
certification data from Phase 3 engines manufacturer. standards, as described in § 1054.225.
certified early with EPA and from Engine manufacturers generally (Alternatively, the equipment
engines certified under California ARB’s produce Class II engines without manufacturer may take on the
Tier 3 standards (which begin in 2007 exhaust systems, relying instead on
responsibility for certifying the new
and 2008). Because we are not installation instructions to ensure that
configuration, as described in
proposing new exhaust standards for equipment manufacturers get mufflers
§ 1054.612.) Engine manufacturers
handheld engines, the assigned that fall within a specified range of
would also identify in the application
deterioration factor provisions adopted backpressures that is appropriate for a
for certification their plans to sell
for Phase 2 handheld engines are being given engine model. Equipment
engines without emission-related
retained. manufacturers are free to work with
components. We are proposing several
Although we are not proposing new muffler manufacturers to design
provisions to ensure that engines will
exhaust standards for handheld engines, mufflers that fit into the space available
eventually be in their certified
handheld engine manufacturers noted for a given equipment model, paying
attention to the need to stay within the configuration. For example, engine
that California ARB has approved
design specifications from the engine manufacturers would establish contracts
certain durability cycles for
manufacturers. A similar situation with affected equipment manufacturers,
accumulating hours on engines for the
applies for air filters, where equipment include installation instructions to make
purpose of demonstrating emissions
manufacturers in some cases work with clear how engine assembly should be
durability. The durability cycles
component manufacturers to use air completed, keep records of the number
approved by California ARB vary from
filters that are tailored to the individual of engines produced under these
a 30-second cycle for chainsaws to a 20-
equipment model while staying within provisions, and obtain annual affidavits
minute cycle for blowers, with 85
the design specifications defined by the from affected equipment manufacturers
percent of the time operated at wide
engine manufacturer. to confirm that they are installing the
open throttle and 15 percent of the time
operated at idle. Engine manufacturers The existing regulations require that proper emission-related components on
can run the durability cycles over and certified engines be in their certified the engines and that they have ordered
over until they accumulate the hours of configuration when they are introduced a number of components that
operation equivalent to the useful life of into commerce. We therefore need corresponds to the number of engines
the engine family. Our current special provisions to address the involved.
regulations state that ‘‘service possibility that engines will need to be While the delegated-assembly
accumulation is to be performed in a produced and shipped without exhaust provisions are designed for direct
manner using good judgment to ensure systems or air intake systems that are shipment of engines from engine
that emissions are representative of part of the certified configuration. We manufacturers to equipment
production engines.’’ While we are not have adopted such provisions for heavy- manufacturers, we are aware that
proposing to change the regulatory duty highway engines and for other distributors play an important role in
language regarding service nonroad engines in 40 CFR 85.1713 and providing engines to large numbers of
accumulation, we believe the California 40 CFR 1068.260, respectively. These equipment manufacturers. We are
ARB-approved durability cycles are provisions generally require that engine proposing that these provisions apply to
appropriate and acceptable to EPA for manufacturers establish a contractual distributors in one of two ways. First,
accumulating hours on handheld arrangement with equipment engine manufacturers may have an
engines for demonstrating emissions manufacturers and take additional steps especially close working relationship
durability. to ensure that engines are in their with primary distributors. In such a
Manufacturers have pointed out that certified configuration before reaching case, the engine manufacturer would be
they are developing a testing protocol the ultimate purchaser. able to establish a contractual
that would allow manufacturers to We are proposing to apply delegated- arrangement allowing the distributor to
develop deterioration factors for assembly provisions for nonhandheld act as the engine manufacturer’s agent
catalysts through a bench-aging engines that are similar to those adopted for all matters related to compliance
procedure. A fundamental factor in for heavy-duty highway engines, with a with the delegated-assembly provisions.
evaluating the appropriateness of any variety of adjustments to address the This would allow the distributor to
bench-aging procedure is the extent to unique situation for Small SI engines make arrangements with equipment
which it simulates representative (see § 1054.610). This would require manufacturers to address design needs
and perform oversight functions. We needs to be properly assembled before it than the minimum auditing steps
would hold the engine manufacturer is in its certified configuration. identified above. For example,
directly responsible if the distributor Any of these labeling approaches equipment manufacturers with low
failed to meet the regulatory obligations would properly identify the engines as order volumes, an unclear history of
that would otherwise apply to the needing emission-related components compliance, or other characteristics that
engine manufacturer. Second, other from the equipment manufacturer. We would cause some concern may prompt
distributors may receive shipment of have a remaining concern that the us to require a more extensive audit to
engines without exhaust systems, but approaches involving permanent labels ensure effective oversight in confirming
they would need to add any do not identify that an engine is not yet that engines are always built properly.
aftertreatment components before in its certified configuration. Since there Moreover, in the early years of this
sending the engines on to equipment is no change in the label to show the program, engine manufacturers should
manufacturers. Engine manufacturers engine’s status, we believe these consider nearly all participating
would treat these distributors as approaches may not be as effective as equipment manufacturers to be
equipment manufacturers for the the temporary labels in preventing unfamiliar with the regulatory
purposes of delegated assembly. misbuilt engines. We are also concerned requirements and the mechanics of
Equipment manufacturers buying that imported engines with meeting their responsibilities and
engines from such a distributor would manufacturer-specific codes will lead to obligations as contracted manufacturers
not have the option of separately confusion with Customs inspectors. of certified engines. Engine
obtaining mufflers from muffler With no standardized approach for manufacturers would describe in the
manufacturers. In both of these identifying which engines do not need application for certification their plan
scenarios, the engine manufacturer catalysts, there is a significant risk that for taking steps to ensure that all
continues to be responsible for the in- engines will be held up while inspectors engines will be in their certified
use compliance of all their engines. confirm their status. We request configuration when installed by the
Engine manufacturers would need to comment on the best way of requiring equipment manufacturer. EPA approval
affix a label to the engine to clarify that labeling information for these engines. of a manufacturer’s plan for delegated
it needs certain emission-related For example, we request comment on assembly would be handled as part of
components before it is in its certified adding a requirement for equipment the overall certification process. We
configuration. This labeling information manufacturers to add some identifying request comment on appropriate
mark to the permanent label to show requirements related to specific auditing
is important for alerting assembly
that the engine is in its certified procedures that would be appropriate to
personnel to select mufflers with
configuration. We also request comment address these concerns and to provide
installed catalysts; the label would also
on replacing the provision allowing for adequate assurance that engines are
give in-house inspectors or others with
a manufacturer-specific code to some routinely assembled in their certified
responsibility for quality control a tool
standardized abbreviation for configuration.
for confirming that all engines have
‘‘delegated assembly’’ that would allow We are proposing that engine
been properly assembled and installed.
for unambiguous identification of the manufacturers annually audit twelve
Given the large numbers of engine and
engine’s status with a minimum burden equipment manufacturers, or fewer if
equipment models and the
in terms of requiring larger labels. they are able to audit all participating
interchangeability of mufflers with and In addition, engine manufacturers equipment manufacturers on average
without catalysts, we believe proper would need to perform or arrange for once every four years. These audits
labeling will reduce the possibility that audits to verify that equipment would be divided over different
engines will be misbuilt. manufacturers are properly assembling equipment manufacturers based on the
This labeling may be done with any engines. Engine manufacturers may rely number of engines sold to each
of three approaches. First, a temporary on third-party agents to perform equipment manufacturer. We further
label may be applied such that it would auditing functions. Since the purpose of propose that these auditing rates may be
not be removed without a deliberate the audit is to verify that equipment reduced after the first eight years, or
action on the part of the equipment manufacturers are properly assembling after the engine manufacturer has
manufacturer. We believe it is not products, they may not perform audits audited all affected equipment
difficult to create a label that will stay on behalf of engine manufacturers. We manufacturers. This reduced auditing
on the engine until it is deliberately are proposing to require that audits rate would be based on an expectation
removed. Second, manufacturers may must involve at a minimum reviewing that all participating equipment
add the words ‘‘delegated assembly’’ to the equipment manufacturer’s manufacturers would be audited on
the engine’s permanent emission control production records and procedures, average once every ten years.
information label. Third, manufacturers inspecting the equipment To facilitate auditing related to
may create a unique alphanumeric code manufacturer’s production operations, catalysts, we are proposing to require
to apply to the engine’s permanent or inspecting the final assembled engine manufacturers to establish an
emission control information label. This products. Inspection of final assembled alphanumeric designation to identify
code would be identified in the products may occur at any point in the each unique catalyst design (including
application for certification. Creating a product distribution system. For size, washcoat, precious metal loading,
unique code would not provide a clear example, products may be inspected at supplier, and any other appropriate
enough communication to equipment the equipment manufacturer’s assembly factors) and instruct equipment
manufacturers that they are responsible or storage facilities, at regional manufacturers to use stamping or other
for bringing the engine into its certified distribution centers, or at retail means to permanently display this
configuration. Engine manufacturers locations. The audit must also include designation on the external surface of
taking this approach would therefore confirmation that the number of the exhaust system, making it readily
need to add features to the label to make aftertreatment devices shipped was visible as much as possible when the
this clear. For example, creating labels sufficient for the number of engines equipment is fully assembled,
with a different color or shading would involved. We would typically expect consistent with the objective of
make it easy to identify that an engine engine manufacturers to perform more verifying the identity of the installed
catalyst. This designation could be the engine manufacturers to confirm that a since it allows manufacturers to
same as the code applied to the vehicle manufacturer has ordered the introduce into commerce engines that
emission control information label as appropriate aftertreatment devices are labeled as meeting current emission
described above. before they ship an engine. Equipment standards even though they are not in
We are proposing that all the same manufacturers’ purchasing practices for their certified configuration. This is
requirements apply for separate Small SI engines, especially considering especially true for Small SI engines
shipment related to air filters if they are the order volumes, makes this approach where many high-volume products are
part of an engine’s certified impractical. We are instead proposing to handled by many different
configuration, except for the auditing. require that engine manufacturers get manufacturers such that the final
We would require auditing related to air written confirmation from each assembly requires equipment
filters only if engine manufacturers are equipment manufacturer before an manufacturers to properly install
already performing audits related to initial shipment of engines in a given otherwise indistinguishable products to
catalysts. We believe there is much less model year for a given engine model. keep products in the certified
incentive or potential for problems with This confirmation would document the configuration. Also, an equipment
equipment manufacturers producing equipment manufacturer’s manufacturer may install multiple
engines with noncompliant air filters so understanding that they are using the engine models in a single type of
we believe a separate auditing appropriate aftertreatment components. equipment, some of which may need
requirement for air filters would be The written confirmation would be due catalyzed mufflers while others would
unnecessary. within 30 days after shipping the use a conventional muffler. The
The draft regulation specifies that the engines and would be required before appearance and function of such
exemption expires when the equipment shipping any additional engines from mufflers with and without catalysts
manufacturer takes possession of the that engine family to that equipment would be virtually indistinguishable,
engine and the engine reaches the point manufacturer. which increases the likelihood of
of final equipment assembly. We would The shipping confirmation included accidentally installing the wrong
understand the point of final equipment in the rule for heavy-duty highway muffler.
assembly for purposes of delegated engines is a very substantial provision
assembly for aftertreatment components The provisions described above are
to address the fact that vehicle
to be the point at which the equipment intended to minimize the risks
manufacturers would gain a competitive
manufacturer attaches a muffler to the associated with this practice. However,
advantage by producing noncompliant
engine. Engines observed in production products, and that engines in commerce this concern is heightened for
or inventory assembled with improper would be labeled as if they were fully companies that would use the
mufflers would be considered to have compliant even though they are not yet delegated-assembly provisions to import
been built contrary to the engine in their certified configuration. This is noncompliant engines with the
manufacturer’s installation instructions. especially problematic when a muffler expectation that equipment
Catalysts are invariably designed as part with no catalyst can easily be installed manufacturers in the United States
of the muffler, so we would understand and can perform without indicating a would add catalyzed mufflers as
that there would be no reason to install problem. To address this concern for specified in the engine manufacturer’s
a different muffler once a given muffler Small SI engines, we are including a application for certification. This raises
has been installed using normal requirement that equipment two potential problems. First, this
production procedures. If equipment manufacturers include in their annual practice could create a loophole in
manufacturers sell equipment without affidavits an accounting for the number EPA’s enforcement program that would
following these instructions, they would of aftertreatment components they have allow for widespread importation of
be considered in violation of the ordered relative to the number of noncompliant engines, with the
prohibited acts (i.e., selling uncertified engines shipped without the catalysts financial incentive for equipment
engines). If there is a problem with any that the mufflers would otherwise manufacturers to complete assembly
given equipment manufacturer, we require. with noncompliant mufflers. Since all
would hold the engine manufacturer Production-line testing normally engines have mufflers, and since proper
responsible for those noncompliant involves building production engines catalyst installation generally can be
engines and require the engine using normal assembly procedures. For confirmed only with an emission test or
manufacturer to discontinue the engines shipped without catalysts under a destructive inspection, it would be
practice of delegated assembly for that the delegated-assembly provisions, it is very difficult to find and correct any
equipment manufacturer. We request not normally possible to do this at the problems that might occur. Second,
comment on the need to more explicitly engine manufacturer’s facility, where engine manufacturers outside the
identify the meaning of the point of such testing would normally occur. To United States may be willing to take
final equipment assembly in the address this, we are proposing to specify risks with noncompliant products based
regulations, as described above. that engine manufacturers must arrange on their limited exposure to EPA
We are aware that the proposed to get a randomly selected catalyst that enforcement. As described in Section
approach of allowing equipment will be used with the engine. The VI.F we are considering bonding
manufacturers to make their own catalyst may come from any point in the requirements for imported engines to
arrangements to order mufflers results normal distribution from the ensure that we will be able to fully
in a situation in which the equipment aftertreatment component manufacturer resolve compliance or enforcement
manufacturer must spend time and to the equipment manufacturer. The issues with companies that have little or
money to fulfill their responsibilities catalyst may not come from the engine no presence or selling history in the
under the regulations. This introduces a manufacturer’s own inventory. Engine United States. We would expect to
financial incentive to install mufflers manufacturers would keep records to specify an increased bond payment for
with inferior catalysts, or to omit the show how they randomly selected importation of engines using the
catalyst altogether. To address this catalysts. delegated-assembly provisions.
concern for heavy-duty highway As described above, we believe this is Increasing the per-engine bond value by
engines, we adopted a requirement for a very significant compliance issue 20 percent corresponds roughly with the
value of catalyzed mufflers that would preserve the current business production of Class II equipment. The
be required. We believe this would be arrangements for the different types of number of ‘‘allowances’’ would be
an appropriate additional bond value to manufacturers. We request comment on calculated by determining the average
address the concerns for noncompliance the need for these delegated-assembly annual U.S.-directed production of
from imported engines. provisions in light of the Transition equipment using Class II engines
While this section describes the Program for Equipment Manufacturers. produced from January 1, 2007 through
compliance provisions we believe are We also request comment on the December 31, 2009. Thirty percent of
necessary for addressing the practice of appropriateness of adopting these this average annual production level
delegating assembly of emission-related delegated-assembly provisions for Class would be the total number of
components to equipment I engines since these engine ‘‘allowances’’ under this transition
manufacturers, providing a broader manufacturers already install complete program over four years. Manufacturers
view of the context for delegated exhaust systems for the large majority of could use these allowances for their
assembly is also appropriate for their engines. Finally, we request Class II equipment over four model
understanding our concern regarding comment on the need to allow for the years from 2011 through 2014, with the
the duplicative aspects of delegated use of the more restrictive delegated- usage spread over these model years as
assembly with other provisions in this assembly provisions in § 1068.260 in the determined by the equipment
rulemaking. Recent evaluation of a wide event that we do not finalize the manufacturer. Equipment produced
range of equipment models powered by delegated-assembly provisions under these provisions could use
Small SI engines has led to several described above. engines that meet the Phase 2 emission
important observations. Many standards instead of the Phase 3
equipment models have mufflers (3) Transition Program for Equipment
standards. If an equipment
installed away from all other Manufacturers
manufacturer newly enters the Class II
components such that they have no Given the level of the proposed Phase equipment market during 2007, 2008 or
space or packaging constraints. Other 3 exhaust emission standards for Class 2009, the manufacturer would calculate
equipment models with mufflers that II engines, we believe there may be its average annual production level
are installed inside a cage or situations where the use of a catalyzed based only on the years during which it
compartment generally include muffler could require equipment actually produced Class II equipment.
substantial space around the muffler, manufacturers to modify their Equipment manufacturers newly
which is necessary to isolate the equipment. We are therefore proposing entering the Class II equipment market
muffler’s high surface temperatures and a set of provisions to provide equipment after 2009 would not receive any
radiant heat from operators and any manufacturers with reasonable lead allowances under the transition program
heat-sensitive components. Another time for transition to the proposed and would need to incorporate Phase 3
important observation was the striking standards. The proposed provisions are compliant engines into the Class II
uniformity of muffler geometries, even similar to the program we adopted for equipment beginning in 2011.
where equipment manufacturers nonroad diesel engines (69 FR 38958, Equipment using engines built before
obtained mufflers directly from muffler June 29, 2004). the effective date of the proposed Phase
manufacturers. Most mufflers on Class II Equipment manufacturers would not 3 standards would not count toward an
engines are cylindrical models with the be obligated to use any of these equipment manufacturer’s allowances.
size varying to correspond with the size provisions, but all equipment Equipment using engines that are
of the engines. Other Class II engine manufacturers that produce Class II exempted from the Phase 3 standards
models use a box-shaped muffler equipment would be eligible to do so. for any reason would also not count
design, but these mufflers also exhibited We are also proposing that all entities toward an equipment manufacturer’s
little variation across models. These under the control of a common entity allowances. For example, we are
observations have fundamental would have to be considered together proposing that small-volume engine
implications for the regulatory for the purposes of applying these manufacturers may continue to produce
provisions we are proposing for allowances. Manufacturers would be Phase 2 engines for two model years
ensuring a smooth transition to the eligible for the allowances described after the Phase 3 standards apply. All
Phase 3 emission standards. below only if they have primary engines subject to the Phase 3 standards,
For example, in situations that limit responsibility for designing and including those engines that are
equipment manufacturers to manufacturing equipment, and if their certified to FELs at higher levels than
standardized muffler configurations, manufacturing procedures include the standard, but for which an engine
they would at most need to make installing engines in the equipment. manufacturer uses exhaust ABT credits
modest changes to their equipment to to demonstrate compliance, would
(a) General Provisions
accommodate somewhat different count as Phase 3 complying engines and
muffler geometries. We have taken these Under the proposed approach, would not be included in an equipment
equipment design changes into account beginning in the 2011 model year and manufacturer’s count of allowances.
with the Transition Program for lasting through the 2014 model year, The choice of the allowances based on
Equipment Manufacturers described each equipment manufacturer may 30 percent of one year’s production is
below. We are therefore concerned that install Class II engines not certified to based on our best estimate of the degree
the proposed provisions for delegated the proposed Phase 3 emission of reasonable lead time needed by the
assembly and the Transition Program for standards in a limited number of largest equipment manufacturers to
Equipment Manufacturers may be equipment applications produced for modify their equipment designs as
duplicative in providing additional time the U.S. market (see § 1054.625). We needed to accommodate engines and
and/or flexibilities for equipment refer to these here as ‘‘flex engines.’’ exhaust systems that have changed as a
manufacturers to redesign their These flex engines would need to meet result of more stringent emission
equipment for accommodating engines the Phase 2 standards. The maximum standards. We believe the proposed
that meet the Phase 3 standards. If this number of ‘‘allowances’’ each level of allowances responds to the need
is the case, the proposed provisions for manufacturer could use would be based for lead time to accommodate the
delegated assembly merely serve to on 30 percent of an average year’s workload related to redesigning
equipment models to incorporate (i) Compliance based on engine (ii) Compliance based on equipment
catalyzed mufflers while ensuring a manufacturers. Engine manufacturers manufacturers. We are proposing to set
significant level of emission reductions will in many cases produce complete up a different set of compliance
in the early years of the proposed engines. This would be the case if the provisions for engine manufacturers that
program. engine does not require a catalyst or if ship the engine separately from the
Equipment manufacturers may face the engine manufacturer chooses to exhaust system. Under this scenario, as
similar challenges in transitioning to design their own exhaust systems and discussed above, the engine
rotational-molded fuel tanks that meet ship complete engine assemblies to manufacturers must establish a
the proposed permeation standards. We equipment manufacturers. relationship with the equipment
are therefore proposing to allow Under this scenario, we propose to manufacturers allowing the equipment
equipment manufacturers to use require that equipment manufacturers manufacturer to install catalysts to
noncompliant rotational-molded fuel request a certain number of flex engines complete engine assembly for
tanks with any equipment that is from the engine manufacturer. The compliance with Phase 3 standards.
counted under the allowances described proposed regulatory provisions would In this case, engine manufacturers
in this section which use engines specifically allow engine manufacturers would design and produce their Phase
meeting Phase 2 exhaust emission to continue to build and sell Phase 2 3 engines and label them accordingly.
standards (see § 1054.627). As part of engines needed to meet the market The normal path for these engines
this expanded rotational-molded fuel demand created by the transition covered by the delegated-assembly
tank allowance, we are requiring that program for equipment manufacturers provisions would involve shipment of
equipment manufacturers first use up provided they receive the written the engine without an exhaust system to
any available credits or allowances assurance from the equipment the equipment manufacturer, the
generated from early compliance with manufacturer that such engines are equipment manufacturer would then
the fuel tank permeation requirements being procured for this purpose. We are follow the engine manufacturer’s
(see Section VI.D.4). proposing to require that engine instructions to add the exhaust system
manufacturers keep copies of the including the catalyst to bring the
A similar concern applies for
written assurance from equipment engine into a certified Phase 3
controlling running losses. As described
manufacturers for at least five years after configuration. Under the proposed
in Section VI, technologies for
the final year in which allowances are transition program, equipment
controlling running losses may involve available. manufacturers would choose for each of
a significant degree of integration Engine manufacturers are currently these engines to either follow the engine
between engine and equipment designs. required to label their certified engines manufacturer’s instructions to install a
In particular, routing a vapor line from with a variety of information. We are catalyst to make it compliant with Phase
the fuel tank to the engine’s intake proposing that engine manufacturers 3 standards or follow a different set of
system depends on engine producing complete flex engines under instructions to install a non-catalyzed
modifications that would allow for this this program identify on the engine muffler to make it compliant with Phase
connection. As a result, we are label that they are flex engines. In 2 standards. Any such engines
proposing that any equipment using flex addition, equipment manufacturers downgraded to Phase 2 standards would
engines would not need to meet running would be required to apply an count toward the equipment
loss standards. Equipment Flexibility Label to the manufacturer’s total number of
(b) Coordination Between Engine and engine or piece of equipment that allowances under the transition
Equipment Manufacturers identifies the equipment as using an program.
engine produced under the Phase 3 To make this work, engine
We are proposing two separate paths transition program for equipment manufacturers would need to take
for complying with administrative manufacturers. These proposed labeling certain steps to ensure overall
requirements related to the proposed requirements would allow EPA to easily compliance. First, engine manufacturers
transition program, depending on how identify flex engines and equipment, would need to include emission data in
the engine manufacturer chooses to verify which equipment manufacturers the application for certification showing
make flex engines available under the are using these flex engines, and more that the engine would meet Phase 2
transition program. Engine easily monitor compliance with the standards without any modification
manufacturers choosing to use the transition provisions. Labeling of the other than installing a non-catalyzed
delegated-assembly provisions equipment could also help U.S. exhaust system. This may include a
described above would be enabling Customs to quickly identify equipment specified range of backpressures that
equipment manufacturers to make the being imported lawfully using the equipment manufacturers would need
decision whether to complete the engine Transition Program for Equipment to meet in procuring a non-catalyst
assembly in the Phase 3 configuration or Manufacturers. muffler. If the Phase 3 engine without a
to use a noncatalyzed muffler such that While manufacturers would need to catalyst would otherwise still be
the engine would meet Phase 2 meet Phase 2 standards with their flex covered by the emission data from
standards and would therefore need to engines, they would not need to certify engines produced in earlier model years
be counted as a flex engine. If engine them for the current model year. We are under the Phase 2 standards,
manufacturers do not use the delegated- proposing instead to apply the manufacturers could rely on carryover
assembly provisions, equipment requirements in 40 CFR 1068.260, emission data to make this showing.
manufacturers would need to depend on which requires that manufacturers keep Second, the installation instructions we
engine manufacturers to produce and records showing that they meet specify under the delegated-assembly
ship flex engines that are already in a emission standards without requiring provisions would need to describe the
configuration meeting Phase 2 standards submission of an application for steps equipment manufacturers would
and labeled accordingly. Each of these certification. We request comment on need to take to make either Phase 3
scenarios involves a different set of these requirements and whether these engines or Phase 2 flex engines. Third,
compliance provisions, which we engines should be certified annually for engine families that generate positive
describe below. along with the Phase 3 engines. emission credits under the exhaust ABT
program, engine manufacturers must hardship provision for all equipment must submit information on production
decrease the number of ABT credits manufacturers (see § 1068.255). An of Class II equipment over the three-year
generated by the engine family by 10 equipment manufacturer would be period from 2007 through 2009,
percent. We believe the 10 percent required to use all of its allowances calculate the number of allowances
decrease should provide an emission under the transition program described available, and provide basic business
adjustment commensurate with the above before being eligible to use this information about the company. For
potential use of the equipment hardship. See Section VIII.C.9 for example, we would want to know the
manufacturer flexibility provisions. further discussion of this proposed names of related companies operating
Equipment manufacturers using hardship provision for equipment under the same parent company that
allowances under these provisions manufacturers. would be required to count engines
would need to keep records that would As described in Section V.E.2, we are together under this program. This early
allow EPA or engine manufacturers to concerned that the Transition Program notification will not be a significant
confirm that equipment manufacturers for Equipment Manufacturers and the burden to the equipment manufacturer
followed appropriate procedures and provisions related to delegated assembly and will greatly enhance our ability to
produced an appropriate number of may be redundant approaches to ensure compliance. Indeed, equipment
engines without catalysts. In addition, address the need to design equipment manufacturers would need to have the
we are proposing to require that models to accommodate upgraded information required in the notification
equipment manufacturers place a label engines. The transition program is to know how to use the allowances.
on the engine as close as possible to the intended to give equipment We are proposing an ongoing
engine manufacturer’s emission control manufacturers four years to make the reporting requirement for equipment
information label to identify it as a flex design changes needed to reach a point manufacturers participating in the Phase
engine. This could be the full label of being able to accommodate low- 3 transition program. Under this
described above or it could be a emission Phase 3 engines, even for the proposal, participating equipment
simplified label that has only the most challenging equipment models. If manufacturers would be required to
equipment manufacturer’s name and a equipment manufacturers are able to submit an annual report to EPA that
simple statement that this is a flex continue to independently source their shows its annual number of equipment
engine. The location of this label is exhaust systems based on the catalyst produced with flex engines under the
important since it effectively serves as specifications determined by the engine transition provisions in the previous
an extension of the engine manufacturer, it is not clear that year. Each report would include a
manufacturer’s label, clarifying that the allowances for additional lead time cumulative count of the number of
engine meets Phase 2 standards, not the would be needed. We request comment equipment produced with flex engines
Phase 3 standards referenced on the on the relative advantages of these two for all years. To ease the reporting
original label. This avoids the approaches and, more specifically, burden on equipment manufacturers,
problematic situation of changing or which approach we should adopt in the EPA intends to work with the
replacing labels, or requiring engine final rule to address equipment manufacturers to develop an electronic
manufacturers to send different labels. manufacturers’ needs for designing and means for submitting information to
We request comment on an approach in producing equipment with Phase 3 EPA.
which we would require the full label engines. We request comment on an
(c) Additional Allowances for Small-
for equipment manufacturers to be alternative approach of relying on the
and Medium-Sized Companies
placed on the engine adjacent to the delegated-assembly provisions in
engine manufacturer’s label to prevent § 10654.610 and the equipment- We believe small-volume equipment
confusion and the risks associated with manufacturer hardship provisions in manufacturers would need a greater
multiple labels. § 1068.255. This combination of tools degree of lead time than manufacturers
Engine manufacturers might choose to would still allow for substantial that sell large volumes of equipment.
produce Phase 3 engines before the 2011 flexibility in helping equipment The small companies are less likely to
model year and set up arrangements for manufacturers transition to Phase 3 have access to prototype engines from
separate shipment of catalyzed mufflers engines. The hardship provisions of engine manufacturers and generally
as described in Section V.E.2. We would § 1068.255 were an important element have smaller engineering departments
expect any engine manufacturers of the successful transition to new for making the necessary design
producing these early Phase 3 engines to emission standards for Large SI engines. changes. Allowances representing thirty
continue production of comparable (iii) Reporting and recordkeeping percent of annual U.S.-directed
engine models that meet Phase 2 requirements. Equipment manufacturers production provide larger companies
standards rather than forcing all choosing to participate in the transition with substantial lead time to plan their
equipment manufacturers to program would be required to keep product development for compliance
accommodate the new engine design records of the U.S-directed production but smaller companies may have a
early. We believe it would not be volumes of Class II equipment in 2007 product mix that requires extensive
appropriate for equipment through 2009 broken down by work to redesign products in a short
manufacturers to buy Phase 3 engines in equipment model and calendar year. amount of time. We are therefore
2010 or earlier model years and Equipment manufacturers would also proposing to specify that small-volume
downgrade them to meet Phase 2 need to keep records of the number of equipment manufacturers may use this
emission standards as described above. flex engines they use under this same transition program with
We are therefore proposing to allow the program. allowances totaling 200 percent of the
downgrading of Phase 3 engines only for We are also proposing some average annual U.S.-directed production
2011 and later model years. notification requirements for equipment of equipment using Class II engines
Because equipment manufacturers in manufacturers. Under this proposal, from 2007 through 2009. For purposes
many cases depend on engine equipment manufacturers wishing to of this program, a small-volume
manufacturers to supply certified participate in the transition provisions equipment manufacturer would be a
engines in time to produce complying would need to notify EPA by June 30, manufacturer that produces fewer than
equipment, we are also proposing a 2010 that they plan to participate. They 5,000 pieces of nonhandheld equipment
per year subject to EPA regulations in changing exhaust emission standards. comply with the compliance-related
each of the three years from 2007 The equipment manufacturer would provisions discussed below would not
through 2009 or meets the SBA also request a specific number of receive allowances. Importers that do
definition of small business equipment additional allowances needed with not manufacture equipment would not
manufacturer (i.e., generally fewer than supporting information to show why receive any transition relief directly, but
500 employees for manufacturers of that many allowances are needed. We could import equipment with a flex
most types of equipment). These may approve additional allowances up engine if it is covered by an allowance
allowances would be spread over the to 70 percent of the average annual U.S.- or transition provision associated with a
same four-year period between 2011 and directed production of Class II foreign equipment manufacturer. This
2014. For example, a small-volume equipment from 2007 through 2009. If a would allow transition provisions to be
equipment manufacturer could medium-sized company were granted used by foreign equipment
potentially use Phase 2 engines on all the full amount of additional manufacturers in the same way as
their Class II equipment for two years or allowances, they would have domestic equipment manufacturers, at
they might sell half their Class II allowances equivalent to 100 percent of the option of the foreign manufacturer,
equipment with Phase 2 engines for four the average annual production volume while avoiding the potential for
years assuming production stayed of Class II equipment. importers to inappropriately use
constant over the four years. As noted above, the determination of allowances. For the purposes of this
Medium-sized equipment whether a company is a small- or proposal, a foreign equipment
medium-sized manufacturer will be manufacturer would include any
manufacturers, i.e., companies that
based primarily on production data over equipment manufacturer that produces
produce too much equipment to be
the 2007 through 2009 period submitted equipment outside of the United States
considered a small-volume equipment
to EPA during 2010. After a company’s that is eventually sold in the United
manufacturer but produce fewer than
status as a small- or medium-sized States.
50,000 pieces of Class II equipment,
company has been established based on All foreign equipment manufacturers
may also face difficulties similar to that
that data, EPA is proposing that wishing to use the transition provisions
of small-volume equipment
manufactures would keep that status would have to comply with all
manufacturers. These companies may be
even if a company’s production volume requirements discussed above. Along
like small-volume manufacturers if they
grows during the next few years, such with the equipment manufacturer’s
have numerous product lines with that the company would no longer
varied approaches to installing engines notification described earlier, a foreign
qualify as a small- or medium-sized equipment manufacturer would have to
and mufflers. Other companies may be company. EPA believes that equipment
more like bigger companies if they comply with various compliance related
manufacturers need to know at the provisions similar to those adopted for
produce most of their equipment in a beginning of the transition program (i.e.,
small number of high-volume models or nonroad diesel engines (see
2011) how many allowances they will § 1054.626).81 As part of the
have consistent designs related to receive under the program. Changing a
engine and muffler installations. We are notification, the foreign equipment
company’s size determination during manufacturer would have to:
therefore proposing to create special the program, which could affect the
provisions that would enable us to • Agree to provide EPA with full,
number of allowances available, would complete and immediate access to
increase the number of transition make it difficult for companies to plan
allowances that are available to these conduct inspections and audits;
and could lead to situations where a • Name an agent in the District of
medium-sized companies that have company is in violation of the
annual U.S.-directed production of Columbia for service;
provisions based on the use of • Agree that any enforcement action
Class II equipment of between 5,000 and allowances that were previously
50,000 in each of the three years from related to these provisions would be
allowed. Likewise, if a company is governed by the Clean Air Act;
2007 through 2009. To obtain purchased by another company or
allowances greater than 30 percent of • Submit to the substantive and
merges with another company after the procedural laws of the United States;
average annual production, a medium- determination of small- or medium-size
sized manufacturer would need to • Agree to additional jurisdictional
status is established in 2010, EPA is provisions;
notify us by January 31, 2010 if they proposing that the combined company • Agree that the foreign equipment
believe the standard allowances based could, at its option, keep the status for manufacturer will not seek to detain or
on 30 percent of average annual the individual portions of the combined to impose civil or criminal remedies
production of Class II equipment would company. If the combined company against EPA inspectors or auditors for
not provide adequate lead time starting chooses to keep the individual actions performed within the scope of
in the 2011 model year. Additional designations, the combined company EPA employment related to the
allowances could be requested only if would submit the annual reports on the provisions of this program;
the equipment manufacturer can show use of allowances broken down for each • Agree that the foreign equipment
they are on track to produce a number of the previously separate companies. manufacturer becomes subject to the full
of equipment models representing at (i) Requirements for foreign operation of the administrative and
least half of their total U.S.-directed equipment manufacturers and judicial enforcement powers and
production volume of Class II importers. Under this proposal, only provisions of the United States without
equipment in the 2011 model year companies that manufacture equipment limitation based on sovereign immunity;
compliant with all exhaust and would qualify for the relief provided and
evaporative emission standards. As part under the Phase 3 transition provisions. • Submit all reports or other
of their request, the equipment Foreign equipment manufacturers who documents in the English language, or
manufacturer would need to describe comply with the compliance related include an English language translation.
why more allowances are needed to provisions discussed below would enjoy
accommodate anticipated changes in the same transition provisions as 81 See, for example, 40 CFR 80.410 concerning
engine designs resulting from engine domestic manufacturers. Foreign provisions for foreign refiners with individual
manufacturers’ compliance with equipment manufacturers that do not gasoline sulfur baselines.
In addition to these proposed • The name and address of the manufacturer would need to perform
requirements, we are proposing to manufacturers of the equipment and low-hour emission testing on an engine
require foreign equipment engines the importer expects to import; equipped with their modified exhaust
manufacturers that participate in the and system and demonstrate that it meets
transition program to comply with a • Number of units of equipment with the emission standards after applying
bond requirement for equipment flex engines the importer expects to the engine manufacturer’s deterioration
imported into the United States. We import for each year broken down by factors for the certified engine family.
describe a bond program below that we equipment manufacturer. We would not require production-line
believe could be an important tool for In addition, EPA is proposing that any testing for these engines. The equipment
ensuring that foreign equipment importer electing to import to the manufacturer would be responsible to
manufacturers are subject to the same United States equipment with flex meet all of the other requirements of an
level of enforcement as domestic engines from a complying foreign engine manufacturer under the
equipment manufacturers. Specifically, equipment manufacturer would have to regulations, including labeling,
we believe a bonding requirement for submit annual reports to EPA. The warranty, defect reporting, payment of
the foreign equipment manufacturer is annual report would include the certification fees, and other things. EPA
an important enforcement tool for number of units of equipment with flex requests comments on the usefulness of
ensuring that EPA has the ability to engines the importer actually imported such a provision. EPA also requests
collect any judgments assessed against a to the United States in the previous comments on whether such a simplified
foreign equipment manufacturer for calendar year; and identify the certification provision should expire
violations of these transition provisions. equipment manufacturers and engine after a period of time, for example, after
We request comments on all aspects of manufacturers whose equipment and five years. If the provision were to
the specific program we describe here, engines were imported. expire, an equipment manufacturer
but also on alternative measures that (4) Equipment Manufacturer could continue to certify, but they
would achieve the same goal. Recertification would have to follow the general
Under a bond program, the Generally, it has been engine certification regulations at that point.
participating foreign equipment manufacturers who certify with EPA for (5) Special Provisions Related to
manufacturer would have to maintain a exhaust emissions because the Altitude
bond in the proper amount that is standards are engine-based. However,
payable to satisfy judgments that result because the Phase 3 nonhandheld As described in Section V.C.1, we
from U.S. administrative or judicial standards under consideration are allow manufacturers of handheld and
enforcement actions for conduct in expected to result in the use of catalysts, nonhandheld engines to comply with
violation of the Clean Air Act. The a number of equipment manufacturers, emission standards at high altitudes
foreign equipment manufacturer would especially those that make low-volume using an altitude kit. We are proposing
generally obtain a bond in the proper models, believe it may be necessary to to keep the provisions that already
amount from a third party surety agent produce their own unique engine/ apply in part 90 related to descriptions
that has been listed with the Department muffler designs, but using the same of these altitude kits in the application
of the Treasury. As discussed in catalyst substrate already used in a for certification. This would include a
Sections V.E.6.c and V.E.6.d, EPA is muffler certified by the engine description of how engines comply with
proposing other bond requirements as manufacturer. In this situation, the emission standards at varying
well. An equipment manufacturer engine would not be covered by the atmospheric pressures, a description of
required to post a bond under any of engine manufacturer’s certificate, as the the altitude kits, and the associated part
these provisions would be required to engine/muffler design is not within the numbers. The manufacturer would also
obtain only one bond of the amount specifications for the certified engine. identify the altitude range for which it
specified for those sections. The equipment manufacturer is expects proper engine performance and
In addition to the foreign equipment therefore producing a new distinct emission control with and without the
manufacturer requirements discussed engine which is not certified and needs altitude kit, state that engines will
above, EPA also proposes to require to be certified with EPA. In order to comply with applicable emission
importers of equipment with flex allow the possibility of an equipment standards throughout the useful life
engines from a complying foreign manufacturer certifying an engine/ with the altitude kit installed according
equipment manufacturer to comply with muffler design with EPA, we are to instructions, and include any
certain provisions. EPA believes these proposing a simplified engine supporting information. Finally,
importer provisions are essential to certification process for nonhandheld manufacturers would need to describe a
EPA’s ability to monitor compliance equipment manufacturers (see plan for making information and parts
with the transition provisions. EPA § 1054.612). Under this simplified available such that altitude kits would
proposes that the regulations would certification process, the nonhandheld reasonably be expected to be widely
require each importer to notify EPA equipment manufacturer would need to used in high-altitude areas. For
prior to their initial importation of demonstrate that it is using the same nonhandheld engines, this would
equipment with flex engines. Importers catalyst substrate as the approved involve all counties with elevations
would be required to submit their engine manufacturer’s engine family, substantially above 4,000 feet (see
notification prior to the first calendar provide information on the differences Appendix III to part 1054). This
year in which they intend to import between their engine/exhaust system includes all U.S. counties where 75
equipment with flex engines from a and the engine/exhaust system certified percent of the land mass and 75 percent
complying foreign equipment by the engine manufacturer, and explain of the population are above 4,000 feet
manufacturer. The importer’s why the emissions deterioration data (see 45 FR 5988, January 24, 1980 and
notification would need to include the generated by the engine manufacturer 45 FR 14079, March 4, 1980). For
following information: would be representative for the handheld engines, this would involve
• The name and address of importer equipment manufacturer’s all areas at an elevation at or above that
(and any parent company); configuration. The equipment which they identify in their application
for certification for needing an altitude Established companies are able to do repair, or repair costs at a local
kit to meet emission standards. this with a network of authorized repair nonauthorized service center will be
We are also proposing to require facilities that can access replacement reimbursed.
information related to altitude kits to be parts and properly correct any defects. We believe these proposed
on the emission control information In contrast, we are aware that some requirements are both necessary and
label, unless space limitations prevent manufacturers are selling certified effective for ensuring proper warranty
it. We believe it is important for engines in the United States without coverage for all owners. At the same
operators to know that engines may any such network for processing time, we are proposing a flexible
need to be modified to run properly at warranty claims. As such, owners who approach that allows companies to
high elevations. find that their engines have an choose from widely varying alternatives
We request comment on all aspects of emission-related defect are unable to to provide warranty service. We
this approach for compliance at high- properly file a warranty claim or get therefore believe these proposed
altitude conditions. (See §§ 1054.115, repairs that should be covered by the requirements are readily achievable for
1054.135, 1054.205, and 1054.655.) warranty. In effect, this allows any company. We are therefore
companies to certify their engines and proposing to implement these
(6) Special Provisions for Compliance
agree to provide warranty coverage requirements starting with the 2009
Assurance
without ever paying for legitimate model year. This should allow time for
EPA’s experiences in recent years repairs that should be covered by the the administrative steps necessary to
have highlighted the need for more warranty. We are therefore proposing to arrange for any of the allowable
effective tools for preventing the require that manufacturers demonstrate compliance options described above.
introduction into commerce of several things before we will approve We request comment on these
noncompliant engines. These include certification for their engines (see provisions to ensure proper warranty
noncompliant engines sold without § 90.1103 and § 1054.120). The coverage. We also request comment on
engine labels or with counterfeit engine following provisions would apply to alternative means of demonstrating
labels. We are proposing the special manufacturers who certify engines, and effective warranty coverage comparable
provisions in the following sections to would include importers who certify to that described above.
help us address these problems. engines. First, we are proposing to (c) Bond Requirements Related to
(a) Importation Form require manufacturers to provide and Enforcement and Compliance Assurance
Importation of engines is regulated monitor a toll-free telephone number
Certification initially involves a
both by EPA and U.S. Customs. The and an e-mail address for owners to
variety of requirements to demonstrate
current regulations for U.S. Customs receive information about how to make that engines and equipment are
specify that anyone importing a nonroad a warranty claim and how to make designed to meet applicable emission
engine (or equipment containing a arrangements for authorized repairs. standards. After certification is
nonroad engine) must complete a Second, we are proposing to require complete, however, several important
declaration form before importation. manufacturers to provide a source of obligations apply to the certifying
EPA has created Declaration Form replacement parts within the United manufacturer or importer. For example,
3520–21 for this purpose. Customs States. For imported parts, this would we require ongoing testing of
requires this in many cases, but there require at least one distributor within production engines, warranty coverage
are times when they allow engines to be the United States. for emission-related defects, reporting of
imported without the proper form. It Finally, we are proposing to require recurring defects, and payment of
would be an important advantage for manufacturers to have a network of penalties if there is a violation. For
EPA’s own compliance efforts to be able authorized repair facilities or to take one companies operating within the United
to enforce this requirement. We are of several alternate approaches to ensure States, we are generally able to take
therefore proposing to modify part 90 to that owners will be able to get free steps to communicate clearly and insist
mirror the existing Customs requirement repair work done under warranty. If on compliance with applicable
(and the EPA requirement in § 1068.301) warranty-related repairs are limited to regulations. For companies without staff
for importers to complete and retain the authorized repair facilities, we are or assets in the United States, this is not
declaration form before importing proposing to require that manufacturers the case. Accordingly, we have limited
engines (see § 90.601). This would have enough such facilities that owners ability to enforce these requirements or
facilitate a more straightforward do not have to go more than 100 miles recover any appropriate penalties,
processing of cases in which for repairs. An exception would be which increases the risk of
noncompliant products are brought to a made for remote areas where we would environmental problems as well as
U.S. port for importation because allow for approval of greater travel problems for owners. This creates the
currently no requirement exists for distances for getting repairs as long as potential for a company to gain a
measuring emissions or otherwise the longer travel distance applies to no competitive advantage if they do not
proving that engines are noncompliant more than 10 percent of affected operate in the United States by avoiding
at the port facility. Since this is already owners. For small businesses, start-up some of the costs of complying with
a federal requirement, we are proposing companies, or importers, it may not be EPA regulations.
to make this effective immediately with realistic to maintain a national repair We request comment on a
the final rule. network. We are proposing a variety of requirement for importers of certified
alternative methods for such companies engines and equipment to post a bond
(b) Assurance of Warranty Coverage to meet their warranty obligations. to cover any potential compliance or
Manufacturers of Small SI engines Manufacturers would be able to meet enforcement actions under the Clean Air
subject to the standards are required to warranty obligations by informing Act. Importers would be exempt from
provide an emission-related warranty so owners that free shipping to and from the bond requirement if they were able
owners are able to have repairs done at an authorized service center is available, to sufficiently demonstrate an assurance
no expense for emission-related defects a service technician will be provided to that they would meet any compliance-
during an initial warranty period. come to the owner to make the warranty or enforcement-related obligations. We
would consider adopting provisions to (d) Bond Requirements Related to restriction does not apply if emission
waive the bonding requirement based Recall standards are unchanged for the current
on a variety of specific criteria. For Recall is another potential compliance model year. We have found many
example, importers might show that obligation. The Clean Air Act specifies instances where companies will import
they have physical assets in the United that EPA must require the manufacturer new engines usually installed in
States with a value equal to the retail to conduct a recall if EPA determines equipment and claim that the engine
value of the engines that they will that a substantial number of engines do was built before emission standards
import during the model year (or not conform to the regulations. We have took effect, even if the start date for
equipment that they will import during experience with companies that have emission standards was several years
the model year if they import faced compliance-related problems earlier. We believe many of these
equipment). Also, we may be able to where it was clear that they did not engines were in fact built later than the
establish an objective measure for a have the resources to conduct a recall if named model year, but it is difficult to
company to demonstrate long-term that were necessary. Such companies prove the date of manufacture, which
compliance with applicable regulations. benefit from certification without then makes it difficult to properly
Another alternative might involve a bearing the full range of associated enforce these requirements. Now that
showing that an importer has been obligations. We believe it is appropriate emission standards have been in place
certified under certain industry again to add a requirement to post a for Small SI engines for almost ten
standards for production quality and bond to ensure that a company can meet years, we believe it is appropriate to
regulatory compliance. Finally, we may their recall obligations. The concern for implement a provision that prevents
be able to rely on a company’s being able to meet these obligations new engines manufactured several years
commitment to periodically perform applies similarly to domestic and previously to be imported when more
voluntary in-use testing in the United foreign manufacturers. The biggest recent emission standards have been
States to show that engines comply with indicator of a manufacturer’s ability to adopted. This would prevent companies
emission standards. In addition to these make recall repairs relates to the from importing noncompliant products
specific criteria, we would consider presence of repair facilities in the by inappropriately declaring a
adopting a provision that allows an United States. We are therefore manufacture date that precedes the
individual importer to request a waiver proposing a bond requirement starting point at which the current standards
from bonding requirements based on with the 2009 model year for all started to apply. It would also put a time
that importer’s particular circumstances. manufacturers (including importers) limit on our existing provisions that
If we adopt a bonding requirement, we that do not have assembly facilities in allow for normal inventory management
would expect to apply that starting with the United States that are available for to use the supply of engines from
the 2009 model year. processing recall repairs or a repair previous model years when there has
We would expect the per-engine bond network in the United States capable of been a change in standards.
amount to be $25 for handheld engines processing recall repairs (see § 90.1007 Starting January 1, 2009, we are
and Class I engines. Class II engines and § 1054.685). Note that a single bond proposing to specify that engines and
cover a much wider range of payment would be required for equipment will be treated as having a
applications, so we further differentiate companies that must post bond for model year at most one year earlier than
the bond for those engines. The compliance-related obligations, as the calendar year in which the
proposed per-engine bond amounts for described above, in addition to the importation occurs when there is a
Class II engines would be $50 for recall-related obligations. Such a repair change in emission standards (see
engines between 225 and 740 cc, $100 network would need to involve at least § 90.616 and § 1054.695). For example,
for engines between 740 and 1,000 cc, 100 authorized repair facilities in the for new standards starting in the 2011
and $200 for engines above 1,000 cc. United States or at least one such model year, beginning January 1, 2012,
These values are generally scaled to be facility for each 5,000 engines sold in all imported new products would be
approximately 10 to 15 percent of the the United States, whichever is less. considered 2011 or later model year
retail value. In the case of handheld Companies not meeting these criteria engines and would need to comply with
engines, this is based on the retail value would need to post a bond as described new 2011 standards, regardless of the
of equipment with installed engines, above for compliance assurance. We actual build date of the engines or
since these products are generally would allow these companies to arrange equipment. (Engines or equipment
traded that way. Class II engines are for any applicable recall repairs to be would be considered new unless the
very often sold as loose engines to done at independent facilities. importer demonstrates that the engine
equipment manufacturers, so the or equipment had already been placed
(e) Restrictions Related to Naming
corresponding per-engine bond values into service, as described below.) This
Model Years
are based on the retail value of the would allow a minimum of twelve
engine alone. This approach is similar New exhaust emission standards months for manufactured engines to be
to the bond requirements that apply for apply based on the date of engine shipped to equipment manufacturers,
nonroad diesel engines (see § 1039.626). assembly. We similarly require that installed in equipment and imported
The total bond amount would be equipment manufacturers use engines into the United States. This time
based on the value of imported products meeting emission standards in the same interval would be substantially longer
over a one-year period. If an importer’s model year as equipment based on the for most engines because the engine
bond would be used to satisfy a equipment assembly date. For example, manufacturer’s model year typically
judgment, the importer would then be a manufacturer of a 2007 model year ends well before the end of the calendar
required to increase the amount of the piece of equipment must generally use year. Also, engines produced earlier in
bond within 90 days of the date the a 2007 model year engine. However, we the model year would have that much
bond is used to cover the amount that allow equipment manufacturers to more time to be shipped, installed, and
was used. Also, we would require the deplete their normal inventories of imported.
bond to remain in place for five years engines from the previous model year as Manufacturers have expressed
after the importer no longer imports long as there is no stockpiling of those concern that the one-year limitation on
Small SI engines. earlier engines. We also note that this imported products may be too short
since there are often delays related to evidence would generally include (h) Partially Complete Engines
shipping, inventory, and perhaps most documentary evidence of purchase and As described in Section XI, we are
significantly, unpredictable fluctuations maintenance history and visible wear proposing to clarify engine
in actual sales volumes. We do not that is consistent with the reported manufacturers’ responsibilities for
believe it is appropriate to maintain manufacture date. Importing products certification with respect to partially
long-term inventories of these products for resale or importing more than one complete engines. While this is
outside the United States for eventual engine or piece of equipment at a time intended to establish a path for
importation when it is clear several would generally call for closer secondary engine manufacturers to get
years ahead that the new standards are evaluation to determine that this degree their engines from the original engine
scheduled to take effect. Companies of evidence has been met. manufacturer, we are aware that this
may be able to import these products
(f) Import-Specific Information at will also prevent manufacturers from
shortly after manufacturing and keep
Certification selling partially complete engines as a
their inventories in a U.S. distribution
strategy to circumvent certification
network to avoid the situation of being We are proposing to require requirements. If long blocks or engines
unable to sell these products. We additional information to improve our without fuel systems are introduced into
request comment on the need to extend ability to oversee compliance related to
the one-year limit to account for the U.S. commerce, either the original
imported engines (see § 90.107 and manufacturer or the company
business dynamics. We also request § 1054.205). In the application for
comment on any narrower provisions completing engine assembly would
certification, we are proposing to need to hold a certificate for that engine.
that would allow for exceptions in require the following additional
certain circumstances. For example, information: (1) The port or ports at (7) Using Certified Small SI Engines in
should we consider allowing an which the manufacturer intends to Marine Applications
additional year for products if import the engines, (2) the names and Manufacturers have described
manufacturers let us know ahead of addresses of the agents the manufacturer situations in which Small SI engines are
time that they have certain numbers of has authorized to import the engines, used in marine applications. As
engines or equipment that will not be and (3) the location of the test facilities
imported in time, and they can described in Section III.E.5, we are
in the United States where the proposing to allow certified Small SI
demonstrate that they are not manufacturer would test the engines if
stockpiling or circumventing regulatory engines to be used in outboard or
we select them for testing under a personal watercraft applications without
requirements? selective enforcement audit. This
In years where the standards do not certifying to the Marine SI emission
information should be readily available standards in part 1045. We request
change, this proposed provision would
so we propose to require it for the 2009 comment on the appropriateness of this
have no practical effect because, for
model year. The current regulations in provision. In particular, we request
example, a 2004 model year engine
part 90 do not include these specific comment on the extent to which the
meets the 2006 model year standards.
requirements; however, we do specify proposed provisions will address the
We would treat such an engine as
already that we may select imported unique situations that apply for swamp
compliant based on its 2004 emission
engines at a port of entry. In such a case, boats and other unusual configurations.
label, any emission credit calculations
we would generally direct the
for the 2004 model year, and so on. (8) Other Provisions
These engines could therefore be manufacturer to do testing at a facility
imported anytime until the end of the in the United States. The proposed We are also proposing a variety of
calendar year in which new standards provision allows the manufacturers to changes in the provisions that make up
take effect. Also, because the changes do make these arrangements ahead of time the certification and compliance
not affect importation until there is a rather than relying on EPA’s selection of program. Most of these changes serve
change in the standards, we are a test lab. The current regulations also primarily to align with the regulations
proposing to implement these state clearly in § 90.119 that EPA may we have started to apply to other types
provisions starting with the Phase 3 conduct testing at any facility to of engines.
standards. determine whether engines meet The proposed warranty provisions are
We do not intend for these proposed emission standards. based on the requirements that already
provisions to delay the introduction of (g) Counterfeit Emission Labels apply under 40 CFR part 90. We are
emission standards by one year. It is proposing to add an administrative
still a violation to produce an engine in We have observed that some requirement to describe the provisions
the 2011 calendar year and call it a 2010 importers attempt to import of the emission-related warranty in the
model year engine to avoid being noncompliant products by creating an owners manual. We expect that many
subject to 2011 standards. emission control information label that manufacturers already do this but
Importation of equipment that is not is an imitation of a valid label from believe it is appropriate to require this
new is handled differently. These another company. We are not proposing as a routine practice. (See § 1054.120.)
products would not be required to be to require that certifying manufacturers Testing new engines requires a period of
upgraded to meet new emission take steps to prevent this, but we are engine operation to stabilize emission
standards that started to apply after the proposing to include a provision that levels. The regulations specify two
engine and equipment were specifically allows manufacturers to add separate figures for break-in periods for
manufactured. However, to avoid the appropriate features to prevent purposes of certification testing. First,
situation where companies simply counterfeit labels. This may include the engines are generally operated long
declare that they are importing used engine’s serial number, a hologram, or enough to stabilize emission levels.
equipment to avoid new standards, we some other unique identifying feature. Second, we establish a limit on how
are proposing to require that they We propose to apply this provision much an engine may operate and still be
provide clear and convincing evidence immediately upon completion of the considered a ‘‘low-hour’’ engine. The
that such engines have been placed into final rule since it is an allowance and results of testing with the low-hour
service prior to importation. Such not a requirement (see § 1054.135). engine are compared with a deteriorated
value after some degree of service can do that maintenance during service engines. While this is clearly done with
accumulation to establish a accumulation for certification testing. many engines, it is not clear that the
deterioration factor. For Marine SI We are aware that Small SI engines are experience is common enough that we
engines, we are proposing that the predominantly operated by homeowners would consider it to be routine, and
engine can be presumed to have with widely varying practices in therefore appropriate for certification
stabilized emission levels after 12 hours servicing their lawn and garden engines. Since the cost of equipment,
of engine operation, with a provision equipment. As such, achieving a rate of the types of jobs performed, and the
allowing approval for more time if 80 percent may be possible only for the operating lifetime varies dramatically
needed, and we generally require that most obvious maintenance steps. We are for Class I and Class II engines,
low-hour test engines have no more therefore proposing a more commenters should distinguish between
than 30 hours of engine operation. accommodating approach for Small SI in-use maintenance that is done by
However, given the shorter useful life engines. In particular, we are proposing engine class as much as possible. We
for many Small SI engines, this would to allow manufacturers to perform a may, for example, conclude that owners
not make for a meaningful process for maintenance step during certification of riding mowers and other Class II
establishing deterioration factors. For based on information showing that 60 to equipment routinely replace air filters to
example, emission levels in Small SI 80 percent of in-use engines get the keep their equipment operating
engines may not stabilize before specified maintenance at the properly, while owners of walk-behind
deterioration begins to affect emission recommended interval. We would mowers and other Class I equipment are
levels, which would prevent the engine approve the use of such maintenance more likely to treat their equipment as
from ever truly having stabilized based on the relative effect on a disposable product and therefore not
emission levels. Also, the low-hour performance and emissions. For replace the air filter.
emission test should occur early enough example, we may allow scheduled fuel- We are proposing to define criteria for
to adequately represent the deterioration injector replacement if survey data show establishing engine families that are
over the engine’s lifetime. this is done at the recommended very similar to what is currently
We are proposing that Small SI interval for 65 percent of engines and specified in 40 CFR part 90. We are
engines with a useful life above 300 performance degradation is shown to be proposing to require that engines with
hours can be presumed stable after 12 roughly proportional to the degradation turbochargers be in a different family
hours with low-hour testing generally in emission control for engines that do than naturally aspirated engines since
occurring after no more than 24 hours not have their fuel injectors replaced. that would be likely to substantially
of engine operation. For Small SI change the engine’s emission
engines with useful life below 300 One maintenance step of particular characteristics. Very few if any Small SI
hours, we are proposing a combination interest will be replacement of air engines are turbocharged today so this
of provisions to address this concern. filters. In larger spark-ignition engines, change will not be disruptive. We are
First, we are proposing to allow we don’t treat replacement of air filters also specifying that engines must have
manufacturers to establish a as critical emission-related the same number, arrangement, and
stabilization period that is less than 12 maintenance, largely because those approximate bore diameter of cylinders.
hours without showing that emission engines have feedback controls to This will help us avoid the situation
levels have fully stabilized (see compensate for changes in varying where manufacturers argue that engines
§ 1054.501). Second, we propose to pressure drop across the air filter. with substantially different engine
specify that low-hour testing must However, for Small SI engines varying blocks should be in the same engine
generally occur after no more than 15 air flow through the air filter has a family. We would expect to implement
hours of engine operation (see direct effect on the engine’s air-fuel this provision consistent with the
§ 1054.801). This allows some ratio, which in turn directly affects the approach adopted by California ARB in
substantial time for break-in, engine’s emission rates for each of the which they limit engine families to
stabilization, and running multiple regulated pollutants. Service include no more than 15 percent
tests, without approaching a significant accumulation generally takes place in variation in total engine displacement.
fraction of the useful life. Third, we are laboratory conditions with far less Similarly, the current regulations in part
proposing that manufacturers debris, dust, or other ambient particles 90 do not provide a clear way of
consistently test low-hour production- that would cause filter loading, so filter distinguishing engine families by
line engines (and emission-data engines changes should be unnecessary to cylinder dimensions (bore and stroke)
in the case of carryover deterioration address this conventional concern. We so we are also proposing to change part
factors for certification) using the same are concerned that the greater affect is 90 to limit the variation in displacement
degree of service accumulation to avoid from fuel and oil that may deposit on within an engine family to 15 percent.
inaccurate application of deterioration the back side of the filter, especially (See § 1054.230 and § 90.116.)
factors (see § 1054.301). from crankcase ventilation into the The test procedures for Small SI
As described in Section VII.C, we are intake. If filters are changed before an engines are designed for engines
proposing to clarify the maintenance emission test, this effect will go operating in constant-speed
that manufacturers may perform during undetected. If filter changes are applications. This covers the large
service accumulation as part of the disallowed before emission testing, majority of affected equipment;
certification process. The general manufacturers would need to design however, we are aware that engines
approach is to allow any amount of their intake systems to prevent internal installed in some types of equipment,
maintenance that is not emission- filter contamination. We request such as small utility vehicles or go carts,
related, but to allow emission-related comment on the need for replacing air are not governed to operate only at a
maintenance only if it is a routine filters, the effect on emission levels, and single rated speed. These engines would
practice with in-use engines. In most of on the extent of change that would be be certified based on their emission
our emission control programs we needed to prevent filter contamination control over the constant-speed duty
specify that 80 percent of in-use engines from recirculating crankcase gases. We cycle even though they do not
should undergo a particular also request comment on the extent to experience constant-speed operation in
maintenance step before manufacturers which air filters are changed with in-use use. We are not prepared to propose a
new duty cycle for these engines but we compliance requirements of the options, based on the recommendations
are proposing to require engine proposed rule, including an estimate of of the Panel, are described below.
manufacturers to explain how their the classes of small entities that will be
(2) Proposed Burden Reduction
emission control strategy is not a defeat subject to the requirements and the type
Approaches for Small-Volume
device in the application for of professional skills necessary for
Nonhandheld Engine Manufacturers
certification. For example, if engines preparation of the report or record;
will routinely experience in-use • An identification, to the extent We are proposing several provisions
operation that differs from the specified practicable, of all relevant Federal rules for small business nonhandheld engine
duty cycle for certification, the that may duplicate, overlap, or conflict manufacturers. The purpose of these
manufacturer should describe how the with the proposed rule; and provisions is to reduce the burden on
fuel-metering system responds to • A description of any significant companies for which fixed costs cannot
varying speeds and loads not alternative to the proposed rule that be distributed over a large number of
represented by the duty cycle. We are accomplishes the stated objectives of engines. We request comment on the
also proposing to require that engine applicable statutes and that minimizes appropriateness of these provisions
distributors and equipment any significant economic impact of the which are described in detail below.
manufacturers that replace installed proposed rule on small entities. Under EPA’s current Phase 2
governors must have a reasonable The report of the Panel has been regulations, EPA provided a number of
technical basis for believing that the placed in the rulemaking record for this provisions for small-volume engine
effectiveness of the modified engine’s proposal. manufacturers. For the Phase 2
emission controls over the expected In addition to EPA’s Director of the regulations, the criteria for determining
range of in-use operation will be similar Office of Regulatory Management and if a company was a ‘‘small-volume
to that measured over the specified duty Information who acted as chairperson, engine manufacturer’’ was based on
cycle (see § 1054.650). This may require the Panel consisted of the Director of the whether the company projected at time
test data. While this does not require a EPA’s Assessment and Standards of certification to have production of no
new certificate of conformity, it may Division of the Office of Transportation more than 10,000 nonhandheld engines
require testing to confirm that the and Air Quality, the Administrator of per year (excluding engines sold in
engine modification should not be the Office of Management and Budget’s California that are subject to the
considered tampering. In addition, we Office of Information and Regulatory California ARB standards). Based on
would require that engine distributors Affairs, and the Chief Counsel for past experience, EPA believes that
and equipment manufacturers notify the Advocacy of the Small Business determining the applicability of the
engine manufacturer before modifying Administration. provisions based on number of
the engine, follow any instructions from Using definitions provided by the employees, as compared to volume of
the engine manufacturer related to the Small Business Administration (SBA), products, can be more problematic
emission control system, and avoid companies that manufacture internal- given the nature of the workforce in
making any other changes to the engine combustion engines and that employ terms of full-time, part-time, contract,
that would remove it from its certified fewer than 1,000 people are considered overseas versus domestic, and parent
configuration. We request comment on small businesses for the SBAR Panel. companies. EPA believes it can avoid
these provisions. Companies that manufacture equipment these potential complications and still
F. Small Business Provisions and that employ fewer than 500 people, provide relief to nearly all small
or fewer than 750 people for businesses by continuing to use the
(1) Small Business Advocacy Review manufacturers of construction annual sales criteria for determining
Panel equipment, or fewer than 1,000 people which entities qualify as a small volume
On August 17, 2006, we convened a for manufacturers of generators, are engine manufacturer under the Phase 3
Small Business Advocacy Review Panel considered small businesses for the program. For these reasons, EPA is
(SBAR Panel or the Panel) under section SBAR Panel. Based on this information, proposing to retain the current
609(b) of the Regulatory Flexibility Act we asked 25 companies that met the production-based criteria for
(RFA), as amended by the Small SBA small business thresholds to serve determining who is a small-volume
Business Regulatory Enforcement as small entity representatives for the engine manufacturer and, as a result,
Fairness Act of 1996 (SBREFA). The duration of the Panel process. Of these eligible for the Phase 3 flexibilities
purpose of the Panel was to collect the 25 companies, 14 of them represented a described below (see § 1054.801).
advice and recommendations of cross-section of Small SI engine Based on confidential sales data
representatives of small entities that manufacturers, equipment provided to EPA by engine
could be affected by this proposed rule manufacturers, and fuel system manufacturers, the 10,000 unit cut-off
and to prepare a report containing the component manufacturers. (The rest of for engine manufacturers would include
Panel’s recommendations for small the companies were involved in the all of the small business engine
entity flexibilities based on those Marine SI market.) manufacturers currently identified using
comments, as well as on the Panel’s With input from small entity SBA’s employee-based definition. To
findings and recommendations representatives, the Panel drafted a ensure all small businesses have access
regarding the elements of the Initial report providing findings and to the flexibilities described below, EPA
Regulatory Flexibility Analysis (IRFA) recommendations to us on how to is also proposing to allow engine
under section 603 of the RFA. Those reduce the potential burden on small manufacturers which exceed the
elements of an IRFA are: businesses that may occur as a result of production cut-off level noted above but
• A description of, and where this proposed rule. The Panel report is have fewer than 1,000 employees to
feasible, an estimate of the number of included in the rulemaking record for request treatment as a small-volume
small entities to which the proposed this proposal. In light of the Panel engine manufacturer (see § 1054.635). In
rule will apply; report, and where appropriate, we have such a case, the manufacturer would
• A description of projected identified provisions anticipated for the need to provide information to EPA
reporting, recordkeeping, and other proposed rule. The proposed flexibility demonstrating that the manufacturer has
fewer employees than the 1,000 cut-off volume engine manufacturers with a provide a description of the proposed
level. requirement to test one production hardship provisions that would apply to
If a small-volume engine engine per year. nonhandheld engine manufacturers.
manufacturer grows over time and
exceeds the production volume limit of (c) Additional Lead Time (3) Proposed Burden Reduction
10,000 nonhandheld engines per year, We are proposing that small-volume Approaches for Small-Volume
the engine manufacturer would no engine manufacturers could delay Nonhandheld Equipment Manufacturers
longer be eligible for the small volume implementation of the Phase 3 exhaust We are proposing three provisions for
flexibilities. However, because some of emission standards for two years (see small-volume nonhandheld equipment
the flexibilities described below provide § 1054.145). Small-volume engine manufacturers. The purpose of these
manufacturers with the ability to avoid manufacturers would be required to provisions is to reduce the burden on
certain testing such as durability testing comply with the Phase 3 exhaust companies for which fixed costs cannot
or production line testing, it may be emission standards beginning in model be distributed over large sales volumes.
difficult for a manufacturer to fully year 2014 for Class I engines and model We are offering these provisions because
comply with all of the testing year 2013 for Class II engines. Under equipment manufacturers may need
requirements immediately upon losing this approach, manufacturers would be more lead time to redesign their
its small-volume status. In such cases, able to apply this delay to all of their equipment to accommodate the new
EPA is proposing that the engine nonhandheld engines or to just a Phase 3 engine designs. We request
manufacturer would be able to contact portion of their production. For those comment on the appropriateness of the
EPA and request additional time, engine families that are certified to meet flexibilities described below.
subject to EPA approval, to meet the the Phase 3 standards prior to these Under EPA’s current Phase 2
testing requirements that generally delayed dates by selecting an FEL at or regulations, EPA provided a number of
apply to engine manufacturers. below the Phase 3 standards, small lead time provisions for small-volume
volume engine manufacturers could equipment manufacturers. For the Phase
(a) Assigned Deterioration Factors generate early Phase 3 credits (as 2 regulations, the criteria for
We are proposing that small-volume discussed in Section V.C.3) through the determining if a company was a ‘‘small-
engine manufacturers may rely on an 2013 model year for Class I engines and volume equipment manufacturer’’ was
assigned deterioration factor to through the 2012 model years for Class based on whether the company
demonstrate compliance with the II engines. This option provides more produced fewer than 5,000
standards for the purposes of lead time for small-volume engine nonhandheld pieces of equipment per
certification rather than doing service manufacturers to redesign their year (excluding equipment sold in
accumulation and additional testing to products. They would also be able to California that are subject to the
measure deteriorated emission levels at learn from some of the hurdles California ARB standards). For the same
the end of the regulatory useful life (see overcome by larger manufacturers. reasons noted above for engine
§ 1054.240). EPA is not proposing actual manufacturers, EPA is proposing to
levels for the assigned deterioration (d) Broad Engine Families retain the current production-based
factors with this proposal. EPA intends We are also proposing that small- criteria for determining who is a small-
to analyze emissions deterioration volume engine manufacturers may use a volume equipment manufacturer and, as
information that becomes available over broader definition of engine family for a result, eligible for the Phase 3
the next few years to determine what certification purposes. Under the flexibilities described below (see
deterioration factors would be existing engine family criteria specified § 1054.801). The determination of which
appropriate for nonhandheld engines. in the regulations, manufacturers group companies qualify as small-volume
This is likely to include deterioration their various engine lines into engine equipment manufacturers for the
data for engines certified to comply with families that have similar design purposes of the flexibilities described
California ARB’s Tier 3 standards and characteristics including the below would be based on the annual
engines certified early to EPA’s Phase 3 combustion cycle, cooling system, U.S.-directed production of
standards. Prior to the implementation cylinder configuration, number of nonhandheld equipment in each of the
date for the Phase 3 standards, EPA will cylinders, engine class, valve location, three years from 2007 through 2009.
provide guidance to engine fuel type, aftertreatment design, and Based on estimated sales data for
manufacturers specifying the levels of useful life category. We are proposing to equipment manufacturers, EPA believes
the assigned deterioration factors for allow small-volume engine the 5,000 unit cut-off for equipment
small-volume engine manufacturers. manufacturers to group all of their manufacturers would include almost all
Small SI engines into a single engine of the small business equipment
(b) Exemption From Production-Line manufacturers using SBA’s employee-
family for certification by engine class
Testing based definition. However to ensure all
and useful life category, subject to good
We are proposing that small-volume engineering judgment (see § 1054.230). small businesses have access to the
engine manufacturers would be exempt flexibilities described below, EPA is
from the production-line testing (e) Hardship Provisions also proposing to allow equipment
requirements (see § 1054.301). While we We are also proposing two types of manufacturers which exceed the
are proposing to exempt small-volume hardship provisions for nonhandheld production cut-off level noted above but
engine manufacturers from production engine manufacturers consistent with have fewer than 500 employees for
line testing, we believe requiring limited the Panel recommendations. The first equipment manufacturers, or 750
production-line testing could be type of hardship is an unusual employees for construction equipment
beneficial to implement the ongoing circumstances hardship which would be manufacturers, or 1,000 employees for
obligation to ensure that production available to all businesses, regardless of generator manufacturers, to request
engines are complying with the size. The second type of hardship is an treatment as a small-volume equipment
standards. Therefore, we request economic hardship provision which manufacturer (see § 1054.635). In such a
comment on the alternative of applying would be available to small businesses case, the manufacturer would need to
limited production-line testing to small- only. Sections VIII.C.8 and VIII.C.9 provide information to EPA
demonstrating that the manufacturer has G. Technological Feasibility more stringent Phase 3 CO emission
fewer employees than the applicable standard of 5.0 g/kW-hr. This would
(1) Level of Standards
employee cut-off level. apply equally to all sizes of engines
We are proposing new, more stringent subject to the Class I and II Small SI
(a) Additional Lead Time exhaust HC+NOX standards for Class I standards, with implementation dates as
and II Small SI engines. We are also described above relative to Class I and
As described in Section V.E.3., EPA is proposing a new CO standard for Small
proposing a transition program for all Class II engines.
SI engines used in marine generator
equipment manufacturers that produce applications. (3) Technological Approaches
Class II equipment. Under that program, In the 2005 model year manufacturers
equipment manufacturers can install Our feasibility assessment began by
certified over 500 Class I and II engine evaluating the emissions performance of
Phase 2 engines in limited numbers of families to the Phase 2 standards using current technology for Small SI engines
Class II equipment over the first four a variety of engine designs and emission and equipment. These initial efforts
years the Phase 3 standards apply (i.e., control technology. All Class I engines focused on developing a baseline for
2011 through 2014). The number of were produced using carbureted air-fuel emissions and general engine
equipment that can use Phase 2 engines induction systems. A small number of performance so that we could assess the
is based on 30 percent of an average engines used catalyst-based emission potential for new emission standards for
annual production level of Class II control technology. Similarly, Class II
engines and equipment in this category.
equipment. To implement this two-year engines were predominately carbureted.
This process involved laboratory and
extension for small-volume equipment A limited number of these engines used
field evaluations of the current engines
manufacturers within the context of the catalyst technology, electronic engine
and equipment. We reviewed
transition program for equipment controls and fuel injection, or were
engineering information and data on
manufacturers, EPA is proposing that water cooled. In both classes, several
existing engine designs and their
small-volume manufacturers may use engine families were certified at levels
emissions performance. Patents of
Phase 2 engines at a level of 200 percent that would comply with the proposed
existing catalyst/muffler designs for
of an average annual production level of Phase 3 standards. Also, a number of
Class I engines were also reviewed. We
Class II equipment. Small-volume families were very close to the proposed
engaged engine manufacturers and
equipment manufacturers could use emission standards. This suggests that,
suppliers of emission control-related
these allowances over the four year even accounting for the relative increase
engine components in discussions
period of the transition program (see in stringency associated with our
regarding recent and expected advances
§ 1054.625). Therefore, a small-volume proposed Phase 3 requirements, a
in emissions performance beyond that
number of families either will not need
equipment manufacturer could required to comply with the current
to do anything or will require only
potentially use Phase 2 engines on all Phase 2 standards. Finally, we
modest reductions in their emission
their Class II equipment for two years, purchased catalyst/muffler units that
performance to meet the proposed
consistent with the SBAR Panel’s were already in mass production by an
standards. However, many engine
recommendation, or they might, for original equipment manufacturer for use
families clearly will have to do more to
example, sell half their Class II on European walk-behind lawn mowers
improve their emissions performance.
equipment with Phase 2 engines for four Based on our own testing of advanced and conducted engineering and
years assuming sales stay constant over technology for these engines, our chemical analyses on the design and
time. engineering assessments, and statements materials of those units.
from the affected industry, we believe We used the information and
(b) Simplified Certification Procedure experience gathered in the above effort
the proposed requirements will require
We are proposing a simplified engine many engine manufacturers to adopt along with the previous catalyst design
certification procedure for all exhaust aftertreatment technology using experience of our engineering staff, to
equipment manufacturers, including catalyst-based systems. Other likely design and build prototype catalyst-
small-volume equipment manufacturers. changes include improved engine based emission control systems that
See Section V.E.4 for further discussion designs and fuel delivery systems. were capable of effectively and safely
of this provision. Finally, adding electronic controls or achieving the proposed Phase 3
fuel injection systems may obviate the requirement based on dynamometer and
(c) Hardship Provisions need for catalytic aftertreatment for field testing. We also used the
some engine families, with the most information and the results of our
Because nonhandheld equipment engine testing to assess the potential
manufacturers in many cases depend on likely candidates being multi-cylinder
engine designs. need for improvements to engine and
engine manufacturers to supply certified fuel system designs, and the selective
engines in time to produce complying (2) Implementation Dates use of electronic engine controls and
equipment, we are also proposing a We are proposing HC+NOX exhaust fuel injection on some engine types. A
hardship provision for all nonhandheld emission standards of 10.0 g/kW-hr for great deal of this effort was conducted
equipment manufacturers, regardless of Class I engines starting in the 2012 in association with our more exhaustive
size. The proposed hardship would model year and 8.0 g/kW-hr for Class II study regarding the efficacy and safety
allow the manufacturer to request more engines starting in the 2011 model year. of implementing advanced exhaust
time if they are unable to obtain a For both classes of nonhandheld emission controls on Small SI engines,
certified engine and they are not at fault engines, we are proposing to maintain as well as new evaporative requirements
and would face serious economic the existing CO standard of 610 g/kW- for these engines. In other testing, we
hardship without an extension (see hr. We expect manufacturers to meet evaluated advanced emission controls
§ 1068.255). Section VIII.C.10 provides a these standards by improving engine on a multi-cylinder Class II engine with
description of the proposed hardship combustion and adding catalysts. electronic fuel injection. The results of
provision that would apply to For spark-ignition engines used in that study are also discussed in Section
nonhandheld equipment manufacturers. marine generators, we are proposing a XII.
In our test program to assess the malfunctioning cylinder would combine applications that employ more
feasibility of achieving the proposed with hot exhaust gases from the other, sophisticated and expensive
Phase 3 HC+NOX standard, we properly operating cylinder. This automotive-based components.
evaluated 15 Class I engines of varying condition would create high Finally, there are a number of Class II
displacements and valve-train designs. temperatures within the muffler system engines that use gaseous fuels (i.e.,
Each of these engines was equipped as the unburned fuel and air charge liquid propane gas or compressed
with a catalyst-based control system and from the misfiring cylinder combusts natural gas). Based on our engineering
all achieved the applicable standard at within the exhaust system. This could evaluation of current and likely
the end of their regulatory useful lives. potentially destroy the catalyst. emission control technology for these
Our work also suggests that One solution is simply to have a engines, we conclude that there are no
manufacturers of Class I engines may separate catalyst/muffler for each special concerns relative to achieving
also need to improve the durability of cylinder. Another solution is to employ the proposed Phase 3 HC+NOX
their basic engine designs, ignition electronic engine controls to monitor standard.
systems, or fuel metering systems for ignition and put the engine into ‘‘limp- Turning to the proposed Phase 3 CO
some engines in order to comply with mode’’ until necessary repairs are made. standard for Class I and II Small SI
the emission regulations. For engines using carburetors, this engines used in marine generator
We tested five single-cylinder, would effectively require the addition of applications, these engines have several
overhead-valve Class II engines with electronic controls. For engines rather unique design considerations that
prototype catalyst/muffler control employing electronic fuel injection that are relevant to achieving the proposed
systems. Three of the engines were may need to add a small catalyst, it CO standard. Marine generator engines
carbureted and two were equipped with would require that the electronic are designed to operate for very long
electronic engine and fuel controls. This controls incorporate ignition misfire periods. Manufacturers generally design
latter technology improves the detection if they do not already utilize the engines to operate at lower loads to
management of air-fuel mixtures and the inherent capabilities within the accommodate continuous operation.
ignition spark timing. This itself can engine management system.
Manufacturers also design them to take
reduce engine-out emissions relative to As described earlier, we also expect
advantage of the cooling available from
a carbureted system and also allows the some engine families may use electronic
fuel injection to meet the proposed the water in the lake or river where the
use of larger catalyst volumes and
Phase 3 standard without employing boat is operating (seawater). By routing
higher precious metal loading. Each of
catalytic aftertreatment. Engine families seawater through the engine block, or
the engines achieved the requisite
that already use these fuel metering using a heat exchanger that transfers
emission limit for HC+NOX (e.g., 8.0 g/
systems and are reasonably close to heat from the engine coolant to the
kW-hr). Based on this work and
complying with the proposed seawater, manufacturers are able to
information from one manufacturer of
requirement are likely to need only maintain engine temperatures as well or
emission controls, we believe that either
additional calibration changes to the better than automotive engines. Stable
a catalyst-based system or electronic
engine controls appear sufficient to engine management system for temperatures in the engine block make
meet the standard. Nonetheless, some compliance. In addition, we expect that a very significant difference in engine
applications may require the use of both some engine families which currently operation, enabling much less distortion
technologies. Finally, similarly to Class use carbureted fuel systems will convert of the cylinders and a much more
I engines, we found that manufacturers directly to electronic fuel injection. consistent combustion event. These
of Class II engines may also need to Manufacturers may adopt this strategy operating characteristics make it
improve the durability of their ignition to couple achieving the standard possible to introduce advanced
systems or fuel metering systems for without a catalyst and realizing other technology for controlling emissions.
some engines in order to comply with advantages of using fuel injection such Manufacturers also use this cooling
the emission regulations. as easier starting, more stable and water in a jacketing system around the
Multi-cylinder Class II engines are reliable engine operation, and reduced exhaust in order to minimize surface
very similar to their single-cylinder fuel consumption. temperatures and reduce the risk of fires
counterparts regarding engine design Our evaluation of electronic fuel on boats.
and combustion characteristics. There injection systems that could be used to The vast majority of gasoline marine
are no multi-cylinder Class I engines. attain the proposed standard found that generators are produced by two engine
Base on these attributes and our testing a rather simple, low-cost system should manufacturers. Recently, these two
of two twin-cylinder engines, we be sufficient. We demonstrated this manufacturers have announced that
conclude that the proposed Phase 3 proof of concept as part of the engine they are converting their marine
HC+NOX standard is technically test program we conducted for our generator product lines to new designs
feasible. safety study. In that program, we fitted which can achieve more than a 99
Nonetheless, we also found that two single-cylinder Class II engines with percent reduction in CO emissions.
multi-cylinder engines may present an electronic control unit and fuel These manufacturers stated that this
unique concern with the application of system components developed for Asian action is to reduce the risk of CO
catalytic control technology under motor-scooters and small-displacement poisoning and is a result of boat builder
atypical operation conditions. More motorcycles. The sensors for the system demand. These low CO emission
specifically, the concern relates to the were minimized to include a throttle designs used closed-loop electronic fuel
potential consequences of combustion position sensor, air charge temperature injection and catalytic control. Both of
misfire or a complete lack of sensor, oil temperature sensor, manifold these manufacturers have certified some
combustion in one of the two or more absolute pressure sensor, and a low CO engines and have expressed
cylinders when a single catalyst/muffler crankshaft position sensor. This is in their intent to convert their full product
design is used. A single muffler is contrast to the original equipment lines in the near future. These
typically used in Class II applications. manufacturer fuel injection systems manufacturers also make use of
In a single-catalyst system, the currently used in some equipment with electronic controls to monitor catalyst
unburned fuel and air mixture from the two-cylinder Class II engine function.
(4) Consideration of Regulatory proposed standards with a mix of three- based on SHED testing of complete
Alternatives way catalysts packaged in the mufflers vehicles.82 As a result, motor vehicle
In developing the proposed emission and fuel-injection systems. Test data manufacturers must control diurnal
standards, we considered what was using readily available technologies emissions, permeation through all fuel-
achievable with catalyst technology. have demonstrated the feasibility of system components, running loss
Our technology assessment work achieving the proposed emission levels. emissions, refueling vapor
indicated that the proposed emission As discussed in Section X, we do not displacement, refueling spitback, and to
standards are feasible in the context of believe the proposed standards would some extent, spillage. We recently
provisions for establishing emission have negative effects on energy, noise, established evaporative emission
standards prescribed in section 213 of or safety and may lead to some positive standards for recreational vehicles and
the Clean Air Act. We also considered effects. Large SI engines (67 FR 68242,
what could be achieved with larger, VI. Evaporative Emissions November 8, 2002). These standards
more efficient catalysts and improved include permeation requirements for
fuel induction systems. In particular, A. Overview fuel tanks and fuel lines. In addition,
Chapter 4 of the Draft RIA presents data Evaporative emissions refer to equipment using Large SI engines must
on Class I engines with more active hydrocarbons released into the control diurnal emissions and running
catalysts and on Class II engines with atmosphere when gasoline or other losses. Fuel systems used with Small SI
closed-loop control fuel injection volatile fuels escape from a fuel system. engines and Marine SI engines are not
systems in addition to a catalyst. In both The primary source of evaporative yet subject to evaporative emission
cases larger emission reductions were emissions from nonroad gasoline standards.
achieved. engines and equipment is known as In August 2002, we proposed
Based on this work we considered permeation, which occurs when fuel permeation and diurnal emission
HC+NOX standards which would have penetrates the material used in the fuel standards for fuel systems related to
involved a 50 percent reduction for system and reaches the ambient air. Marine SI engines (67 FR 53050, August
Class I engines and a 65–70 percent This is especially common through 14, 2002). We finalized other portions of
reduction for Class II engines. Chapter rubber and plastic fuel-system that proposal but chose to delay
11 of the Draft RIA evaluates these components such as fuel lines and fuel promulgation of Marine SI evaporative
alternatives, including an assessment of tanks. Diurnal emissions are another standards. At the time of the earlier
the overall technology and costs of important source of evaporative proposal there were still open issues
meeting more stringent standards. For emissions. Diurnal emissions occur as regarding emission control technologies
Class I engines a 50 percent reduction the fuel heats up due to increases in for rotational-molded fuel tanks and for
standard would require base engine ambient temperature. As the fuel heats, pressurizing fuel tanks as a diurnal
changes not necessarily involved with liquid fuel evaporates into the vapor emission control strategy. Since then,
the standards we are proposing and the space inside the tank. In a sealed tank, EPA has continued gathering
use of a more active catalyst. For Class these vapors would increase the information and performing tests on
II engines this would require the pressure inside the tank; however, most new technologies that could be used to
widespread use of closed loop control tanks are vented to prevent this pressure address these issues. In this notice we
fuel injection systems rather than buildup. The evaporating fuel therefore are updating the proposed evaporative
carburetors, some additional engine drives vapors out of the tank into the emission standards for Marine SI fuel
upgrades, and the use three-way atmosphere. Diffusion emissions occur systems. The standards in this proposal
catalysts. We believe it is not when vapor escapes the fuel tank incorporate this new information.
appropriate at this time to propose more through an opening as a result of We are also proposing standards for
stringent exhaust emission standards for random molecular motion, independent controlling evaporative emissions from
Small SI engines. Our key concern is of changing temperature. Running loss fuel systems used with Small SI
lead time. More stringent standards emissions are similar to diurnal engines. These proposed standards
would require three to five years of lead emissions except that vapors escape the include requirements for controlling
time beyond the 2011 model year start fuel tank as a result of heating from the permeation, diffusion, and running loss
date we are proposing for the program. engine or some other source of heat emissions.
We believe it would be more effective to during operation rather than from B. Fuel Systems Covered by This Rule
implement the proposed Phase 3 normal daily temperature changes.
standards to achieve near-term emission Refueling losses are vapors that are The proposed evaporative emission
reductions needed to reduce ozone displaced from the fuel tank to the standards would apply to fuel systems
precursor emissions and to minimize atmosphere when someone fills a fuel for both Small SI engines and Marine SI
growth in the Small SI exhaust tank. Refueling spitback is the spattering engines. The marine standards apply to
emissions inventory in the post 2010 of liquid fuel droplets coming out of the fuel systems related to both propulsion
time frame. More efficient catalysts, filler neck during a refueling event. and auxiliary engines. In some cases,
engine improvements, and closed loop Spillage is fuel that is spilled while specific standards are proposed only for
electronic fuel injection could be the refueling. Regulatory provisions to set certain types of equipment, as described
basis for more stringent Phase 4 standards for several of these types of below. These standards would apply
emission standards at some point in the evaporative emissions effectively define only to new products, as described in
future. the terms for establishing the specific Section VII.A.
test procedures for measuring We are proposing to write the
(5) Our Conclusions emissions. See the proposed regulatory regulations related to evaporative
We believe the proposed Phase 3 text for more information. emission standards in 40 CFR part 1060,
exhaust emission standards for This proposal is part of a larger effort 82 An entire vehicle is placed in a SHED (Sealed
nonhandheld Small SI engines will to control evaporative emissions from Housing for Evaporative Determination) and total
achieve significant emission reductions. all mobile sources. Motor vehicles have evaporative emissions are measured over prescribed
Manufacturers will likely meet the stringent evaporative emission controls test cycles.
which is devoted to evaporative permeation standard. We request compliance. Equipment manufacturers

emission controls from nonroad engines comment on the appropriateness of and boat builders would then be able to
and equipment. The exhaust standard- applying permeation standards to filler purchase certified fuel-system
setting part (part 1045 for Marine SI and necks, vapor lines and vent lines for components rather than doing all their
part 1054 for Small SI) defines the Small SI engines and Marine SI engines. own testing on individual components
emission standards, but references part One special note applies to fuel or whole systems to demonstrate
1060 for certification and testing systems for auxiliary marine engines. compliance with every requirement. In
procedures, in addition to definitions, These engines must meet exhaust contrast, controlling running loss
compliance-related issues, and other emission standards that apply to land- emissions cannot be done on a
special provisions. Section VII describes based engines. This is appropriate component basis so we are proposing to
further how the different parts work because these engines, typically used to require engine or equipment
together in the certification process. power generators, operate more like manufacturers to certify that they meet
Also, as described in Section XI, we are land-based engines than like marine the running loss standard. We would
proposing to allow component propulsion engines. For evaporative otherwise expect most equipment
manufacturers and some equipment emissions, however, it is important that manufacturers to simply identify a range
manufacturers to certify products under the fuel systems for propulsion and of certified components and install the
the provisions of part 1060 with respect auxiliary engines be subject to the same components as directed by the
to recreational vehicles. We also plan to standards because these engines component manufacturer to
clarify in a separate action that marine typically draw fuel from a common fuel demonstrate compliance with the
and land-based compression-ignition tank and share other fuel-system proposed emission standards.
engines that operate on volatile liquid components. We are therefore proposing Second, a great deal of diversity exists
fuels (such as methanol or ethanol) are to apply the Marine SI evaporative in fuel-system designs (hose lengths,
subject to evaporative requirements emission standards and certification tank sizes/shapes, number of
related to part 1060. The draft requirements to the fuel systems for connections, etc.). In most cases, the
regulations in part 1060 describe how both auxiliary and propulsion marine specific equipment types are low-
those provisions would apply for engines on marine vessels. volume production runs so sales would
compression-ignition engines, but these Our evaporative emission standards not be large enough to cover the expense
regulations impose no obligations until for automotive applications are based on of SHED-type testing. Third, there are
we adopt those as requirements in a a comprehensive measurement from the similarities in fuel lines and tanks that
separate rulemaking. whole vehicle. However, the allow for component data to be used
The following definitions are evaporative standards in this proposal broadly across products in spite of
important in establishing which are generally based on individual fuel- extensive variety in the geometry and
components would be covered by the system components. For instance, we design of fuel systems. Fourth, many
proposed standards: ‘‘evaporative,’’ are proposing permeation standards for equipment types, primarily boats,
‘‘fuel system,’’ ‘‘fuel line,’’ ‘‘portable fuel lines and fuel tanks rather than for would not fit in standard-size SHEDs
nonroad fuel tank,’’ and ‘‘installed the equipment as a whole.83 We are and would require the development of
marine fuel tank.’’ See the full text of taking this approach for several reasons. very large, very expensive test facilities
these definitions in the proposed First, most production of Small SI if the entire vessel were tested.
regulations at § 1060.801. equipment and Marine SI vessels is not Finally, by proposing separate
Note in particular that the proposed vertically integrated. In other words, the standards for fuel line permeation, fuel
standards would apply to fuel lines, fuel line manufacturer, the engine tank permeation, diurnal emissions, and
including hose or tubing that contains manufacturer, the fuel tank diffusion emissions, we are able to
liquid fuel. This would include fuel manufacturer, and the equipment include simplified certification
supply lines but not vapor lines or vent manufacturer are often separate requirements without affecting the level
lines not normally exposed to liquid companies. In addition, there are several of the standards. Specifying a
fuel. We consider fuel return lines for hundred equipment manufacturers and comprehensive test with a single
handheld engines to be vapor lines, not boat builders, many of which are small standard for all types of evaporative
fuel lines. Data in Chapter 5 of the Draft businesses. Testing the systems as a emissions would make it difficult or
RIA suggest that permeation rates whole would place the entire impossible to rely on design-based
through vapor lines and vent lines are certification burden on the equipment certification. Requiring emission tests to
already lower than the proposed manufacturers and boat builders. cover the wide range of equipment
standard; this is due to the low vapor Specifying emission standards and models would greatly increase the cost
concentration in the vapor line. In testing for individual components of compliance with little or no increase
contrast, permeation rates for materials allows for measurements that are in the effectiveness of the certification
that are consistently exposed to narrowly focused on the source of program. We believe the proposed
saturated fuel vapor are generally emissions and on the technology approach allows substantial opportunity
considered to be about the same as that changes for controlling emissions. This for market forces to appropriately divide
for liquid fuel. The standards also do correspondingly allows for component compliance responsibilities among
not apply to primer bulbs exposed to manufacturers to certify that their affected manufacturers and accordingly
liquid fuel only for priming. This products meet applicable standards. We results in an effective compliance
standard would apply to marine filler believe it would be most appropriate for program at the lowest possible cost to
necks that are filled or partially filled component manufacturers to certify society.
with liquid fuel after a refueling event The proposed emission standards
their products since they are best

where the operator fills the tank as full generally apply to the particular engines
positioned to apply emission control
as possible. In the case where the fuel and their associated fuel systems.
technologies and demonstrate
system is designed to prevent liquid fuel However, for ease of reference, we may
from standing in the fill neck, the fill 83 An exception to component certification is the refer to evaporative standards as being
neck would be considered a vapor line design standard for contolling running loss related to Small SI equipment or Marine
and not subject to the proposed fuel line emissions. SI vessels, meaning the relevant
evaporative standards for engines and and Small SI fuel tanks through the fuel line technology is available,
fuel systems used in such equipment or 2013 model year to allow manufacturers handheld equipment is not currently
vessels.84 See Section VI.F for a more to gain experience in use (see subject to fuel line permeation
detailed description of certification §§ 1045.145 and 1054.145). We do not requirements in California and does not
responsibilities for all the proposed expect this interim provision to affect typically use low-permeation fuel lines
evaporative standards. manufacturer designs or in-use today. In addition, much of the fuel line
compliance efforts. We do not believe used on handheld equipment is not
C. Proposed Evaporative Emission
this interim provision to specify a straight-run fuel line for which low-
Standards
shorter useful life period is necessary permeation replacements are readily
We are proposing permeation for other fuel-system components, either available; thus, more lead time is
standards for Small SI equipment and because there is adequate durability required. We request comment on the
Marine SI vessels, covering permeation experience in other sectors or because proposed standard and implementation
from fuel tanks and fuel lines. We are the control inherently does not involve dates.
also proposing diurnal emission a concern over in-use deterioration. Component manufacturers would be
standards for Marine SI vessels. We are The rest of this section summarizes required to certify to the proposed
proposing diffusion emission standards the proposed standards, additional emission standard for fuel lines (this
but not diurnal emission standards for requirements, and implementation may involve certification to a family
nonhandheld Small SI equipment. In dates. Unless otherwise stated, emission limit above the emission
addition, we are proposing a running implementation dates specified below standard for handheld engines, as
loss standard for nonhandheld Small SI refer to the model year. Section VI.D described in Section VI.D), except in
equipment (except wintertime engines), describes how manufacturers may use certain circumstances. Equipment
with a variety of specified options for emission credits to meet fuel tank manufacturers may need to certify that
manufacturers to demonstrate permeation standards. Section VI.E their fuel lines meet the proposed
compliance. Based on the current state describes the test procedures emission standards if they use any
of technology, we believe the proposed corresponding to each standard. Section sections or pieces of fuel line that are
standards are a logical extension of the VI.F describes how component and not already certified by the fuel line
standards proposed for marine vessels equipment manufacturers certify their manufacturer, or if they comply using
in August 2002 and the standards products and how their responsibilities emission credits, as described in Section
finalized for recreational vehicles in overlap in some cases. Section VI.F also VI.F.
November 2002. describes the simplified process of To address the short lead time
All the proposed evaporative design-based certification for meeting associated with the 2008 requirements
emission standards would apply to new many of the proposed standards. for Small SI equipment, we are
equipment for a useful life period in proposing an interim arrangement in
years that matches the useful life of the (1) Fuel Line Permeation Standards and which engine manufacturers would
corresponding engine. We propose to Dates include compliant fuel lines under their
specify a five-year useful life for The proposed fuel line permeation existing certification (see § 90.127). This
evaporative requirements for Small SI standard applies to fuel lines intended would prevent the need for other
equipment (we are not proposing a year- for use in new Small SI equipment and companies to submit new applications
based useful life requirement related to Marine SI vessels is 15 g/m2/day at for certification that would need to be
exhaust emissions for Small SI engines). 23 °C on a test fuel containing 10 processed immediately. This
Manufacturers have expressed concern percent ethanol (see § 1060.102 and arrangement would allow for engine
that they will not have time to gain five § 1060.515). The form of the standard manufacturers to start complying well
years of in-use experience on low- refers to grams of permeation over a 24- ahead of the time that the fuel line
permeation fuel tanks by the proposed hour period divided by the inside standards become mandatory. The
dates of the tank permeation standards. surface area of the fuel line. This certification requirements described
Unlike barrier fuel line, which is well proposed standard is consistent with above for component manufacturers
established technology, some fuel tanks that adopted for fuel lines in would start once Small SI engines and
may use barrier technologies that have recreational vehicles. The move toward equipment would be subject to Phase 3
not been used extensively in other low-permeation fuel lines in standards.
applications. An example of this recreational vehicles—and further By specifying standards for fuel-
technology would be barrier surface development work in this area since the system components rather than the
treatments that must be properly first proposed rule for marine entire fuel system, we must separately
matched to the fuel tank material. evaporative emissions—demonstrates address appropriate requirements for
Therefore, we are proposing a shorter that low-permeation fuel lines are connecting pieces, such as valves, O-
useful life of two years for Marine SI available on the market today for Small rings, seals, plugs, and grommets that
SI equipment and Marine SI vessels. In are exposed to liquid fuel but are not
84 ‘‘Small SI equipment’’ includes all nonroad addition, many manufacturers are part of the fuel line. We are proposing
equipment powered by Small SI engines. ‘‘Marine already using low-permeation to require that these ancillary pieces
SI vessels’’ includes all vessels powered by engines
that run on volatile liquid fuels. In almost all cases
technologies in response to permeation meet the broad specifications described
these engines are powered by gasoline. Note also standards in California. We are therefore in § 1060.101(f), which generally
that volatile liquid fuels include methanol or proposing that this standard apply requires that fittings and connections be
ethanol, which could be used in a compression- beginning with 2008 for nonhandheld designed to prevent leaks. As described
ignition engine. While we are aware of no such
Small SI equipment and 2009 for in Section VI.E.1, we are also proposing
equipment or vessels today, they would be covered

by the proposed regulations. In this preamble, we Marine SI vessels. For handheld to allow testing of fuel line assemblies
nevertheless refer to all the vessels that fall within equipment, we are proposing a fuel line that include connecting pieces, primer
the scope of the proposed regulations as marine SI permeation implementation date of bulbs, and other fuel line components as
vessels. Throughout this section, we generally refer
to Small SI equipment and Marine SI vessels as
2012, except that small-volume families a single item (see § 1060.102). For
‘‘equipment,’’ consistent with the proposed as defined in § 1054.801 would have example, manufacturers may certify fuel
regulatory text. until 2013. Although low-permeation lines for portable marine fuel tanks as
assemblies of fuel line, primer bulbs, temperature materials are available that permeation fuel line, from the fuel tank
and self-sealing end connections. can achieve the fuel line permeation to the engine, in 2008.
Finally, we are proposing to require that standards discussed above, these We request comment on
detachable fuel lines be self-sealing materials come at a substantially higher implementing an optional program
when they are removed from the fuel cost than that for fuel lines used in non where the implementation dates for fuel
tank or the engine because this would cold weather products and none have line under the cowl can be delayed
otherwise result in high evaporative been evaluated in fuel lines on the beyond 2009, provided low-permeation
emissions (see § 1060.101). To the handheld equipment at issue. fuel line from the fuel tank to the engine
extent that equipment manufacturers If we consider a less stringent is used beginning on January 1, 2008.
and boat builders certify their products, standard, we believe there are lower Under this approach, permeation
they would need to describe how they cost materials available that could be standards for primer bulbs on fuel lines
meet the equipment-based requirements used to achieve permeation reductions from the tank to the engine would still
proposed in § 1060.101(e) and (f) in in equipment designed for cold weather begin in 2009. One specific approach
their application for certification. If boat applications without creating potential would be to phase in the use of low-
builders rely on certified components safety concerns related to fuel leaks. As permeation fuel lines on outboards
instead of certifying, they would need to discussed in the Draft RIA, rubbers with based on the total inside surface area of
keep records describing how they meet high acrylonitrile (ACN) content are the under cowl fuel lines. For instance
the equipment-based requirements used in some handheld applications. the following phase-in could be
proposed in § 1060.101(e) and (f). These materials have about half the implemented: 30 percent in 2010, 60
Handheld equipment manufacturers permeation of lower ACN-content percent in 2011, and 90 percent in 2012.
have raised concerns that fuel lines rubbers also used in handheld This would allow manufacturers to
constructed of available low-permeation applications. To capture the capability transition to the use of low-permeation
materials may not perform well in some of these materials to reduce permeation fuel lines in an orderly fashion. Also, it
handheld applications under extreme emissions without creating other issues would give them some flexibility to
cold weather conditions such as below for cold weather products, we are continue to use short sections of
¥30 °C. These products often use proposing a fuel line permeation uncontrolled fuel lines, in the longer
injected molded fuel lines with complex standard of 175 g/m2/day in 2013 for term, that are more difficult or costly to
shapes and designs needed to address cold-weather products. We request replace with low-permeation fuel lines.
the unique equipment packaging issues comment on appropriateness of this At some point in the future, such as
and the high vibration and random standard and whether there are 2015, we could require the use of 100
movement of the fuel lines within the materials that could be used to achieve percent low-permeation fuel lines.
overall equipment when in use. larger fuel line permeation reductions Manufacturers would be expected to
Industry has expressed concern and the from cold-weather products. target 100 percent use of low-
data in Chapter 5 of the Draft RIA We request comment on what permeation fuel lines in new engine
suggest that durability issues may occur products should be considered to be designs. If the surface area percentages
from using certain low-permeation cold-weather products and if it would were weighted across a manufacturers
materials in these applications when the be possible to distinguish between entire product line of outboard engines
weather is extremely cold and that these products used in warm versus cold (rather than on a per-engine basis), it
could lead to unexpected fuel line leaks. climates. We also request comment would allow manufacturers to use 100
Handheld equipment types that could regarding whether the proposed ABT percent low-permeation fuel lines on
be considered as cold-weather products program discussed below for handheld new engine designs, while making less
include cut-off saws, clearing saws, equipment would provide enough changes to engines that are planned to
brush cutters over 40cc, commercial flexibility to manufacturers to address be phased out of production.
earth and wood drills, ice augers, and cold weather issues through credit We also request comment on how the
chainsaws. trading rather than through a above program could be implemented
The extreme cold temperatures differentiated standard. given that the fuel line from the tank to
needed to induce the potential fuel line Outboard engine manufacturers have the engine is typically installed by the
failures are very rare but do occur each expressed concern that it would be boat builder while the under-cowl fuel
year in Alaska and the continental difficult for them to meet proposed 2009 line is installed by the engine
United States. EPA considered a number date for the sections of fuel lines that are manufacturer. One approach that has
of different options aimed at developing mounted on their engines under the been considered is requiring the engine
special provisions for equipment most engine cowl. While some sections of manufacturer to specify low-permeation
likely to be used in these extreme cold straight-run fuel line are used on the fuel line in its installation instructions
weather situations without providing outboards, many of the smaller sections beginning in 2008. The engines would
relief to all of the equipment sold in the between engine mounted fuel-system not be made available to boat builders
broad categories identified by industry components and connectors are who do not begin using low-permeation
as cold weather products. These preformed or even injection-molded fuel lines in 2008.
included focusing the provisions on parts. Outboard engine manufacturers
products used by professionals (longer stated that they would need additional (2) Fuel Tank Permeation Standards and
useful life equipment or Class V time to redesign and perform testing on Dates
equipment only), geographic-based low-permeation fuel lines under the Except as noted below, we are
retrofit kits, product segregation, and cowl. PWC and SD/I manufacturers proposing a fuel tank permeation
special labeling. While each of the have indicated that this is not an issue standard of 1.5 g/m2/day for tanks
options has some merit, none could on their engines because they are intended for use in new Small SI
provide the full assurance that handheld dominantly straight-run pieces. equipment and Marine SI vessels based
equipment using low-permeation fuel Outboard engine manufacturers have on the permeation rate of gasoline
lines not compatible with extreme cold also stated that, in contrast to under containing 10 percent ethanol at a test
weather would not be used in such cowl fuel line, they would be able to temperature of 28 °C (see § 1060.103 and
weather conditions. While very low facilitate the introduction of low- § 1060.520). The emission standard is
based on the inside surface area of the construction, both of which generally above the top of the fuel tank. The fuel
fuel tank rather than the volumetric present a greater design challenge. We cap would therefore be included in the
capacity because permeation is a believe the additional lead time will be tank permeation standard and test. The
function of surface area exposed to fuel. necessary for these fuel tanks to allow cap may optionally be tested separately
This proposed standard is consistent for a smooth transition to low- from the tank and the results combined
with that adopted for fuel tanks in permeation designs. For Small SI to determine the total tank permeation
recreational vehicles. equipment, these dates also align with rate (see § 1060.521). Cap manufacturers
We are proposing a fuel tank the schedule for introducing the could also test their caps and certify
permeation standard of 2.5 g/m2/day for proposed Phase 3 exhaust emission them separately to a separate 1.5 g/m2/
handheld equipment with structurally standards. day cap permeation standard. The
integrated nylon fuel tanks (see Component manufacturers would be permeation requirements apply
§ 1060.801 for the proposed definition required to certify to the proposed independently of the diffusion
of structurally integrated nylon fuel permeation emission standard for fuel standards described below, which
tanks). These fuel tanks are molded as tanks (this may involve certification to address venting of fuel vapors. We are
part of the general structure of the a family emission limit above the concerned that allowing certification of
equipment. In most cases, these fuel emission standard, as described in fuel caps could add complexity to the
tanks are made of glass-reinforced nylon Section VI.D), except in certain certification process. It would also add
for strength and temperature resistance. circumstances. Equipment a measure of uncertainty in our efforts
These nylon constructions typically manufacturers would need to certify to ensure compliance with emission
have significantly lower permeation that their fuel tanks meet the proposed standards—for fuel tanks certified to
rates than other plastics used for fuel emission standards if they are not permeation standards alone, it would be
tanks, such as high-density already certified by the fuel tank hard ensure that the fuel tanks in the
polyethylene; however, based on data in manufacturer, or if they comply using final installation would be in a certified
Chapter 5 of the Draft RIA the nylon emission credits, as described in Section configuration with respect to diffusion
constructions may not be able meet a VI.F. However, we are proposing that emissions. We therefore request
standard of 1.5 g/m2/day. Therefore, we manufacturers of portable marine fuel comment on the value to manufacturers
believe a higher standard is necessary tanks be required to certify that their of allowing fuel caps to be certified
for these fuel tank constructions. We products meet the new permeation independently from the fuel tank. Note
request comment on this separate standard. This is necessary because that a single certification fee would
permeation standards for structurally portable fuel tanks are not sold to boat apply to fuel tanks that are certified to
integrated fuel tanks. builders for installation in a vessel. permeation and diffusion emission
Many Small SI equipment There is therefore no other manufacturer standards, but only if there is no
manufacturers are currently using low- who could be treated as the optional fuel cap certification. With the
permeation fuel tanks for products manufacturer and responsible for option of fuel cap certification, a
certified in California. The California meeting emission standards that apply separate certification fee would apply to
tank permeation test procedures use a to portable marine fuel tanks. diffusion and permeation families, even
nominal test temperature of 40 °C with For handheld equipment, we are if a single fuel tank manufacturer
California certification gasoline while proposing a phased-in implementation certifies to both standards.
we are proposing to require testing at of the fuel tank permeation standards.
28 °C with gasoline containing 10 Manufacturers would be required to (3) Diurnal Emission Standards and
percent ethanol. We are proposing to meet the proposed fuel tank permeation Dates
allow manufacturers the alternative of standards in 2009 for products that they We are proposing diurnal emission
testing their fuel tanks at 40 °C with our already certify in California (see standards for fuel tanks intended for use
test fuel. Because permeation increases § 90.129). The remaining equipment, in new Marine SI vessels (see
as a function of temperature, we are except for structurally integrated nylon § 1045.107). We consider three distinct
proposing an alternative standard of 2.5 fuel tanks and small-volume families, classes of marine fuel tanks: (1) Portable
g/m2/day for fuel tanks tested at 40 °C. would be subject to the proposed tank marine fuel tanks (used with small
For structurally integrated nylon fuel permeation standards in 2010 (see outboards); (2) personal watercraft
tanks, the alternative standard at 40 °C § 1054.110). Structurally integrated (PWC) fuel tanks; and (3) other installed
would be 4.0 g/m2/day. nylon fuel tanks would be subject to the fuel tanks (used with SD/I and larger
We consider three distinct classes of proposed standards in 2011 and small- outboards). For diurnal emissions from
marine fuel tanks: (1) Portable marine volume families would have to meet the portable fuel tanks, we are proposing a
fuel tanks (generally used with small proposed tank permeation standards design requirement that the tank remain
outboards); (2) personal watercraft beginning in 2013. Manufacturers sealed up to a pressure of 5.0 psi,
(PWC) fuel tanks; and (3) other installed would need to start using EPA-specified starting in the 2009 model year (see
marine fuel tanks (generally used with procedures starting in 2010, except that § 1060.105). We are also proposing that
SD/I and larger outboards). The fuel equipment certified using carryover data portable fuel tanks must continue to be
tank permeation standards are proposed would be allowed to use data collected self-sealing when disconnected from an
to start in 2011 for all Small SI using procedures specified for engine.
equipment using Class II engines and for compliance in California for model We are proposing a general emission
personal watercraft and portable marine years 2010 and 2011 (see § 1054.145). standard of 0.40 g/gal/day based on a
fuel tanks. For Small SI equipment For the purpose of the proposed fuel 25.6–32.2 °C temperature profile for
using Class I engines and for other tank permeation standards, a fuel cap installed tanks. The applicable test
installed marine fuel tanks, we propose mounted on the fuel tank is considered procedures are described in Section
to apply the same standard starting in to be part of the fuel tank. We consider VI.E.3. Manufacturers have expressed
2012. Most of the marine fuel tanks with a fuel cap to be mounted on the fuel concerns that some very large boats stay
the later standards are produced in low tank unless the fuel tank is designed to in the water throughout the boating
volumes using rotational-molded cross- have a filler neck at least 12 inches long season and therefore will see a much
link polyethylene or fiberglass with the opening at least six inches smaller daily swing in fuel
temperatures, which corresponds with a closed. We are proposing to require that bladder fuel systems, which would not
smaller degree of diurnal emissions. We portable marine fuel tanks be designed be pressurized, would be too expensive.
are proposing to address this concern to maintain a seal to allow for pressure At the time of the 2002 proposal, we
with an alternative standard and test buildup resulting from normal considered the use of carbon canisters to
procedure that would apply only for temperature swings. These tanks should control diurnal emissions, but were
nontrailerable boats. Using available include valves that prevent a vacuum in concerned that active purging would
measurements related to fuel the tank during engine operation which occur infrequently due to the low hours
temperatures and emission models to could restrict fuel flow to the engine of operation per year seen by many
relate temperatures to projected diurnal and potentially stall the engine. We boats. However, we have since collected
emission levels, we are proposing an believe portable marine fuel tanks with data on carbon canisters showing that
alternative standard of 0.16 g/gal/day valves that seal automatically will canisters can reduce emissions by more
based on a 27.6–30.2 °C temperature control diurnal emissions without than 50 percent with passive purge that
cycle for fuel tanks installed in relying on user operation. We are occurs during the normal breathing
nontrailerable boats. For the purposes of proposing to implement this design process without creating any significant
this rule, we are proposing to define a standard beginning with the 2009 model pressure in the fuel tank. For installed
nontrailerable boat as 26 feet or more in year. We request comment on this marine fuel tanks, other than PWC, we
length, which is consistent with the U.S. approach. are therefore proposing an
Fish and Wildlife Service definition for Manufacturers will likely control implementation date of 2010 to allow
‘‘nontrailerable recreational vessels’’ in emissions from installed marine fuel additional lead time for designing and
50 CFR 86.12. The diurnal emission tanks either by sealing the fuel system producing canisters for marine vessels.
standards would apply starting in 2009 up to 1.0 psi or by using a carbon During the SBREFA process described
for PWC fuel tanks and in 2010 for other canister in the vent line. As discussed in Section VI.I, NMMA expressed
installed fuel tanks. below, we believe PWC manufacturers general support of the feasibility of
Component manufacturers would be will likely seal the fuel tank with a using carbon canisters on boats.
required to certify to the proposed pressure-relief valve while However, they commented that there are
diurnal emission standard for fuel tanks, manufacturers of other boats with many small boat builders that may need
except in certain circumstances. installed fuel tanks are more likely to additional time to become familiar with
Equipment manufacturers would need use carbon canisters. However, either and install carbon canisters in their
to certify that their fuel tanks meet the technology would be acceptable for boats. We request comment on either a
proposed emission standards if they are either kind of installed marine fuel tank three-year phase-in (say 33/66/100
not already certified by the fuel tank as long as every system meets the percent over the 2010 through 2012
manufacturer, as described in Section numerical standard applicable to the model years) or an extra year of lead
VI.F. As described above for permeation specific tank. time for small businesses to comply
standards, we are proposing to require Personal watercraft currently use with the proposed diurnal emission
manufacturers of portable marine fuel sealed fuel systems for preventing fuel standards. We also request comment on
tanks to certify that they meet the from exiting, or water from entering, the which small business companies would
proposed diurnal emission standards fuel tank during typical operation. be eligible for this flexibility. One
since there is no ‘‘equipment These vessels use pressure-relief valves option would be to use the SBA
manufacturer’’ to assume certification for preventing excessive positive definition of a small boat builder which
responsibility for those tanks. pressure in the fuel system; the pressure is based on having fewer than 500
We believe the proposed requirements to trigger the valve may range from 0.5 employees. Another option would be to
would achieve at least a 50 percent to 4.0 psi. Such fuel systems would also base the flexibility on the annual boat
reduction in diurnal emissions from need a low-pressure vacuum relief valve sales of the company. One issue with
PWC and other installed marine fuel to allow the engine to draw fuel from the latter approach would be the wide
tanks and nearly a 100 percent the tank during operation. In the 2002 range of boat sizes and sales prices in
reduction from portable marine tanks. proposal, we discussed a diurnal the marine industry. With a given
We request comment on the proposed emission standard largely based on the number of employees, many more small
diurnal emission standards for Marine use of a sealed system with a 1.0 psi than large boats can be manufactured in
SI vessels. pressure-relief valve. The Personal a year.
It is common today for portable Watercraft Industry Association (PWIA) If a manufacturer uses a canister-
marine fuel tanks to maintain an airtight expressed support in their comments for based system to comply with the
seal when the engine is not operating. this proposal. We estimate that diurnal standard applicable to the specific tank,
These tanks typically have caps that are emissions from a sealed system with a we are also proposing to require that
fitted with a valve that can be manually 1.0 psi pressure-relief valve would be manufacturers design their systems not
opened during engine operation and about half that of the same system on a to allow liquid gasoline to reach the
closed when the fuel tank is stored. PWC with an open vent. For personal canister during refueling or from fuel
Although this technology could be used watercraft, we are proposing an sloshing (see § 1060.105). Liquid
to control diurnal emissions effectively, implementation date of 2009 because gasoline would significantly degrade the
it depends on user intervention. We are the anticipated technology is widely carbon’s ability to capture hydrocarbon
proposing that portable fuel tanks be used today. vapors. One example of an approach to
required to be fitted with a self-sealing The National Marine Manufacturers protect the canister from exposure to
vent rather than a manually-controlled Association (NMMA) expressed concern liquid gasoline is a design in which the
vent. For instance, a one-way diaphragm in their comments on the 2002 proposal canister is mounted higher than the fuel
valve could be used to allow air in when that pressurized fuel tanks could lead to level and a small orifice or a float valve
fuel is drawn from the tank (to prevent safety issues for larger installed fuel is installed in the vent line to stop the
vacuum conditions), but otherwise seal tanks. NMMA commented that these flow of liquid gasoline to the canister.
the fuel tank. Current portable marine tanks would deform under pressure and Several manufacturers have stated
fuel tanks are small and designed to that pressure could lead to fuel leaks. that it is common for users to fill their
hold pressure when the manual valve is Manufacturers also commented that fuel tank until they see fuel coming out
of the vent line. In addition to being a cost sensitivity is especially noteworthy 1. We are proposing a design standard
source of hydrocarbon emissions, if given the relatively low emissions levels for diffusion in which the tank must be
liquid fuel were to reach a carbon (on a per-equipment basis) from such sealed except for a single vent line. This
canister, it would significantly reduce small fuel tanks. We request comment vent line would need to be at least 180
the effectiveness of the canister. on the appropriate level of such a mm long and have a ratio of length to
Solutions for this problem are relatively standard and when it could be the square of the diameter of at least 5.0
straightforward and have been used in implemented. mm-1 (127 inches-1). For example, a vent
automotive applications for many years. There are some small outboard marine line with 6 mm inside diameter would
We are therefore proposing to require engines that have fuel tanks directly have to be at least 180 mm long to meet
that boat builders use good engineering mounted on the engine. In these cases, this design standard.
judgment in designing fuel systems that the fuel tank could be considered to be 2. We are proposing a second
address diurnal emission control in a more similar to those on Small SI alternative design standard for diffusion
way that does not increase the equipment than other marine fuel tanks. in which vapors from a fuel tank are
occurrence of fuel spitback or spillage Typically, these outboard engines have vented solely through a tortuous path
during refueling beginning in the years fuel tanks on the order of 1–2 liters in through the fuel cap. Many fuel cap
specified in Table VI–1. While this size. Manufacturers have expressed manufacturers use this cap design today
provision is not detailed or prescriptive, concern about the practicality of using to prevent fuel from splashing out
it communicates a requirement that carbon canisters for these applications through the vent during operation. As
manufacturers appropriately take due to space constraints and durability described in Chapter 5 of the Draft RIA,
refueling design into account, and it impacts of engine handling. We request we tested three low-diffusion fuel caps
allows EPA to make enforcement comment on excluding fuel tanks less used on Class I equipment with high
decisions as the industry establishes than 2 liters in size that are mounted on annual sales. Based on these designs, we
sound practices in this area. In addition, outboard engines from the proposed proposing to define a tortuous path fuel
we are proposing that manufacturers diurnal emission requirements. Since it cap as one that is vented through a
would have to meet certain may be a viable alternative, comments small path in the gasket and then
specifications with their fuel tank caps, should address the feasibility of using around the threads where the cap
including requirements to tether the cap sealed fuel tanks with pressure relief in screws onto the fuel tank. Specifically,
to the equipment and designing the cap these applications. Similar to Small SI we are proposing an average path length
to provide physical or audible feedback equipment, marine fuel tanks mounted to total cross sectional area in the gasket
when the vapor seal is established. Also, on the engine are directly exposed to pathways of greater than 1 mm-1 and a
adding vents to a fuel tank would heat from the engine during operation. vent path through at least 360° of the
generally not be allowed. To the extent In the case where diurnal standards threads.
that boat builders certify their vessels to were not applied to these fuel tanks, we 3. We are proposing a third alternative
meet emission standards, they would request comment on applying the design standard for diffusion in which
need to describe how they meet these proposed diffusion and running loss the fuel tank is sealed except for a vent
refueling-related requirements in their standards, described below, to these fuel through a carbon canister. Carbon
application for certification. If boat tanks. canisters are one technology that
builders rely on certified components manufacturers may use to meet diurnal
(4) Diffusion Standards and Dates emission standards in California.
instead of applying for certification,
they would need to keep records As described above, diffusion 4. We are proposing a fourth
describing how they meet these emissions occur when vapor escapes the alternative design standard for diffusion
refueling-related requirements; Section fuel tank through an opening as a result in which a fuel tank is sealed so that
VI.F describes how such companies can of random molecular motion, vapors may not exit the fuel tank. Under
meet certification requirements without independent of changing temperature. this design standard, it would be
applying for a certificate. Diffusion emissions can be easily acceptable to have a pressure relief
Any increase in fuel temperature controlled by venting fuel tanks in a valve with an opening pressure of at
resulting from engine operation would way that forces fuel vapors to go least 0.5 psi.
cause a potential for emissions that is through a long, narrow path to escape. We request comment on the
very similar to diurnal emissions. We We are proposing that manufacturers appropriateness of setting a design
are therefore proposing to disallow may choose between certifying to a standard for diffusion and on the
manufacturers from disabling their performance standard or a design designs described above. We also
approaches for controlling diurnal standard. Under a performance request comment on any additional
emissions during engine operation (see standard, we specify a test procedure diffusion data from fuel caps that are
§ 1060.105). This would ensure that any and a maximum emission rate. Under a capable of meeting the proposed
running loss emissions that would design standard, we specify certain performance-based diffusion standard
otherwise occur will be controlled to a designs that a manufacturer may use to and on the design of these fuel caps.
comparable degree as diurnal emissions. comply with the standard. This Even without the alternative of a design
We are not proposing diurnal standard would take effect at the same standard, we anticipate that fuel cap
emission standards for Small SI time as the exhaust emission manufacturers, with a small number of
equipment. However, we request standards—2011 for Class II engines and designs covering a large number of
comment on such a requirement. We 2012 for Class I engines. equipment models, would be able to
believe passively purging carbon We are proposing a performance perform the necessary testing for a
canisters could reduce diurnal standard of 0.80 g/day for diffusion performance-standard without being
emissions by 50 to 60 percent from emissions for fuel tanks intended for use unreasonably burdened.
Small SI equipment. Active purging in new nonhandheld Small SI Fuel tank manufacturers would be
would result in even greater reductions. equipment (§ 1060.105). This standard required to certify that their products
However, we believe some important would not apply to a manufacturer who limit venting sufficiently to meet the
issues would need to be resolved, such certifies using one of the four alternative proposed diffusion emission standard,
as cost, packaging, and vibration. The design standards described below. except in certain circumstances. Fuel
cap manufacturers may optionally We have measured fuel temperatures Examples of other approaches may be to
certify their fuel caps to the diffusion and found that some types of equipment seal the fuel tank for pressures up to 3.5
emission standard, in which case they experience significant fuel heating psi or, for equipment that does not
would become subject to all the during engine operation. This was include fuel recirculation, locate the
compliance requirements related to the especially true for fuel tanks mounted fuel tank at least 12 inches away from
standards, including certification. on or near the engine. This occurs in the engine and other heat sources (such
Equipment manufacturers would need many types of Small SI equipment. as exhaust pipes, hydraulic lines, etc.).
to certify that their fuel tanks meet the It would be very difficult to define a We are not proposing to apply the
proposed emission standards if they are measurement procedure to consistently running loss requirements to handheld
not already certified by the fuel tank and accurately quantify running losses. Small SI engines. We believe running
manufacturer, as described in Section Also, a performance standard with such loss emission standards should not
VI.F. a procedure would introduce a apply to handheld engines at this time
We are also proposing that equipment challenging testing requirement for because the likely approach to
manufacturers subject to diffusion hundreds of small-volume equipment controlling running losses could require
emission standards must ensure that the manufacturers. Moreover, we believe that manufacturers revisit their design
fuel cap is tethered to the fuel tank or there are several different design for controlling exhaust emissions. As
the equipment to prevent it from being approaches that will reliably and described above, we are not proposing
accidentally misplaced (see § 1060.101). effectively control running losses. We to change the exhaust emission
A missing fuel tank cap would bypass are therefore not proposing to control standards for handheld engines in this
any design intended to control these running losses using the conventional rulemaking. In addition, there are some
losses and could lead to very high approach of establishing a procedure to technical challenges that would require
emission rates. Fuel cap or fuel tank measure running losses and adopting a further investigation. For example, the
manufacturers could address this as part corresponding emission standard. compact nature of the equipment makes
of their component certification. If this Manufacturers could choose from one of it harder to isolate the fuel tank from the
is not part of the component the following approaches to meet this engine and the multi-positional nature
certification, an equipment requirement: of the operation may prevent a reliable
manufacturer would need to describe • Vent running loss fuel vapors from means of venting fuel vapors into the
how it meets the tethering requirement the fuel tank to the engine’s intake intake manifold while the engine is
in its application for certification. manifold in a way that burns the fuel running. We request comment on the
We are not proposing diffusion vapors in the engine instead of venting appropriateness of requiring
standards for handheld equipment. them to the atmosphere. The use of an manufacturers to address running loss
Handheld equipment use fuel caps that actively purged carbon canister would emissions from handheld engines.
are either sealed or have tortuous qualify under this approach. Furthermore, we are not proposing to
venting pathways to prevent fuel from • Use a bladder to minimize fuel apply running loss requirements to
spilling during operation. We believe vapor volume in a sealed fuel tank. Marine SI engines. Installed marine fuel
these fuel cap designs limit diffusion • Design the equipment so that fuel tanks are generally not mounted near
emissions sufficiently that handheld temperature does not rise more than 8 °C the engine or other heat sources so
equipment already meet the proposed during normal operation. Such a design running losses should be very low. A
standard. In addition, we are not may use insulation or forced cooling to possible exception to this is personal
proposing diffusion standards for minimize temperature increases. This watercraft since they are designed with
Marine SI vessels. The diurnal emission would require measuring fuel the fuel tank closer to the engine.
standard for Marine SI vessels will lead temperatures to show that each covered However, under the proposed standard
manufacturers to adopt technologies equipment configuration does not for controlling diurnal emissions, we
that automatically limit diffusion losses, exceed the temperature threshold (see expect that manufacturers will design
so there is no need to propose a separate § 1060.535). their fuel tanks to stay pressurized up to
diffusion standard for those systems. • Show that the equipment qualifies 1 psi. This would also help control
Similarly, we would not finalize the as wintertime equipment. running loss emissions. We request
proposed diffusion standard if we adopt We believe any of these approaches comment on applying running loss
a diurnal emission standard for Small SI will ensure that manufacturers will be controls to Marine SI engines. In
equipment. We request comment on the substantially controlling running losses, particular, we request comment on the
proposed diffusion standard for either by preventing or managing possibility that other design
nonhandheld equipment and whether it running loss vapors. While none of configurations would have higher
should apply to handheld equipment these approaches are expected to require running loss emissions. One example
and marine vessels as well. extensive design changes or lead time, may be outboard applications in which
any manufacturer choosing the option to a fuel tank is mounted directly on the
(5) Running Loss Emission Standards vent running loss fuel vapors into the engine.
and Dates engine’s intake manifold would need to
We are proposing standards to control make this change in coordination with (6) Requirements Related to Refueling
running loss emissions from the engine design. As a result, we Refueling spitback and spillage
nonhandheld Small SI equipment believe it is appropriate to align the emissions represent a substantial
beginning in the same year as the timing of the running loss standards additional amount of fuel evaporation
proposed Phase 3 exhaust emission with the introduction of the proposed that contributes to overall emissions
standards—2012 for Class I engines and Phase 3 standards. from equipment with gasoline-fueled
2011 for Class II engines (see We request comment on the proposed engines. We are not proposing
§ 1060.104). Equipment manufacturers running loss requirement for measurement procedures with
would need to certify that their nonhandheld Small SI equipment. We corresponding emission standards to
equipment models meet the proposed also request comment on any other address these emission sources.
running loss requirements since design approaches that will reliably and However, we believe equipment
component certification is not practical. effectively control running losses. manufacturers can take significant steps
to address these refueling issues by describe how they meet this refueling- go faster up the small-diameter tube and
incorporating sound practices into their related requirement in their application trigger automatic shutoff before the fuel
equipment designs. For example, for certification. If boat builders rely on climbs up the filler neck. This design
designing a marine filler neck with a certified components instead of would depend on the user to use the
horizontal segment near the fuel inlet applying for certification, they would equipment properly and may not be
will almost inevitably lead to high need to keep records describing how fully effective, for example, with long
levels of spillage since fuel flow will they meet this refueling-related filler necks and low refueling rates. An
invariably reach the nozzle, leading to requirement; Section VI.F describes how alternative design would involve a snug
substantial fuel flow out of the fuel such companies can meet certification fit between the nozzle’s spout and the
system. In contrast, designing for requirements without applying for a filler neck, which would allow for a
automatic shutoff would prevent this. certificate. We request comment on this tube to run from a point inside the tank
Also, maintaining a vertical orientation approach to addressing refueling (at any predetermined level) directly to
of the filler neck would allow the fuel emissions from nonroad spark-ignition the shutoff venturi on the spout. The
to flow back into the filler neck and into engines. We also request comment on pressure change from the liquid fuel in
the tank after the nozzle shuts off. the possibility of relying on current or the tank reaching the tube’s opening
For Small SI equipment, designing future published industry standards to would trigger automatic shutoff of the
fuel inlets that are readily accessible establish designs for equipment and nozzle. This system would prevent
and large enough to see the rising fuel fueling containers that minimize overflowing fuel without depending on
level (either through the tank wall or the refueling emissions under normal in-use the user. These are just two of several
fuel inlet) will substantially reduce conditions. possible configurations that would
accidental spillage during refueling. We Spitback and spillage are a particular address fuel spillage from marine
are therefore proposing to require that concern for gasoline-fueled boats. vessels.
equipment manufacturers design and Marine operators have reported that
build their equipment such that relatively large quantities of gasoline are We request comment on the degree of
operators could reasonably be expected released into the marina environment fuel spillage with current technologies
to fill the fuel tank without spitback or during refueling events. The American and practices with marine vessels. We
spillage during the refueling event (see Boat and Yacht Council (ABYC) has a request comment on the potential for
§ 1060.101). This proposed requirement procedure in place to define a standard ABYC standards to address fuel spillage
mirrors the following requirement practice to address refueling. However, or on the need for EPA to adopt such
recently adopted with respect to this procedure calls for testing by procedures and standards. We request
portable fuel containers (72 FR 8428, refueling up to a 75 percent fill level at comment on the specific procedures
February 26, 2007): a nominal flow rate of 5 gallons per that would be appropriate for measuring
minute. This procedure is clearly not spitback and spillage. Finally, we
You are required to design your portable request comment on adopting
fuel containers to minimize spillage during consistent with prevailing practices and
is not effective in preventing spills. We provisions such as those in 40 CFR
refueling to the extent practical. This requires
that you use good engineering judgment to believe the most effective means of 80.22 to regulate the dimensions of
avoid designs that will make it difficult to addressing this problem is for ABYC to refueling nozzles for marine
refuel typical vehicle and equipment designs revise their test procedure to reflect applications, including a specification
without spillage. (40 CFR 59.611(c)(3)) current practices. Specifically, we of a nominal nozzle diameter of
While the proposed requirement is would recommend a procedure in 1.187±0.010 inches and nominal venturi
not as objective and quantifiable as the which the marine fuel tank is filled at placement 5⁄8 inch from the terminal
other standards and requirements we flow rates between 5 and 20 gallons per end of the nozzle.
are proposing, we believe this is minute until automatic shutoff occurs. (7) Summary Table of Proposed
important, both to set a requirement for A variety of technological solutions Evaporative Emission Standards
manufacturers in designing their are available to address spitback and
products and to give EPA the ability to spillage from marine vessels. The Table VI–1 summarizes the proposed
require manufacturers to select designs simplest would be a system much like standards and implementation dates
that are consistent with good is used on cars. A small-diameter tube discussed above for evaporative
engineering practice regarding effective could run along the filler neck from the emissions from Small SI equipment and
refueling strategies. To the extent that top of the tank to a point near the top Marine SI vessels. Where a standard
equipment manufacturers and boat of the filler neck. Once liquid fuel does not apply to a given class of
builders certify their products to would reach the opening of the filler equipment, ‘‘NA’’ is used in the table to
emission standards, they would need to neck and the extra tube, the fuel would indicate ‘‘not applicable.’’
TABLE VI.–1.—PROPOSED EVAPORATIVE EMISSION STANDARDS AND MODEL YEAR DATES

Standard/ Hose Tank Diurnal Diffusion Running loss
category permeation permeation
Proposed Standards
Standard level ............ 15 g/m2 /day .............. 1.5 g/m2 /day ............. 0.40 g/gal/day ........... 0.80 g/day ................. Design standard.
Implementation Dates: Small SI Equipment
Handheld .................... 2012 a b ...................... 2009–2013 c d ............ NA ............................. NA ............................. NA.
Class I ........................ 2008 .......................... 2012 .......................... NA ............................. 2012 g ........................ 2012.
Class II ....................... 2008 .......................... 2011 .......................... NA ............................. 2011 g ........................ 2011.
TABLE VI.–1.—PROPOSED EVAPORATIVE EMISSION STANDARDS AND MODEL YEAR DATES—Continued

Standard/ Hose Tank Diurnal Diffusion Running loss
category permeation permeation
Implementation Dates: Marine Vessels
Portable tanks ............ 2009 .......................... 2011 .......................... 2009 e ........................ NA ............................. NA.
PWC ........................... 2009 .......................... 2011 .......................... 2009 .......................... NA ............................. NA.
Other installed tanks .. 2009 .......................... 2012 .......................... 2010 f ......................... NA ............................. NA.
a 2013 for small-volume families and cold weather equipment.
b Fuel line permeation standard of 175 g/m2 /day for cold-weather equipment.
c 2.5 g/m2 /day for structurally integrated nylon fuel tanks.
d 2009 for families certified in California, 2013 for small-volume families, 2011 for structurally integrated nylon fuel tanks, and 2010 for remain-
ing families.
e Design standard.
f Fuel tanks installed in nontrailerable boats (≥26 ft. in length) may meet a standard of 0.16 g/gal/day over an alternative test cycle.
g Alternatively, may meet a design standard.
D. Emission Credit Programs counting of emission credits. Third, competitiveness issues for component
A common feature of mobile source most component manufacturers would manufacturers.
emission requirements is an emission be in a position to use credits or (1) Averaging, Banking, and Trading for
credit program that allows generate credits, but not both. Nonhandheld Equipment and Marine
manufacturers to generate emission Equipment manufacturers and boat Vessels
credits based on certified emission builders are more likely to be in a
position where they would keep an We are proposing averaging, banking,
levels for engine families that are more and trading (ABT) provisions for fuel
stringent than the standard. See Section internal balance of generating and using
credits to meet applicable requirements. tank permeation from nonhandheld
VII for background information and Small SI equipment and Marine SI
general provisions related to emission Our experience with other programs
vessels (see subpart H in parts 1045 and
credit programs. leads us to believe that an emission
1054). See the following section for
We believe it is appropriate to credit program that depends on trading
similar provisions for handheld Small
consider compliance based on emission is not likely to be successful.
SI equipment.
credits relative to permeation standards We are therefore proposing emission We are aware of certain control
for fuel lines used with handheld credit provisions in which equipment technologies that would allow
engines and for fuel tanks used in all manufacturers and boat builders keep a manufacturers to produce fuel tanks that
applications. As described above, the balance of credits for their product line. reduce emissions more effectively than
emission standards apply to the fuel Equipment manufacturers and boat we would require. These technologies
tanks and fuel lines directly, such that builders choosing to comply based on may not be feasible or practical in all
we would generally expect component emission credits would need to certify applications, but we are proposing to
manufacturers to certify their products. all their products that either generate or allow equipment manufacturers using
However, we believe it is best to avoid use emission credits. Component such low-emission technologies to
placing the responsibility for manufacturers would be able to produce generate emission credits. In other
demonstrating a proper emission credit their products with emission levels cases, an equipment manufacturer may
balance on component manufacturers above or below applicable emission want to or need to use emission credits
for three main reasons. First, it is in that would allow for fuel tanks with
standards but would not be able to
many cases not clear whether these permeation rates above the applicable
generate emission credits and would not
components will be produced for one standards. Equipment manufacturers
need to maintain an accounting to
type of application or another. would quantify positive or negative
demonstrate a balance of emission
Component manufacturers might emission credits by establishing a
credits.
therefore be selling similar products Family Emission Limit (FEL) to define
into different applications that are We are aware that some component the applicable emission level, then
subject to different standards—or no manufacturers would be making factoring in sales volumes and useful
standards at all. Component products that generate emission credits life to calculate a credit total. This FEL
manufacturers may or may not know in that would belong to equipment could be based on testing done either by
which application their products will be manufacturers or boat builders. the component manufacturer or the
used. Second, there will be situations in Equipment manufacturers or boat equipment manufacturer. Through
which equipment manufacturers and builders could in turn use those averaging, these emission credits could
boat builders take on the responsibility emission credits to enable them to buy be used by the same equipment
for certifying components. This may be components from different competing manufacturer to offset other fuel tanks
the result of an arrangement with the component manufacturers. This would in the same model year that do not have
component manufacturer, or equipment potentially put fuel tank manufacturers control technologies that control
manufacturers and boat builders might producing low-FEL products at a emissions to the level of the standard.
build their own fuel tanks. We believe competitive disadvantage with other Through banking, such an equipment
it would be much more difficult to manufacturers producing high-FEL fuel manufacturer could use the emission
manage an emission credit program in tanks. We request comment on the best credits in later model years to offset
which manufacturers at different places approach to setting up an ABT program. high-emitting fuel tanks. The emission
in the manufacturing chain would be We specifically request comment on credits could also be traded to another
keeping credit balances. There would special provisions that may be equipment manufacturer to offset that
also be a significant risk of double- appropriate to address these company’s high-emitting fuel tanks.
We believe an ABT program is tanks are made using high-density would be to prevent the long-term
potentially very advantageous for fuel polyethylene in a blow-molding production of fuel tanks without
tanks because of the wide variety of tank process. The control technologies for permeation control, while still
designs. The geometry, materials, these tanks are relatively providing regulatory flexibility. We
production volumes, and market straightforward and readily available so request comment on the level of the FEL
dynamics for some fuel tanks are well we do not anticipate that these that would be necessary to achieve this
suited to applying emission controls but companies will need emission credits to goal.
other fuel tanks pose a bigger challenge. meet the proposed standards. We are While the FEL cap is intended to
The proposed emission credit program therefore proposing to require portable require manufacturers to move toward
allows us to set a single standard that marine fuel tanks to meet emission widespread use of emission control
applies broadly without dictating that standards without an emission credit technologies, we are aware of
all fuel tanks be converted to use low- program. technologies that have measured
permeation technology at the same time. We are proposing not to allow cross- emission levels between the proposed
We are requesting comment on one trading of emission credits between standard and the proposed FEL cap. As
particular issue. We are not proposing to Small SI equipment and Marine SI a result, the effect of an FEL cap may be
limit the life of evaporative emission vessels. The proposed standards are that there will be little or no use of
credits under the proposed banking intended to be technology-forcing for emission credits as a compliance
program. However, we are concerned each equipment category. We are strategy once the FEL cap applies. We
that this could result in a situation concerned that cross-trading may allow request comment on the usefulness of
where credits generated by a fuel tank marginal credits in one area to hamper maintaining an ABT program after we
sold in a model year are not used until technological advances in another area. implement an FEL cap.
many years later when the fuel tanks We are also proposing not to allow We are proposing that emission
generating the credits have been credit exchanges with Small SI credits under the tank permeation
scrapped and are no longer part of the equipment certified in California standards would be calculated using the
fleet. EPA believes there may be value because California has its own emission following equation: Credits [grams] =
to limiting the use of credits to the standards for these products. Similarly, (Standard ¥ FEL) × useful life [years] ×
period that the credit-generating fuel if California ARB adopts different 365 days/year × inside surface area [m2].
tanks exist in the fleet. For this reason, evaporative requirements or separate Both the standard and the FEL are in
EPA requests comment on limiting the ABT provisions for Marine SI vessels, units of g/m2 /day based on testing at
lifetime of the credits generated under we would not allow credit exchanges 28 °C.
the proposed evaporative emission ABT with marine vessels certified in As discussed earlier, we are proposing
program to five years. The five-year California. These restrictions are an alternative standard for tank
period is consistent with the proposed consistent with our existing ABT permeation testing performed at 40 °C.
useful life for fuel tank evaporative programs. We also would not allow Because permeation is higher at this
emissions. credit exchanges between handheld and temperature than the primary test
We are proposing not to allow nonhandheld equipment or between temperature, emissions credits and
manufacturers to generate emission Class I and Class II equipment. We are debits calculated at this test temperature
credits by using metal fuel tanks. These concerned that cross trading between would be expected to be higher as well.
tanks would have permeation rates well these equipment types could give an An FEL 10 percent below the standard
below the standard, but there is unfair competitive advantage to would generate 0.15 grams of credit for
extensive use of metal tanks today, so it equipment manufacturers with broader the primary standard and 0.25 grams of
would be difficult to allow these product lines. We request comment credit for the alternative standard.
emission credits without undercutting regarding whether the competitive Therefore, we are proposing that credits
the stringency of the standard and the nature of the market warrants such a and debits that are calculated based on
expected emission reductions from the restriction in cross-trading between the alternative standard be adjusted
standard. Class I and Class II equipment. using a multiplicative factor of 0.6 (1.5/
Emission control technologies and In the early years of the ABT program 2.5 = 0.6).
marketing related to portable marine we are proposing not to have an FEL We request comment on the need for
fuel tanks are quite different than for cap. This would give manufacturers averaging, banking and trading for fuel
installed tanks. Since these fuel tanks additional time to use uncontrolled fuel tanks and on the specific provisions
are not installed in vessels that are tanks, primarily in small-volume proposed above.
subject to emission standards, the fuel applications, until they could convert
tank manufacturer would need to take (2) Averaging, Banking, and Trading
their full product lines to having fuel
on the responsibility for certification. As Program for Handheld Equipment
tanks with permeation control. After an
a result, we would treat these initial period of three years after the We are proposing an ABT program for
companies as both component implementation date of the fuel tank handheld equipment that would include
manufacturer and equipment standards, we are proposing an FEL cap fuel tanks and fuel lines. Under this
manufacturer with respect to their of 5.0 g/m2 /day (8.3 g/m2 /day if tested program, a manufacturer would be able
portable fuel tanks. As described above, at 40 °C). For Class II equipment, to use credits from fuel tanks to offset
we are proposing that component portable marine fuel tanks, and personal debits from fuel lines, or vice versa.
manufacturers not be responsible for watercraft, the FEL cap would begin in This category of equipment generally
compliance as part of an emission credit 2014. For Class I equipment, handheld involves very short sections of fuel
program. We would expect all portable equipment, and other installed marine lines, which are often made using
fuel tank manufacturers to also make fuel tanks, the FEL cap would begin in complex, injection-molded designs. We
nonportable fuel tanks, which would 2015. See § 1045.107 and § 1054.110. believe an ABT program would help
again lead to a confusing combination of For small volume, Small SI equipment handheld equipment manufacturers
manufacturers maintaining credit families, we are proposing an FEL cap meet fuel line permeation standards
balances to demonstrate compliance. In of 8.0 g/m2 /day (13.3 g/m2 /day if tested sooner than would otherwise be
addition, most if not all portable fuel at 40 °C). The purpose of the FEL cap possible.
As discussed earlier, we are proposing over high production volumes. We (a) Nonhandheld Small SI Equipment
a higher standard level of 2.5 g/m2 /day request comment on the need for Many Small SI equipment
for structurally integrated handheld fuel continuing an ABT program once there manufacturers are currently certifying
tanks. This standard is intended to is an FEL cap, as described for products to evaporative emission
reflect the measured permeation rates nonhandheld equipment above. standards in California. The purpose of
and characteristics of materials used in the proposed early-allowance program
these fuel tanks and manufacturer (3) Other Evaporative Sources
is to provide an incentive for
concerns regarding uncertainty about We are not proposing an emission manufacturers to begin selling low-
the permeation rates from tanks used in credit program for other evaporative emission products nationwide. We are
the wider range of products and the lack sources. We believe technologies are proposing to give allowances to
of definitive control strategies to reduce readily available to meet the applicable manufacturers for equipment meeting
emissions while meeting other product standards for fuel line permeation, the California evaporative emission
requirements. A similar issue exists for diurnal emissions and diffusion standards that are sold in the United
cold-weather fuel lines, for which we emissions (see Section VI.H.). The States outside of California and are
are proposing a less stringent exception to this is for fuel lines on therefore not subject to California’s
permeation standard of 175 g/m2 /day to handheld equipment as discussed emission standards. Manufacturers
address uncertainty associated with the above. In addition, the diurnal emission would need to have California
availability of appropriate low- standards for portable marine fuel tanks certificates for these equipment types.
permeation cold-weather materials in and PWC fuel tanks are largely based on
the time frame of the new standards. We See § 1054.145.
existing technology so any meaningful Allowances could be earned in any
are concerned that windfall credits that emission credit program with the year before 2012 for Class I equipment
may be generated for these applications proposed standards would result in
if products are produced that are below and before 2011 for Class II equipment.
windfall credits. The running loss We are proposing that the allowances
the adjusted standards, but do not meet standard is not based on emission
the primary standards for fuel tanks and may be used through the 2014 model
measurements and refueling-related year for Class I and through the 2013
fuel lines. To address this issue, we are requirements are based on design
proposing that credits would only be model year for Class II equipment. We
specifications only, so it is not are proposing not to allow trading of
earned below 1.5 g/m2 /day for fuel appropriate or even possible to calculate
tanks and below 15 g/m2 /day for fuel allowances between Class I and Class II.
emission credits. To keep this program simpler, we are
lines on handheld equipment. To
promote early introduction of low- (4) Early-Allowance Programs not proposing to adjust the allowances
permeation products, we are proposing based on the anticipated emission rates
Manufacturers may in some cases be from the equipment. Therefore, we
to allow manufacturers to be able to
able to meet the proposed emission believe it is necessary to at least
earn credits on this basis even before the
standards earlier than we would require. distinguish between Class I and Class II
permeation standards go into effect.
We are proposing provisions for equipment. We request comment on the
Credit use would be calculated based on
the applicable standards. Emission equipment manufacturers using low- early allowance program described
credits would otherwise be calculated emission evaporative systems early to above for nonhandheld Small SI
using the same equation described in generate allowances before the equipment.
Section VI.D.1 above. standards apply. These early allowances
could be used, for a limited time, after (b) Fuel Tanks
Both the fuel line and fuel tank
standards are in units of g/m2 /day. the implementation date of the We are also proposing an early-
However, fuel line testing is performed standards to sell equipment or fuel allowance program for nonhandheld
at 23 °C while tank testing is performed tanks that have emissions above the Small SI equipment for fuel tanks (see
at 28 °C. Because permeation tends to standards. We are proposing two types § 1054.145). This program would be
increase with increases in temperature, of allowances. The first is for Small SI similar to the program described above
we request comment regarding whether equipment as a whole where for every for equipment allowances, except that it
the credits should be adjusted to year that a piece of equipment is would be for fuel tanks only. We would
account for temperature. This certified early, another piece of accept California-certified
adjustment would be smaller than the equipment could delay complying with configurations. Allowances could be
adjustment described above for a 28 °C the proposed standards by an equal time earned prior to 2011 for Class II
versus 40 °C test. period beyond the proposed equipment and prior to 2012 for Class
For non-structurally integrated fuel implementation date. The second is II equipment; allowances could be used
tanks, we are proposing to apply an FEL similar but would be just for the fuel through 2013 for Class II equipment and
cap of 5.0 g/m2 /day (8.3 g/m2 /day if tank rather than the whole equipment through 2014 for Class II equipment.
tested at 40°C) beginning in 2015. For (Small SI or Marine SI). Equipment or Allowances would not be exchangeable
structurally integrated fuel tanks we are fuel tanks certified for the purposes of between Class I and Class II equipment.
proposing an FEL cap of 3.0 g/m2 /day generating early allowances would be See Section V.E.3 for a description of
(5.0 g/m2 /day if tested at 40 °C) in 2015. subject to all applicable requirements. how this provision would interact with
We believe this cap gives adequate These allowances are similar to the the proposed transition program for
flexibility for manufacturers to address emission credit program elements equipment manufacturers.
variability in the permeation rates of described above but they are based on The proposed early-allowance
these fuel tanks. For small volume, counting compliant products rather than program for marine fuel tanks would be
Small SI equipment families (including calculating emission credits. similar except that there are no
handheld and nonhandheld equipment), Establishing appropriate credit California standards for these tanks (see
we are proposing a long term FEL cap calculations would be difficult because § 1045.145). Manufacturers certifying
of 8.0 g/m2 /day (13.3 g/m2 /day if tested the early compliance is in some cases early to the proposed fuel tank
at 40°C) to provide additional regulatory based on products meeting different permeation standards would be able to
flexibility where costs cannot be spread standards using different procedures. earn allowances that they could use to
offset high-emitting fuel tanks after the substantially increases the permeation (c) Alternative Approaches
proposed standards go into place. We rates for many materials. We also propose to allow permeation
are proposing not to allow cross-trading Specifically, we are proposing to use measurements using alternative
of allowances between portable fuel a test fuel of ASTM Fuel C blended with equipment and procedures that provide
tanks, personal watercraft, and other 10 percent ethanol by volume (CE10).87 equivalent results (see § 1060.505). To
installed fuel tanks. Each of these Manufacturers have expressed support use these alternative methods,
categories includes significantly manufacturers would first need to get
of this test fuel because it is a consistent
different tank sizes and installed tanks our approval. Examples of alternative
test fluid compared to gasoline and
have different implementation dates and approaches that we anticipate
because it is widely used today by
are expected to use different permeation manufacturers may use are the
control technology. For portable fuel industry for permeation testing. In
addition, most of the data used to recirculation technique described in
tanks and personal watercraft, SAE J1737 or enclosure-type testing
allowances could be earned prior to develop the proposed fuel line
permeation standards were collected on such as in 40 CFR part 86.88 Note that
2011 and used through the 2013 model the proposed test fuel, test temperatures,
year. For other installed tanks, this test fuel. This fuel is allowed today
as one of two test fuels for measuring and preconditioning soak described
allowances could be earned prior to above would still apply. Because
2012 and used through the 2014 model permeation from fuel lines under the
recreational vehicle standards. permeation increases with temperature
year. we would accept data collected at
E. Testing Requirements We request comment on allowing higher temperatures (greater than 23 °C)
permeation testing using EPA for a demonstration of compliance.
Compliance with the emission certification gasoline (known as For portable marine fuel tanks, the
standards is determined by following indolene and specified in 40 CFR fuel line assembly from the engine to
specific testing procedures. This section 1065.710) blended with 10 percent the fuel tank typically includes two
describes the proposed test procedures ethanol as the test fuel (IE10). This test sections of fuel line with a primer bulb
for measuring fuel line permeation, fuel fuel is also specified in the recreational in-between and quick-connect
tank permeation, diurnal emissions, and vehicle standards and has the advantage assemblies on either end. We are
diffusion emissions. We also describe of being more similar to in-use fuel than proposing a provision to allow
measurement procedures related to CE10. Based on data contained in manufacturers to test the full assembly
running loss emissions. As discussed in Chapter 5 of the Draft RIA, most as a single fuel line to simplify testing
Section VI.H, we are proposing design- materials used in fuel line constructions for these fuel line assemblies (see
based certification as an alternative to have lower permeation rates on IE10 § 1060.102). This gives the manufacturer
testing for certain standards. than CE10. Because the proposed the flexibility to use a variety of
(1) Fuel Line Permeation Testing standards are based primarily on data materials as needed for performance
Procedures collected using CE10 as a test fuel, we reasons while meeting the fuel line
also request comment on how the level permeation standard for the fully
We are proposing that fuel line assembled product. Measured values
of the standard would need to be
permeation be measured at a would be based on the total measured
adjusted for testing performed on IE10.
temperature of 23 ± 2 °C using a weight- permeation divided by the total internal
loss method similar to that specified in (b) Preconditioning Soak surface area of the fuel line assembly.
SAE J30 85 and J1527 86 recommended However, where it is impractical to
practices (see § 1060.515). We are The second difference from weight- calculate the internal surface area of
proposing two modifications to the SAE loss procedures in SAE practices is in individual parts of the assembly, such
recommended practice. The first fuel line preconditioning. We believe as a primer bulb, we would allow a
modification is for the test fuel to the fuel line should be preconditioned simplified calculation that treats the full
contain ethanol; the second with an initial fuel fill followed by a assembly as a straight fuel line. This
modification is to require long enough soak to ensure that the small inaccuracy would cause reported
preconditioning of the fuel line through permeation rate has stabilized. We are emission levels (in g/m2/day) to be
a fuel soak. These modifications are proposing a soak period of four to eight slightly higher so it would not
described below and are consistent with weeks at 23 ± 5 °C. Manufacturers jeopardize a manufacturer’s effort to
our current requirements for should use the longer soak period as demonstrate compliance with the
recreational vehicles. necessary to achieve a stabilized applicable standard.
(a) Test Fuel permeation rate for a given fuel line We request comment on the above
design, consistent with good approaches for fuel line permeation
The recommended practice in SAE engineering judgment. For instance, testing and on the proposed test fuel.
J30 and J1527 is to use ASTM Fuel C thick-walled marine fuel line may take (2) Fuel Tank Permeation Testing
(defined in ASTM D471–98) as a test longer to reach a stable permeation rate Procedures
fuel. We are proposing to use a test fuel than the fuel line used in Small SI
containing 10 percent ethanol. We equipment. After this fuel soak, the fuel The proposed test procedure for fuel
believe the test fuel must contain reservoir and fuel line would be drained tank permeation includes
ethanol because it is commonly blended and immediately refilled with fresh test preconditioning, durability simulation,
into in-use gasoline and because ethanol fuel prior to the weight-loss test. We and a weight-loss permeation test (see
request comment on the need to require § 1060.520). The preconditioning and
85 Society of Automotive Engineers Surface

a longer fuel soak, especially for marine the durability testing may be conducted
Vehicle Standard, ‘‘Fuel and Oil Hoses,’’ SAE J30,
June 1998 (Docket EPA–HQ–OAR–2004–0008–
lines. 88 SAE Recommended Practice J1737, ‘‘Test
0176). Procedure to Determine the Hydrocarbon Losses
86 SAE Recommended Practice J1527, ‘‘Marine 87 ASTM Fuel C is a mix of equal parts toluene from Fuel Tubes, Hoses, Fittings, and Fuel Line
Fuel Hoses,’’ 1993, (Docket EPA–HQ–OAR–2004– and isooctane. We refer to gasoline blended with Assemblies by Recirculation,’’ 1997, (Docket EPA–
0008–0195–0177). ethanol as E10. HQ–OAR–2004–0008–0178).
simultaneously; manufacturers would as a fuel cap, must be attached. Other rely on a thin layer of material within
put the tank through durability testing openings, such as fittings for fuel lines the wall of the tank. This material is
while the tank is undergoing its or petcocks, would be sealed with never exposed to sunlight or liquid fuel
preconditioning fuel soak to reach a impermeable plugs. In addition, if there so the sloshing, pressure, and
stabilized permeation level. We request is a vent path through the fuel cap, that ultraviolet-exposure tests would not be
comment on the proposed tank vent path may be sealed. Alternatively, necessary. At the same time, we request
permeation test procedures and options. we are proposing that the opening could comment on whether other durability
be sealed for testing and the fuel cap tests would be necessary to ensure that
(a) Test Fuel
tested separately for permeation the fuel tank would not be compromised
Similar to the proposed fuel line (discussed below). If the fuel tank is for safety due to changes to address
testing procedures, we are proposing to designed to have a separate fill neck permeation. Examples may be
use a test fuel containing 10 percent between the fuel cap and the tank that temperature cycling or impact testing.
ethanol to help ensure in-use emission is at least 12 inches long and at least 6
reductions with the full range of in-use (d) Weight-Loss Test
inches above the top of the fuel tank, the
fuels. We are proposing to specify IE10 tank may be sealed with something Following the fuel soak, we are
as the test fuel; this is made up of 90 other than a production fuel cap. proposing that the fuel tank must be
percent certification gasoline and 10 Manufacturers may do the durability drained and refilled with fresh fuel
percent ethanol (see 40 CFR 1065.710). testing described below during the time immediately after to prevent the fuel
This is the same test fuel specified for period specified for preconditioning. tank from drying out. The tank would
testing fuel tanks for recreational The time spent in durability testing may have to be sealed within eight hours
vehicles. In addition, IE10 is count as preconditioning time as long as after refreshing the fuel at the end of the
representative of in-use test fuels. We the fuel tank has fuel inside the entire soak period. The permeation rate from
are proposing that Fuel CE10 may be time. During the slosh testing, a fuel fill fuel tanks would be measured by
used as an alternative test fuel. Data in level of 40 percent would be considered comparing mass measurements of the
Chapter 5 of the Draft RIA suggest that acceptable for the fuel soak. Otherwise, tank before and after a soaking period of
permeation tends to be somewhat higher we are proposing to require that the fuel at least two weeks at a temperature of
on CE10 than IE10, so testing on CE10 tank be filled to nominal capacity 28 ± 2 °C. In the case of fuel tanks with
should be an acceptable demonstration during the fuel soak. very low permeation, the weight loss of
of compliance. We request comment on the fuel tank over two week period
the proposed test fuels. (c) Durability Tests could be too small to obtain an accurate
We included a provision allowing We are proposing three tests to measurement. We are proposing that
recreational vehicle manufacturers to evaluate the durability of fuel tank manufacturers may extend the test
perform emission measurements after permeation controls: (1) Fuel sloshing; period by two weeks to obtain an
preconditioning using IE10. This (2) pressure-vacuum cycling; and (3) accurate measurement for fuel tanks
allowance has created substantial ultraviolet exposure. The purpose of with low permeation rates, consistent
confusion and necessitated including these deterioration tests would be to with good engineering judgment.
additional provisions to prevent A change in atmospheric pressure
help ensure that the technology is
manufacturers from exercising the test over the weeks of testing can affect the
durable under the wide range of in-use
option in a way that undermines the accuracy of measured weights for testing
operating conditions. For sloshing, the
objective of maintaining a procedure due to the buoyancy of the fuel tank.
fuel tank would be filled to 40 percent
that accounts for the effect of ethanol. The buoyancy effect on emission
capacity with E10 fuel and rocked for
As a result, we believe it is appropriate measurements is proportional to the
one million cycles. The pressure- volume of the fuel tank, so this
to propose a test procedure for Small SI vacuum testing would consist of 10,000
equipment and Marine SI vessels that procedure is appropriate even for testing
cycles from ¥0.5 to 2.0 psi. These two very small fuel tanks. To address this
maintains a consistent approach by proposed durability tests are based on
including ethanol in the test fuel for we are proposing a procedure in which
draft recommended SAE practice.89 The a reference fuel tank filled with sand or
both preconditioning and emission third durability test would be intended
measurements. We request comment on some other inert material to the
to assess potential impacts of ultraviolet approximate total weight of the test tank
this approach. sunlight (i.e., light with wavelength be used to zero the scale used for
(b) Preconditioning Fuel Soak ranging from 300 to 400 nanometers) on measuring the test tank. This would
Before testing fuel tanks for the durability of surface treatment. In result in measured and reported values
permeation, the fuel tank must be this test, the tank would be exposed to representing the change in mass from
preconditioned by allowing it to sit with ultraviolet light with an intensity of at permeation losses rather than a
fuel inside until the hydrocarbon least 0.40 W-hr/m2/min on the tank comparison of absolute masses. This is
permeation rate has stabilized. Under surface for 450 hours. Alternatively, we similar to an approach in which
this step, we are proposing that the fuel are proposing the tank could be exposed weighing would determine absolute
tank be filled with test fuel and to direct natural sunlight for an masses with a mathematical correction
soaked—either for 20 weeks at 28 ± 5 °C equivalent period of time. to account for the effects of buoyancy.
or for 10 weeks at 43 ± 5 °C. The We are proposing to include a We believe the proposed approach is
manufacturer may need to use a longer provision that would allow better because it minimizes the
soak period if necessary to achieve a manufacturers to omit one or more of possibility of introducing or propagating
stabilized permeation rate for a given the durability tests if it is not error.
fuel tank, consistent with good appropriate for a certain tank design. We propose to allow permeation
engineering judgment. For example, coextruded plastic tanks measurements for certification using
The tank would have to be sealed 89 Draft SAE Information Report J1769, ‘‘Test
alternative equipment and procedures
during this fuel soak and we are Protocol for Evaluation of Long Term Permeation
that provide equivalent results. To use
proposing that any components that are Barrier Durability on Non-Metallic Fuel Tanks,’’ these alternative methods,
directly mounted to the fuel tank, such (Docket EPA–HQ–OAR–2004–0008–0195). manufacturers would first need to get
our approval. An example of an cases, the inherent insulation provided through the diurnal temperature cycle.
alternative weight-loss measurement by the boat hull, the fuel temperatures Because this technology does not
procedure would be to test the fuel tank would cover a narrower range. Data depend on purging or storage capacity
in a SHED and determine the presented in Chapter 5 of the Draft RIA of a canister, multiple days of testing
permeation by measuring the suggest that the fuel temperature in an should not be necessary. We are
concentration of hydrocarbons in the installed marine fuel tank would see a therefore proposing a one-day test for
enclosure. total change of about half the ambient the following technologies: Sealed
temperature swing. We are therefore systems, sealed systems with a pressure-
(e) Fuel Cap Permeation Testing proposing a test temperature range of 78 relief valve, bladder fuel tanks, and
As discussed above, we are proposing to 90 °F (25.6 to 32.2 °C) for installed
that manufacturers would have the sealed fuel tanks with a volume-
marine fuel tanks. This testing would be
option to test the fuel cap separately compensating air bag. We request
based on fuel temperature instead of
from the tank and combine the results ambient temperature. comment on this simplified approach.
to determine the total tank permeation We are proposing an alternative, (b) Test Fuel
rate. In this case, the permeation test narrower temperature range for fuel
would be performed as described above tanks installed in nontrailerable boats Consistent with the automotive test
except that the fuel cap would be (≥26 ft.). Data presented in Chapter 5 of procedures, we are proposing to specify
mounted on an impermeable reservoir the Draft RIA suggest that the fuel a gasoline test fuel with a volatility of
such as a metal or glass tank. The temperature swing in a boat stored in 9 psi.91 We are not proposing that the
volume of the test reservoir would have the water would be about 20 percent of fuel used in diurnal emission testing
to be at least one liter to ensure the ambient temperature swing. Based include ethanol for two reasons. First,
sufficient fuel vapor exposure. We are on this relationship, we are proposing we do not believe that ethanol in the
proposing that the ‘‘tank’’ surface area an alternative temperature cycle for fuel affects the diurnal emissions or
for calculating the results would be the tanks installed in nontrailerable boats of control effectiveness other than the
smallest inside cross sectional area of 81.6 to 86.4 °F (27.6 to 30.2 °C). This effect that ethanol in the fuel may have
the opening on which the cap is alternative temperature cycle would be on fuel volatility. Second, in-use fuels
mounted. The fuel cap would need to be associated with an alternative standard
containing ethanol are generally
tested in conjunction with a as discussed earlier. See the proposed
blended in such a way as to control for
representative gasket. In the case where regulations at § 1060.525 for further
ethanol effects in order to meet fuel
the vent path is through grooves in the detail. We request comment on the
proposed test temperatures, especially volatility requirements. We request
gasket, another gasket of the same comment on the proposed test fuel and
material and dimensions, without the on the appropriateness of the alternative
test procedure and standard for tanks whether it would be appropriate to
vent grooves, may be used. In the case
installed in nontrailerable boats. specify a test fuel blended with ethanol
where the vent is through the cap, that
The automotive diurnal test either as the primary test fuel or as an
vent would be sealed for testing.
procedure includes a three-day optional test fuel. If so, we request
(3) Diurnal Emission Testing Procedures temperature cycle to ensure that the comment regarding whether the
The proposed test procedure for carbon canister can hold at least three volatility of the test fuel should be
diurnal emissions from installed marine days of diurnal emissions without controlled to 9 psi or if ethanol should
fuel tanks involves placing the fuel tank vapors breaking through to the be blended into certification gasoline.
in a SHED, varying the temperature over atmosphere. For marine vessels using We also request comment on the effect
a prescribed profile, and measuring the carbon canisters as a strategy for of ethanol in the fuel on controlled
hydrocarbons escaping from the fuel controlling evaporative emissions, we diurnal emissions and if the standard
tank (see § 1060.525). The final result are proposing a three-day cycle here for would need to be adjusted to account
would be reported in grams per gallon the same reason. In the automotive test, for ethanol in the test fuel.
where the grams are the mass of the canister is loaded and then purged
by the engine during a warm-up drive Diurnal emissions are not only a
hydrocarbons escaping from the fuel function of temperature and fuel
tank over 24 hours and the gallons are before the first day of testing. Here, we
are proposing a different approach volatility, but of the size of the vapor
the nominal fuel tank capacity. The space in the fuel tank. Consistent with
proposed test procedure is derived from because we anticipate that canisters on
marine applications will be passively the automotive procedures, we are
the automotive evaporative emission
purged. Before the first day of testing, proposing that the fill level at the start
test with modifications specific to
the canister would be loaded to full of the test be 40 percent of the nominal
marine applications.90 We request
working capacity and then run over the capacity of the fuel tank. Nominal
comment on the proposed diurnal test
procedures described below. diurnal test temperature cycle, starting capacity of the fuel tank would be
and ending at the lowest temperature, to defined as the a fuel tank’s volume as
(a) Temperature Profile allow one day of passive purging. The specified by the fuel tank manufacturer,
We believe it is appropriate to base test result would then be based on the using at least two significant figures,
diurnal measurements on a summer day highest recorded value during the based on the maximum volume of fuel
with ambient temperatures ranging from following three days. the tank can hold with standard
72 to 96 °F (22.2 to 35.6 °C). This For fuel systems using a sealed system refueling techniques. The ‘‘permanent’’
temperature profile, which is also used (including those that rely on pressure- vapor space above a fuel tank that has
for automotive testing, represents a hot relief valves with no canister), we been filled to capacity would not be
summer day when ground-level ozone believe a three-day test would not be considered in the nominal capacity of
formation is most likely. Due to the necessary. Before the first day of testing, the fuel tank.
thermal mass of the fuel and, in some the fuel would be stabilized at the initial
test temperature. Following this 91 Volatility is specified based on a procedure
90 See
40 CFR part 86, subpart B, for the stabilization, the SHED would be known as Reid Vapor Pressure (see ASTM D 323–
automotive evaporative emission test procedures. purged, followed by a single run 99a).
(c) Fuel Tank Configuration proposed diffusion standard is based on bottom of the tank. Ambient
The majority of marine fuel tanks are data collected from testing in this temperature would be measured on-site
made of plastic. Even plastic fuel tanks manner. in the shade. The equipment
As described above, we are proposing configuration meets the requirement to
designed to meet our proposed
to allow fuel cap manufacturers to control running losses if measured
standards would be expected to have
voluntarily certify their fuel caps to minimum and maximum fuel
some amount of permeation. However,
diffusion standard. This would require temperatures throughout the period of
over the length of the diurnal test, if it
a separate test with a fuel cap mounted operation do not differ by more than
were performed on a new tank that had
not been previously exposed to fuel, the
on a test tank with a representative 8 °C. In the case were the equipment has
sealing configuration of production multiple fuel tanks, the temperature
effect of permeation on the test results
tanks. would have to be measured on each fuel
should be insignificant. For fuel tanks As described for diurnal tank. We request comment on this
that have reached their stabilized measurements, we are proposing that procedure for measuring fuel
permeation rate (such as testing on in- manufacturers would be able to temperatures.
use tanks), we believe it would be separately quantify permeation We are also proposing to allow
appropriate to correct for permeation. In emissions occurring during the manufacturers to use an alternative
such a case, we propose that the diffusion test and subtract the procedure in a laboratory with prior
permeation rate be measured from the permeation contribution so the reported EPA approval. The alternative test
fuel tank and subtracted from the final result isolates the test to quantifying procedure would need to simulate
diurnal test result. The fuel tank diffusion emissions. outdoor conditions and consider engine
permeation rate would be measured operation, solar load, temperature, and
with the established procedure for (5) Measurement Procedures Related to
Running Loss Emissions wind speed. The manufacturer would be
measuring permeation emissions, except required to make a demonstration of
that the test fuel would be the same as We do not specify a procedure for equivalency.
that used for diurnal emission testing. measuring running loss emissions, but
This test measurement would have to be we are proposing to allow F. Certification and Compliance
made just before the diurnal emission manufacturers to demonstrate control of Provisions
test to ensure that the permeation rate running losses by showing that fuel Sections VII and VIII describe several
does not change when measuring temperatures will not increase by more general provisions related to certifying
diurnal emissions. In no case would we than 8 °C during normal operation (see emission families and meeting other
allow a permeation correction higher § 1060.104 and § 1060.535). This regulatory requirements. This section
than that corresponding to the requires testing to measure fuel notes several particulars related to
applicable permeation standard for a temperatures on each equipment applying these general provisions to
tank with a given inside surface area. configuration. We are proposing a fuel evaporative emissions.
Because not correcting for permeation temperature test that includes filling the Marine vessels do not always include
represents the worst-case test result, we fuel tank with commercially available installed fuel systems. Manufacturers of
would accept data from manufacturers gasoline and operating the equipment vessels without installed fuel systems
in which no permeation correction was for one hour over a normal in-use duty do not have the ability to control engine
applied. We request comment on this cycle with a load factor approximately or fuel system design parameters. We
approach. the same as the specified test cycle. If are therefore proposing that vessels
the equipment consumes 80 percent of without an installed fuel system would
(4) Diffusion Testing Procedures
the fuel capacity in one hour of not be subject to the proposed standards
The proposed procedure for operation, a shorter period may be used (see § 1045.5). As a result, it is necessary
measuring diffusion emissions is very based on time until the fuel tank is for us to treat manufacturers of
similar to that for diurnal emissions, drained to 20 percent capacity. We are uninstalled fuel-system components as
with three primary differences (see proposing that manufacturers would be the equipment manufacturer with
§ 1060.530). First, the fuel tank should required to document a description of respect to evaporative emission
be filled to 90 percent of its nominal the operation and include grass height standards. This includes manufacturers
capacity. Second, the fuel tank is held or equivalent variables affecting load. of outboard engines (including any fuel
in a controlled environment to stabilize We are proposing that the testing lines or fuel tanks produced with the
at test temperatures. Third, the test run must occur outdoors with a beginning engine), portable fuel tanks, and the fuel
is proposed to be six hours in length. ambient temperature ranging from 20 to line system (including fuel line, primer
Testing has shown that diffusion occurs 30 °C with no precipitation and with bulb, and connectors).
at a steady rate, so we would want average wind speeds below fifteen miles For ease of reference, Small SI
manufacturers to be able to run a full per hour. The ambient temperature equipment manufacturers, Marine SI
test in a single day’s shift rather than would have to be steady or increasing boat builders, and manufacturers of
running a test for a full 24 hours. during the test and it must be during a portable marine fuel tanks (and
Measured emissions are then adjusted mostly sunny time period with a associated fuel-system components) are
mathematically for comparison to the maximum cloud cover of 25 percent as all referred to as equipment
gram-per-day standard. reported by the nearest local airport manufacturers in this section.
There is some concern that fluctuating making hourly meteorological
temperatures during this test could observations. (1) Liability for Certification and
cause small diurnal effects that would We are proposing that the temperature Compliance
result in higher measured emissions. of the fuel in the tank must be within The proposed standards for fuel lines
Filling the fuel tank to 90 percent would 2 °C of (but not exceeding) the ambient and fuel tanks apply to any such
help minimize the potential for diurnal temperature at the beginning of the test. components that are used with or
effects by increasing the thermal mass of Fuel temperature would be measured intended to be used with Small SI
the fuel and by reducing the volume of with a thermocouple positioned in the engines or Marine SI engines (see
the vapor space. In addition, the fuel but not touching the inside walls or § 1060.1 and § 1060.601). Section VI.C
describes for each standard which measurements, so we believe it is data from the component manufacturer.
manufacturer is expected to certify. appropriate to simply deem these The equipment manufacturer might also
Engine manufacturers would describe products to be certified if they are be producing its own fuel tanks for
these fuel-system components in the designed and produced to meet the installation in its equipment, in which
same certification application in which standards we specify. The vessel case it would be subject to the standards
they document their compliance with manufacturer would also need to keep and all requirements related to
exhaust emission standards (see records of the components used (see certification and compliance. In either
§ 1045.201 and § 1054.201). § 1060.210). This would allow us, by case, the equipment manufacturer
In most cases, nonroad standards operation of the regulation, to have would take on all the responsibilities
apply to the manufacturer of the engine certified products without requiring the associated with certification and
or the manufacturer of the nonroad paperwork burden associated with compliance with respect to those
equipment. Here, the products subject to demonstrating compliance with these components.
the standards (fuel lines and fuel tanks) relatively straightforward specifications. Third, equipment manufacturers may
are typically manufactured by a Manufacturers could optionally apply comply with evaporative emission
different manufacturer. In most cases for and receive a certificate of requirements by using certified
the engine manufacturers do not conformity with respect to these general components, some of which are certified
produce complete fuel systems and standards, but this would not be to an FEL above the standard. The
would therefore not be in a position to necessary and we would expect this to equipment manufacturer would then
do all the testing and certification work be a rare occurrence. comply based on emission credits. In
necessary to cover the whole range of Equipment manufacturers would also this case, the equipment manufacturer
products that will be used. We are be subject to all the proposed emission would take on all the certification and
therefore proposing an arrangement in standards. Equipment manufacturers compliance responsibilities with respect
which manufacturers of fuel-system may comply with requirements related to any components that are part of the
components are in most cases subject to to evaporative emission standards in equipment manufacturer’s emission
the standards and are subject to three different situations. First, credit calculations. Equipment
certification and other compliance equipment manufacturers might install manufacturers would generally use only
requirements associated with the only components certified by the certified components for meeting
applicable standards. We are proposing component manufacturer, without using evaporative emission requirements, but
to prohibit the introduction into emission credits. In this case all the they might also hold the certificate for
commerce of noncompliant fuel-system components must meet the proposed such components. For purposes of
components that are intended for emission standard or have an FEL below certification, equipment manufacturers
installation in Small SI equipment or the standard. Such an equipment would not need to submit new test data
Marine SI vessels unless the component manufacturer would be subject to the if they use certified components.
manufacturer either certifies the fuel line and fuel tank standards, but Equipment manufacturers would make
component or has a contractual would be able to satisfy their an annual accounting to demonstrate a
arrangement for each equipment requirements by using certified net balance of credits for the model
manufacturers using their products to components. They would need to apply year. Under this approach, the
certify those components. As a matter of for certification only with respect to the component manufacturer would
good practice, any components not remaining emission standards they are continue to be subject to the standards
intended for installation in Small SI subject to, such as running loss for its products and be required to meet
equipment or Marine SI vessels should emissions (if applicable). Equipment the certification and compliance
be labeled accordingly to prevent the manufacturers must also design and responsibilities related to the standard.
possibility of improper installation to produce their equipment to meet the However, as in the first option, the
prevent confusion in this regard. requirements specified in § 1060.101(f), component manufacturer would not be
As described in Section VI.D, though this would not necessarily required to meet any averaging
component manufacturers may certify involve an application for certification. requirements or be required to use
with measured emission levels showing Such an equipment manufacturer would emissions credits. Where equipment
that the components meet the emission generally need only to use certified manufacturers use ABT with
standard, or they may certify to an FEL components, add an emission label, and components that have already been
above or below the standard. If any follow any applicable emission-related certified by the component
component manufacturer certifies using installation instructions to ensure that manufacturer, there will be overlapping
an FEL, the FEL becomes the emission certified components are properly certifications between the two parties.
standard for that emission family for all installed. This is similar to an We propose to address this by
practical purposes. The component equipment manufacturer that is required specifying that all parties are
manufacturer however would not be to properly install certified engines in responsible for meeting applicable
required to meet any overall average for its equipment, except that the requirements associated with the
their products, but would have the equipment manufacturer must meet standards to which they have certified,
option to certify to an FEL above or general design standards and shares the but if any specific requirement is met by
below the standard. This is to facilitate liability for meeting emission standards. one company, we will consider the
the use of ABT by equipment Second, equipment manufacturers requirement to be met for all companies
manufacturers, as discussed below. may be required to certify certain (see § 1060.5). For example, either the
Equipment manufacturers would be components based on contractual component manufacturer or the
subject to all the proposed evaporative arrangements with the manufacturer of equipment manufacturer could honor
standards. This applies for the general those components. In this case, the warranty claims, but we may hold both
standards described above with respect equipment manufacturer’s certification companies responsible for the violation
to fuel caps, miscellaneous fuel-system causes the component manufacturer to if there is a failure to meet warranty
components, and refueling. These no longer be subject to the standard. obligations.
standards generally depend on design This approach might involve the Similarly, if we find that new
specifications rather than emission equipment manufacturer relying on test equipment is sold without a valid
certificate of conformity for the fuel The running loss standard is not a standards throughout any adjustable
lines or fuel tanks, then the equipment typical standard based on emission range without auxiliary emission
manufacturer and all the affected fuel- measurements using established control devices, but it is clear that these
system manufacturers subject to the procedures. Some of the available provisions will not apply to most
standards would be liable for the compliance demonstrations involve evaporative systems. We also do not
noncompliance (see § 1060.601). straightforward design specifications allow emission control strategies that
Liability for recall of noncompliant that involve no measurement at all. The cause or contribute to an unreasonable
products would similarly fall to any approach of keeping fuel temperatures risk to public health or welfare or that
manufacturer whose product is subject from increasing above a specified involve defeat devices. While these are
to the standard, as described above. If threshold involves a test procedure with additional statutory provisions that are
more than one manufacturer is subject a performance standard, but does not meaningful primarily in the context of
to the standards for a noncompliant involve emission measurements. As controlling exhaust emissions, we are
product, we would have the discretion described above, it may be possible to proposing to include them for
to assign recall liability to any one of identify design specifications that addressing evaporative emissions (see
those manufacturers. In assigning this would replace the need for the proposed § 1045.101). This also addresses the
liability, we would generally consider temperature measurements. In this case possibility that future technologies may
factors such as which manufacturer has running loss control would be a be different in a way that makes these
substantial manufacturing responsibility straightforward design standard that we provisions more meaningful. We request
and which manufacturer holds the could treat like the general standards comment on this approach. In particular
certificate (see § 1060.5). However, we above, in which equipment we request comment on best way of
may hold equipment manufacturers manufacturers are deemed to be adapting these provisions to evaporative
liable for recall even if they don’t certified by operation of the regulations, emission controls.
manufacture or certify the defective rather than submitting an application The testing specified for certifying
product. This would generally be for certification. The regulations would fuel systems to the evaporative emission
limited to cases where the component prohibit the sale of equipment without standards includes measurements for
manufacturer is unavailable to execute the specified running loss controls. evaluating the durability of emission
any remedial action. For example, if a control technologies where appropriate.
foreign component manufacturer (2) Regulatory Requirements Related to While we adopted evaporative
discontinues their participation in the Certification requirements for recreational vehicles
U.S. market or a component The established provisions for relying on a testing approach that used
manufacturer goes out of business, we implementing exhaust emission deterioration factors, we believe it is
would turn to the equipment standards apply similarly for more appropriate to incorporate the
manufacturer. evaporative emission standards; durability testing for each family
The proposed running loss standards however, because the control directly. Therefore, no requirement
for nonhandheld Small SI engines are technologies are very different, these exists for generating deterioration
not geared toward component requirements require further factors for any evaporative emission
certification, which necessitates some clarification. For example, scheduled standard. We request comment on the
special provisions. If engine maintenance is an important part of best approach to incorporate durability
manufacturers sell their engines with a certifying engines to exhaust emission testing for evaporative emission
complete fuel system, which is typical standards. There is little or no standards
for Class I engines, they would also be maintenance involved for the expected We are proposing to require that
subject to and need to comply with technologies for controlling evaporative Small SI engine or equipment
running loss standards as part of their emissions. The regulations still require manufacturers add an emission control
overall certification. Of the available manufacturers to identify specified information label if they certify with
alternatives for demonstrating maintenance procedures, if there are respect to running losses or if they
compliance with the running loss any, but there are no specific limitations certify based on the use of emission
standard, we would expect the only on the maintenance intervals and no credits. We are proposing to require that
practical approach for these companies distinction for emission-related Marine SI engine or vessel
would be to route vapors from the fuel maintenance. Manufacturers may not do manufacturers add an emission control
tank into the engine’s air intake system any maintenance during testing for information label for evaporative
for combustion. Any engine certification. (See § 1060.125 and emission only if they certify based on
manufacturer certifying its engines this § 1060.235.) We also do not expect that the use of emission credits. (See
way would need to test for exhaust emission-related warranty claims would § 1060.135.) If engine, equipment, or
emissions with an installed running loss be common, but we are proposing a two- vessel manufacturers also certify fuel-
vent (see § 1054.501). If equipment year period for emission-related system components separately, they
manufacturers use only fuel-system warranties with respect to evaporative may include that additional information
components that have been certified by emission controls. in a combined label. If the equipment is
component manufacturers (without Similarly, we do not expect produced by the same company that
using emission credits) and engines that manufacturers to use evaporative certifies the engine for exhaust
are certified by the engine manufacturer emission control technologies that standards, the emission control
to meet both exhaust and running loss involve adjustable parameters or information label for the engine may
standards, they would have no auxiliary emission control devices. include all the appropriate information
responsibility to certify. However, if the Technologies that control evaporative related to evaporative emissions.
engine manufacturer does not sell its emissions are generally passive designs In addition, we are proposing a
engine with a complete fuel system that that prevent vapors from escaping, in simplified labeling requirement for fuel
has been certified for running loss contrast to the active systems engines lines (see § 1060.136). This would
control, the equipment manufacturer use to control exhaust emissions. The involve only the fuel line
would need to certify with respect to the regulations state the basic expectation manufacturer’s name, EPA’s
running loss standard. that systems must comply with standardized designation for an
emission family, and the family manufacturers could meet the Testing with those products, as
emission limit (FEL), if applicable. This requirement to label fuel tanks by specified above, would need to show
labeling information would need to be placing the overall equipment label on compliance with emission standards.
repeated continuously, with not more the fuel tank, as long as the fuel tank The manufacturers would then send us
than 12 inches before repeating. There and label are positioned such that the an application for certification. After
is some concern that if short sections of label can be read easily. reviewing the information in the
fuel lines are used, that sections of the Manufacturers have expressed application, we would issue a certificate
fuel line may be found on equipment concern that it would be very difficult of conformity allowing equipment
without sufficient markings on them. to properly label very small fuel tanks manufacturers to introduce into
We request comment regarding whether and fuel lines. To the extent that engine commerce certified equipment from the
the length of the repeated labeling manufacturers are certifying their covered emission family, or
information should be shorter than 12 products with respect to evaporative alternatively, equipment with the
inches. We are proposing simplified emissions, this problem can be components from certified emission
labeling requirements for fuel filters, addressed in part by putting the families.
primer bulbs, or short preformed fuel information related to evaporative
emissions on the engine label already (4) Compliance Provisions From 40 CFR
lines (less than 12 inches long) (see
required for exhaust emissions. This is Part 1068
§ 1060.138).
Fuel tanks that are certified separately most likely to be the case for the As described in Section VIII, we are
would need to include an emission smallest products. We request comment proposing to apply the provisions of 40
control information label (see on any additional provisions we would CFR part 1068 to Small SI and Marine
§ 1060.137). This would involve fuel need to specify to address space SI engines, equipment, and vessels. This
tank manufacturer’s name, EPA’s limitations on very small fuel-system section describes how some of the
standardized designation for an components. provisions of part 1068 apply
emission family, the FEL (if applicable), While we are proposing no specifically with respect to evaporative
a simple compliance statement, and a requirement for manufacturers to test emissions.
description of the method of controlling production-line or in-use products, we The provisions of § 1068.101 prohibit
emissions. For example, a label on a may pursue testing of certified products introducing into commerce new
certified marine fuel tank would need to to evaluate compliance with evaporative nonroad engines and equipment unless
describe how it meets permeation emission standards (see § 1060.301). they are covered by a certificate of
emission standards and identify the part conformity and labeled appropriately.
(3) Emission Families Section VI.F.1 describes the
numbers of any associated components
for meeting diurnal emission standards. To certify equipment or components, responsibilities for engine
Including the fuel tank’s family manufacturers would first define their manufacturers, equipment
emission limit is important, not only for emission families. This is generally manufacturers, and manufacturers of
EPA oversight, but also to communicate based on selecting groups of products fuel-system components with respect to
this information to equipment that have similar emission the prohibition against introducing
manufacturers and end users. Unlike the characteristics throughout the useful life uncertified products into commerce. In
situation for exhaust emissions, the (see § 1060.230). For example, fuel tanks the case of portable marine fuel tanks
certifying manufacturer establishes the could be grouped together if they were and outboard engines, there is no
FEL, but does not maintain a balance of made of the same material (including equipment manufacturer so we are
emission credits. Equipment consideration of additives such as proposing to treat manufacturers of
manufacturers may buy fuel tanks and pigments, plasticizers, and UV these items as equipment manufacturers
fuel lines that have an FEL, which inhibitors that may affect emissions) relative to this prohibition.
would be the basis for calculating and the same control technology. For While engine rebuilding or extensive
emission credits for the equipment running loss control for nonhandheld engine maintenance is commonplace in
manufacturer. Any other approach Small SI engines and equipment, the context of exhaust emission
would require equipment manufacturers emission families are based on the controls, there is very little analogous
to be vigilant about verifying FEL values selected compliance demonstration. For servicing related to evaporative
with EPA or the component example, certifying manufacturers emission controls. Nevertheless, it can
manufacturer, or both. Also, as would have one emission family for all be expected that individual
described in Section VI.F.6, we are their products that vent fuel vapors to components, such as fuel lines, fuel
proposing to require that owners find the engine’s air intake system, and tanks, or other fuel-system components,
replacement fuel tanks and fuel lines another emission family for all their may be replaced periodically. While the
with FELs that match or exceed the products that comply based on keeping detailed rebuilding provisions of
emission control performance fuel temperatures below the specified § 1068.120 have no meaning for
represented by the original parts. This is threshold. evaporative emission controls, the
an unrealistic expectation unless the The manufacturer would then select a underlying requirement applies
FEL is readily available on the original single product from the emission family generally. Specifically, if someone is
equipment. for certification testing. This product servicing a certified system, there must
Other fuel-system components would would be the one that is most likely to be a reasonable basis to believe that the
need to be labeled with the exceed the applicable emission modified emission control system will
manufacturer’s name and part number, standard. For instance, the ‘‘worst-case’’ perform at least as well as the original
if space allows, and EPA’s standardized fuel tank in a family of monolayer tanks system. We are not proposing any
designation for an emission family (see would likely be the tank with the recordkeeping requirements related to
§ 1060.138). This would apply for thinnest average wall thickness. For fuel maintenance of evaporative emission
carbon canisters, fuel tanks that are not lines or co-extruded fuel tanks with a control systems.
certified separately, and any other fuel- permeation barrier layer, the worst-case There are many instances where we
system components (such as fuel caps) configuration may be the thinnest specify in 40 CFR part 1068, subparts C
that are certified separately. Equipment barrier thickness. and D, that engines (and the associated
equipment) are exempt from emission manufacturers transition to selling low- (6) Replacement Parts
standards under certain circumstances, emission equipment nationwide, we are We are proposing to apply the
such as for testing, national security, or proposing to accept California ARB tampering prohibition in
export. Our principle objective in certification of equipment and § 1068.101(b)(1) for evaporative systems.
applying these provisions to evaporative components in the early years of the This means that it would be a violation
emission standards is to avoid proposed federal program. to replace compliant fuel tanks or fuel
confusion. We are therefore proposing As discussed above, we are proposing lines with noncompliant products. This
that an exemption from exhaust to accept California ARB certification would effectively disable the applicable
emission standards, automatically for nonhandheld equipment and fuel emission controls. To address the
triggers a corresponding exemption from tanks for the purposes of the proposed concern that low-cost replacement
evaporative emission standards for the early-allowance program (see products will be easy to make available
same products. We believe it is unlikely §§ 1045.145 and 1054.145). We are also
and difficult to prevent, we are
that an equipment manufacturer will proposing to accept California ARB
proposing several new noncompliance-
need a separate exemption from certification of handheld fuel tanks
related provisions. In § 1060.610 we
evaporative emission standards, but the through the 2011 model year (see
clarify the meaning of tampering for
exemptions related to national security, § 90.129).
We are proposing to accept Class I/ evaporative systems and propose two
testing, and economic hardship would requirements. First, for the period from
apply if such a situation were to occur. Class II fuel lines meeting California
ARB certification or certain SAE January 1, 2012 to December 31, 2019,
We believe these are the only three
specifications through the 2011/2010 we propose to require that
reasons that would ever call for
model years (see § 90.127). These SAE manufacturers, distributors, retailers,
evaporative systems to be exempt when
specifications include SAE J30 R11A, and importers of these replacement
the engines have not already been
SAE J30 R12, and SAE J2260 Category parts clearly label their products with
exempted for some reason. We request
1. Such fuel lines would need to be respect to the applicable requirements.
comment on this approach to addressing
labeled accordingly. As described in For example, a package might be labeled
exemptions and importation provisions
Section VI.C.1, we are proposing to as compliant with the requirements in
for evaporative requirements.
Given the extended times required to require that engine manufacturers 40 CFR part 1060 or it might be labeled
precondition fuel-system components, certify fuel lines used with their engines as noncompliant and appropriate only
we have no plans to require evaporative until the proposed Phase 3 standards are for use in applications not covered by
testing of units from the production in place. The purpose of this provision EPA standards. Unless the packaging
line. This means that evaporative is to give Small SI equipment clearly states otherwise, the product is
measurements are not part of the manufacturers additional lead time presumed to be intended for
production-line testing program or before they have to certify to the applications that are subject to EPA
selective enforcement audits. On the proposed standards. For any fuel lines standards. Second, starting in 2020 we
other hand, we may require certifying installed on the equipment, but not are proposing a provision stating that it
manufacturers to supply us with supplied with the engine, we are is presumed that all replacement parts
production equipment or components as proposing that the engine manufacturer intended for applications covered by
needed for our own testing or we may would be required to supply low- EPA standards will be installed in such
find our own source of products for permeation fuel line specifications in its equipment. This presumption
testing. installation instructions (see § 90.128). significantly enhances our ability to
The defect-reporting requirements of Equipment manufacturers would be enforce the tampering prohibition
§ 1068.501 apply to certified evaporative required, under the prohibited acts because the replacement part is then
systems. This requires the certifying specified in the regulations, to use the noncompliant before it is installed in a
manufacturer to maintain information, fuel line specified by the engine vessel or a piece of equipment. We
such as warranty claims, that may manufacturer. believe shifting to a blanket
indicate an emission-related defect. The We are proposing to allow presumption in 2020 is appropriate
regulations describe when certification of walk-behind mowers since in-use vessels and equipment will
manufacturers must pursue an under § 90.127 as an alternative to the be almost universally subject to EPA’s
investigation of apparent defects and proposed fuel line permeation standards evaporative emission standards by that
when to report defects to EPA. These if manufacturers rely on SHED-based time.
provisions apply to every certifying certification to meet the California We are aware that producing low-
manufacturer and their certified standards that apply to the overall permeation fuel tanks in very low
products, including component equipment (diurnal, tank permeation, production volumes can be costly. In
manufacturers. and fuel line permeation). While this particular, some equipment owners may
might allow for use of fuel lines that need to replace a fuel tank that has been
(5) Interim Compliance Flexibility for exceed the proposed standards, we certified to a Family Emission Limit
Small SI Equipment believe the overall emission control will (FEL) that is lower than the emission
Most Small SI equipment be at least as great from systems that standard. The owner would need to find
manufacturers are currently certifying have been tested and certified using and install a replacement fuel tank that
products to evaporative emission SHED-based procedures. The Phase 3 is certified with an FEL that is the same
requirements in California. However, standards described above do not rely as or lower than that of the replaced fuel
these standards and their associated test on diurnal emission control, so we do tank. However, we are concerned that
procedures differ somewhat from those not intend to continue the provision for such replacement fuel tanks may in
proposed in this document. Although SHED-based testing and certification. some cases not be available. We are
the standards are different, we believe However, we request comment on the proposing to allow equipment owners to
evaporative emission control possible administrative advantages or ask for an exemption from the
technologies are available to meet the emission control advantages of tampering prohibition if there is no low-
California ARB’s standards and our continuing this alternative approach in FEL tank available. The replacement
proposed emission standards. To help the Phase 3 time frame. tank would still need to meet applicable
standards, but would not need to meet annual calculations. The fees update describe, from an engineering
the more stringent emission levels will be based upon EPA’s costs of perspective, how their fuel systems
reflected by the old tank’s FEL. We implementing the evaporative category meet the applicable design
request comment on the need for this multiplied by the consumer price index specifications. These manufacturers
provision. In particular, we request (CPI), then divided by the average of the could then forego the testing described
comment on the likelihood that owners number of certificates received in the in Section VI.E. We believe there are
would be unable to find replacement two years prior to the update. The CPI several emission control designs that
tanks that match the emission level of will be applied to all of EPA’s costs use established technologies that are
the fuel tanks being replaced. except overhead. This is a departure well understood to have certain
from EPA’s current fees program emission characteristics. At the same
(7) Certification Fees
wherein the CPI is applied only to time, while engineering design-based
Under our current certification EPA’s labor costs. In the most recent certification is a useful tool for reducing
program, manufacturers pay a fee to fees rulemaking, commenters objected the test burden associated with
cover the costs associated with various to applying the CPI to EPA’s fixed costs. certification, this does not remove a
certification and other compliance In the proposed fee program for the manufacturer’s liability for meeting the
activities associated with an EPA issued evaporative category, however, there are emission standard throughout the useful
certificate of conformity. These fees are no fixed costs. EPA expects all its costs life.
based on the projected costs to EPA per to increase with inflation and we The following sections describe how
emission family. For the fees rule therefore think it is appropriate to apply we propose to implement engineering
published May 11, 2004, we conducted the inflation adjustment to all of the design-based certification for each of the
a cost study to assess EPA’s costs program costs. different performance standards. We are
associated with conducting programs for Where a manufacturer holds the proposing that we may establish
the industries that we certify (69 FR certificates for compliance with exhaust additional engineering design-based
26222). A copy of the cost study emission standards and includes certification options where we find that
worksheets that were used to assess the certification for evaporative emissions new test data demonstrate that the use
fees per category may be found on EPA’s in that same certificate, we would assess of other technology designs will ensure
fees Web site at http://www.epa.gov/ an additional charge related to compliance with the applicable
otaq/proprule.htm. We are proposing to compliance with evaporative emission emission standards. These designs
establish a new fees category for standards to that for the exhaust would need to produce emission levels
certification related to the proposed emission certification. comfortably below the proposed
evaporative emission standards. The EPA believes it appropriate to charge emission standards when variability in
costs for this category will be less for a certificate related to the emission control performance is
determined using the same method used evaporative emissions relative to the considered.
in conducting the previous cost study. existing charge for certificates of
As under the current program, this conformity for exhaust emissions from (a) Fuel Line Permeation
depends on an assessment of the the engines in these same vessels and In our program for recreational
anticipated number of emission families equipment. The amount of time and vehicles, we specified that fuel lines
and the corresponding EPA staffing level of effort associated with reviewing meeting certain SAE specifications
necessary to perform this work. At this the latter certificates is higher than that could be certified by design. However,
time, EPA plans to perform a basic level projected for the certificates for we are not proposing to allow this for
of certification review of information evaporative emissions. Small SI equipment or marine vessels.
and data submitted to issue certificates That decision was appropriate for
of conformity for the evaporative (8) Engineering Design-Based recreational vehicles, because that
emission standards, as well as Certification program did not include provisions for
conducting some testing to measure Certification of equipment or component certification. Fuel line
evaporative emissions. This is components that are subject to manufacturers will need to conduct
especially the case for equipment performance-based emission standards testing anyway to qualify their fuel lines
manufacturers that use only certified depends on test data showing that as meeting the various industry ratings
components for meeting applicable products meet the applicable standards. so any testing burden to demonstrate
emission standards. We are proposing a We are proposing a variety of compliance with EPA standards should
fee of $241 based on Agency costs for approaches that reduce the level of be minimal. We would allow test data
half of a federal employee’s time and testing needed to show compliance. As used to meet industry standards to be
three employees hired through the described above, we allow used to certify to the proposed
National Senior Citizens Education and manufacturers to group their products standards provided that the data were
Research Center dedicated to the into emission families so that a test on collected in a manner consistent with
administration of the evaporative a single worst-case configuration can be this proposal and that the data were
certification program, including the used to show that all products in the made available to EPA if required.
administrative, testing, and overhead emission family are compliant. Also,
costs associated with these people. The test data from a given year could be (b) Fuel Tank Permeation
total cost to administer the program is ‘‘carried over’’ for later years for a given We are proposing to consider that a
estimated to be $362,225. We divided emission control design (see metal fuel tank meets the design criteria
this cost by the estimated number of § 1060.235). These steps help reduce the for a design-based certification as a low-
certificates, 1503, to calculate the overall cost of testing. permeation fuel tank. There is also a
proposed fee. Design-based certification is an body of existing test data showing that
We will update the fees related to additional step that may be available to co-extruded fuel tanks from automotive
evaporative emission certificates each reduce testing requirements (see applications have permeation rates that
year when we update the fees for all § 1060.240). To certify their products are well below the proposed standard.
categories. The actual fee in 2015 and using design-based certification, We are proposing to allow design-based
later model years will depend on these certifying manufacturers would certification for co-extruded high-
density polyethylene fuel tanks with a We are proposing that fuel tanks particular technology, with any
continuous ethylene vinyl alcohol equipped with a passively purged appropriate design specifications, as one
barrier layer. The EVOH barrier layer carbon canister to control diurnal that qualifies to be considered
would be required to be at least 2 emissions may be certified by design, compliant under engineering design-
percent of the wall thickness of the fuel subject to several technical based certification. We would intend to
tank. specifications. To ensure that there is revise the regulations to include any
To address the permeability of the enough carbon to collect a sufficient additional technologies we decide are
fuel cap, seals, and gaskets used on mass of hydrocarbon vapors, we suitable for design-based certification,
metal and co-extruded tanks, we are propose to specify a minimum butane but we would be able to approve the use
proposing that the design criteria working capacity of 9 g/dL based on the of additional engineering design-based
include a specification that seals and test procedures specified in ASTM certification with these technologies
gaskets that are not made of low- D5228–92. The carbon canister would before changing the regulations. We
permeation materials must have a total need a minimum carbon volume of request comment on this approach to
exposed surface area smaller than 1000 0.040 liters per gallon of fuel tank design-based certification for diurnal
mm2. A metal or co-extruded fuel tank capacity. For fuel tanks certified to the emission control technologies and on
with seals that meet this design criterion optional standards for tanks in the specific technologies discussed
would reliably pass the standard. nontrailerable boats ( 26 ft. in length), above. Section IV.H presents a more
However, we believe it is not we are proposing a minimum carbon detailed description of these
appropriate to assign an emission level volume of 0.016 liters per gallon of fuel technologies and how they can be used
to fuel tanks using a design-based tank capacity. to reduce evaporative emissions.
certification option that would allow We are proposing two additional
them to generate emission credits. Given specifications for the quality of the G. Small-Business Provisions
the uncertainty of emission rates from carbon. We believe these specifications (1) Small Business Advocacy Review
the seals and gaskets, we would not are necessary to ensure that the canister Panel
consider these tanks to be any more will continue to function effectively
effective than other fuel tanks meeting over the full useful life of a marine On May 3, 2001, we convened a Small
emission standards. vessel. First, the carbon would need to Business Advocacy Review Panel under
meet a moisture adsorption capacity section 609(b) of the Regulatory
(c) Diurnal Emissions Flexibility Act as amended by the Small
maximum of 0.5 grams of water per
For portable marine fuel tanks, we are gram of carbon at 90 percent relative Business Regulatory Enforcement
proposing a design standard based on humidity and a temperature of 25 ± Fairness Act of 1996. The purpose of the
automatically sealing the tank to 5 °C. Second, the carbon would need to Panel was to collect the advice and
prevent fuel venting while fuel pass a dust attrition test similar to that recommendations of representatives of
temperatures are rising. The options in ASTM D3802–79. The moisture small entities that could be affected by
described below for design-based adsorption and dust attrition tests are this proposed rule and to report on
certification therefore deal only with described in more detail in Chapter 5 of those comments and the Panel’s
installed marine fuel tanks (including the Draft RIA. We are also proposing findings and recommendations as to
personal watercraft). that the carbon canister must be issues related to the key elements of the
We are proposing that fuel systems properly designed to ensure the in-use Initial Regulatory Flexibility Analysis
sealed to 1.0 psi would meet the criteria effectiveness of the carbon. under section 603 of the Regulatory
for engineering design-based The canisters would need to be Flexibility Act. We convened a Panel
certification to the proposed diurnal designed using good engineering again on August 17, 2006 to update our
emission standards. Systems that judgment to ensure structural integrity. findings for this new proposal. The
remain sealed up to positive pressures They must include a volume Panel reports have been placed in the
of 1.0 psi have a predictable compensator or other device to hold the rulemaking record for this proposal.
relationship to changing fuel carbon pellets in place under vibration Section 609(b) of the Regulatory
temperatures that ensure that total and changing temperatures and the Flexibility Act directs the review Panel
diurnal emissions over the specified test vapor flow would need to be directed so to report on the comments of small
procedure will be below the proposed that it reaches the whole carbon bed entity representatives and make findings
standard. This type of system would rather than just passing through part of as to issues related to identified
allow venting of fuel vapors only when the carbon. We are proposing that the elements of an initial regulatory
pressures exceed 1.0 psi or when the geometry of the carbon canister must flexibility analysis (IRFA) under RFA
fuel cap is removed for refueling. Note have a length to diameter ratio of at least section 603. Those elements of an IRFA
that systems with anti-siphon valves 3.5. are:
would have to be designed to prevent The emission data we used to develop
these proposed engineering design- • A description of, and where
fuel releases when the system is under
based certification options are presented feasible, an estimate of the number of
pressure to meet Coast Guard
in Chapter 5 of the Draft RIA. small entities to which the proposed
requirements.
Bladder fuel tanks and tanks with a Manufacturers wanting to use designs rule will apply;
volume-compensating air bag are other than those we discuss here would • A description of projected
specialized versions of tanks that may have to perform the applicable testing. reporting, recordkeeping, and other
meet the specifications for systems that However, once an additional technology compliance requirements of the
remain sealed up to positive pressures is proven, we may consider adding it to proposed rule, including an estimate of
of 1.0 psi. In each of these designs, the list as one that qualifies for the classes of small entities that will be
volume changes within a sealed system engineering design-based certification. subject to the requirements and the type
prevent pressure buildup. As long as For example, if several manufacturers of professional skills necessary for
these designs meet basic specifications were to pool resources to test a diurnal preparation of the report or record;
for system integrity they would also emission control strategy and submit • An identification, to the extent
qualify for design-based certification. this data to EPA, we could consider this practicable, of all relevant Federal rules
that may duplicate, overlap, or conflict businesses with the exception of one permeation implementation dates of
with the proposed rule; and general economic hardship provision 2011 for Class II equipment and 2012 for
• A description of any significant described below which is designed Class I equipment. For marine fuel
alternative to the proposed rule that specifically for small businesses. The tanks, we are proposing to implement
accomplishes the stated objectives of majority of fuel tanks produced for the the tank permeation standards in 2011
applicable statutes and that minimizes Small SI equipment and Marine SI with an additional year (2012) for
any significant economic impact of the vessel market are made by small installed fuel tanks which are typically
proposed rule on small entities. businesses or by companies producing rotational-molded marine fuel tanks (see
In addition to the EPA’s Small small volumes of these products. The § 1054.110 and § 1045.107).
Business Advocacy Chairperson, the purpose of these options is to reduce the There was no disagreement on the
Panel consisted of the Director of the potential burden on companies for technological feasibility of the Marine SI
Assessment and Standards Division of which fixed costs cannot be distributed diurnal emission standard EPA is
the Office of Transportation and Air over a large product line. For this considering. Small businesses
Quality, the Administrator of the Office reason, we often also consider the commented that they would like
of Information and Regulatory Affairs production volume when making additional time to install carbon
within the Office of Management and decisions regarding burden reduction canisters in their vessels. They stated
Budget, and the Chief Counsel for options. that some boat designs would require
Advocacy of the Small Business deck and hull changes to assist in
Administration. (a) Consideration of Appropriate Lead packaging the canisters and they would
Using definitions provided by the Time like to make these changes in the
Small Business Administration (SBA), Small businesses commented that normal turnover cycle of their boat
companies that manufacture internal- they would need to make significant molds. Small businesses commented
combustion engines and that employ changes to their plastic fuel tank designs that they would consider asking EPA to
fewer than 1000 people are considered and molding practices to meet the allow the use of low-permeation fuel
small businesses for a Small Business proposed fuel tank permeation line prior to 2009 as a method of
Advocacy Review (SBAR) Panel. standards. For blow-molded tank creating an emission neutral option for
Equipment manufacturers, boat designs with a molded-in permeation providing extra time for canisters. We
builders, and fuel-system component barrier, new blow-molding machines are requesting comment on phase-in
manufacturers that employ fewer than would be needed that could produce schemes or other burden reduction
500 people are considered small multi-layer fuel tanks. One small approaches which would provide small
businesses for the SBAR Panel. Based business commented that, due to the businesses additional lead time to meet
on this information, we asked 25 lead time needed to install a new these requirements without losing
companies that met the SBA small machine and to perform quality checks overall emission reductions.
business thresholds to serve as small on the tanks, they would not be ready The majority of large equipment
entity representatives for the duration of to sell multi-layer blow-molded fuel manufacturers have indicated that they
the Panel process. These companies tanks until 2011 for the Small SI and will be using low-permeation fuel lines
represented a cross-section of engine Marine SI markets. in the near term as part of their current
manufacturers, equipment Small businesses that rotational-mold product plans. As a result, we are
manufacturers, and fuel-system fuel tanks were divided in their opinion proposing an implementation date of
component manufacturers. of when they would be ready to produce 2008 for Small SI fuel line permeation
With input from small-entity low-permeation fuel tanks. One standards for nonhandheld equipment
representatives, the Panel drafted a manufacturer stated that it is already (see § 90.127). The Panel expressed
report providing findings and producing fuel tanks with a low- concern that small equipment
recommendations to us on how to permeation inner layer that are used in manufacturers who do not sell products
reduce potential burden on small Small SI applications. This company in California may not necessarily be
businesses that may occur as a result of also sells marine fuel tanks, but not with planning on using low-permeation fuel
this proposed rule. The Panel Report is the low-permeation characteristics. line in 2008. Therefore, we are
included in the rulemaking record for However, they have performed Coast proposing a 2009 implementation date
this proposal. We are proposing all of Guard durability testing on a prototype for low-permeation fuel line for small
the recommendations as presented in 40 gallon marine tank using their businesses producing Small SI
the Panel Report. The proposed technology which passed the tests. Two nonhandheld equipment.
flexibility options recommended to us other small businesses, that rotationally
by the Panel, and any updated mold fuel tanks, stated that they have (b) Fuel Tank ABT and Early-Incentive
assessments, are described below. not been able to identify and Program
demonstrate a low-permeation The Panel recommended that we
(2) Proposed Burden Reduction technology that would meet their cost propose an ABT program for fuel tank
Approaches for Small Businesses and performance needs. They permeation and an early-allowance
Subject to the Proposed Evaporative commented that developing and program for fuel tank permeation. Our
Emission Standards demonstrating low-permeation proposed ABT and early-allowance
The SBAR Panel Report includes six technology is especially an issue for the programs are described above. We are
general recommendations for regulatory marine industry because of the many requesting comment on including
flexibility for small businesses affected different tank designs and Coast Guard service tanks in the ABT program. These
by the proposed evaporative emission durability requirements. are tanks that are sold as replacement
standards. This section discusses the Consistent with the Panel parts for in-use equipment.
provisions being proposed based on recommendations in response to the
each of these recommendations. In this above comments, we are proposing to (c) Broad Definition of Emission Family
industry sector, we believe the burden provide sufficient lead time for blow- The Panel recommended that we
reduction approaches presented in the molded and marine rotational molded propose broad emission families for fuel
Panel Report should be applied to all fuel tanks. We are proposing tank tank emission families similar to the
existing provisions for recreational certification for carbon canisters. A employees. Likewise, the SBA small
vehicles. As described above, we are detailed description of the proposed business definition for companies
proposing permeation emission families design-based certification options that manufacturing fuel-system components
be based on type of material (including are consistent with the Panel such as fuel tanks and fuel lines is fewer
additives such as pigments, plasticizers, recommendations is presented earlier in than 500 employees.
and UV inhibitors), emission control this document. Because many boat builders,
strategy, and production methods. Fuel The National Marine Manufacturers nonhandheld equipment manufacturers,
tanks of different sizes, shapes, and wall Association (NMMA) the American Boat and handheld equipment manufacturers
thicknesses would be grouped into the and Yacht Council (ABYC) and the will depend on fuel tank manufacturers
same emission family (see § 1045.230 Society of Automotive Engineers (SAE) and fuel line manufacturers to supply
and § 1054.230). Manufacturers have industry recommended practices certified products in time to produce
therefore would be able to broadly for boat designs that must be met as a complying vessels and equipment, we
group similar fuel tanks into the same condition of NMMA membership. are also proposing a hardship provision
emission family and then only test the NMMA stated that they are working to for all boat builders and Small SI
configuration most likely to exceed the update these recommended practices to equipment manufacturers, regardless of
emission standard. Although Small SI include carbon canister installation size. The proposed hardship would
and Marine SI fuel tanks would not be instructions and low-permeation fuel allow the boat builder or equipment
allowed in the same emission family, it line design. The Panel recommended manufacturer to request more time if
could be possible to carry-across that EPA accept data used for meeting they are unable to obtain a certified fuel
certification test data from one category the voluntary requirements as part of system component and they are not at
to another. the EPA certification. We are proposing fault and would face serious economic
that this data could be used as part of hardship without an extension (see
(d) Compliance Progress Review for EPA certification as long as it is § 1068.255). Section VIII.C.10 provides a
Marine Fuel Tanks collected consistent with the test description of the proposed hardship
One manufacturer of rotational- procedures and other requirements provisions that would apply to boat
molded fuel tanks has stated that they described in this proposal. builders and Small SI equipment
are already selling low-permeation tanks manufacturers.
into the Small SI market and they have (f) Hardship Provisions
plans to sell them into marine We are proposing two types of H. Technological Feasibility
applications. However, other hardship provisions consistent with the We believe there are several strategies
manufacturers of rotational-molded Panel recommendations. The first type that manufacturers can use to meet the
marine fuel tanks have expressed of hardship is an unusual circumstances proposed evaporative emission
concern that they do not have hardship which would be available to standards. We have collected and will
significant in-use experience to all businesses, regardless of size. The continue to collect emission test data on
demonstrate the durability of low- second type of hardship is an economic a wide range of technologies for
permeation rotational-molded fuel tanks hardship provision which would be controlling evaporative emissions. The
in boats. To address this uncertainty, available to small businesses only. design-based certification levels
EPA intends to continue to engage on a Sections VIII.C.8 and VIII.C.9 provide a discussed above are based on this test
technical level with rotational-molded description of the proposed hardship data and we may amend the list of
marine fuel tank manufacturers and provisions that would apply to the range approved designs and emission levels as
material suppliers to assess the progress of manufacturers subject to the more data become available.
of low-permeation fuel tank proposed Marine SI and Small SI In the following sections we briefly
development and compliance. If evaporative emission requirements. This describe how we decided to propose
systematic problems are identified would include Marine SI engine specific emission standards and
across the industry, this would give EPA manufacturers, nonhandheld engine implementation dates, followed by a
the opportunity to address the problem. manufacturers, nonhandheld equipment more extensive discussion of the
If problems were identified only for manufacturers, handheld equipment expected emission control technologies.
individual businesses, this would give manufacturers, boat builders, and fuel- A more detailed discussion of the
EPA early notice of the issues that may system component manufacturers. feasibility of the proposed evaporative
need to be addressed through the The proposed criteria for small requirements, including all the
proposed hardship relief provisions. businesses are presented earlier in underlying test data, is included in
Sections III.F.2 and IV.G for Marine SI Chapter 5 of the Draft RIA. See Table
(e) Engineering Design-Based engine manufacturers, Section V.F.2 for VI–1 for a summary of the proposed
Certification nonhandheld engine manufacturers, and evaporative emission standards.
In the existing evaporative emission Section V.F.3 for nonhandheld
program for recreational vehicles, equipment manufacturers. For handheld (1) Level of Standards
manufacturers using metal fuel tanks equipment manufacturers, EPA is The proposed fuel line and fuel tank
may certify by design to the tank proposing to use the existing small- permeation standards for Small SI
permeation standards. Tanks using volume manufacturer criteria which equipment and Marine SI vessels are
design-based certification provisions are relies on a production cut-off of 25,000 based on the standards already adopted
not included in the ABT program pieces of handheld equipment per year. for recreational vehicles. These
because they are assigned a certification For boat builders and fuel-system applications use similar technology in
emission level equal to the standard. component manufacturers, EPA is their fuel systems. In cases where the
The Panel recommended that we proposing to base the determination of fuel systems differ we have identified
propose to allow design-based whether a company is a small business technological approaches that could be
certification for metal tanks and plastic based on the SBA definition. The SBA used to meet these same emission
fuel tanks with a continuous EVOH small business definition for companies levels. The control strategies are
barrier. The Panel also recommended manufacturing boats subject to the discussed below. For structurally
that we propose design-based proposed standards is fewer than 500 integrated nylon fuel tanks and for fuel
lines used with cold-weather implement the fuel line permeation give these manufacturers additional
equipment, we are proposing slightly standards in 2008 for nonhandheld time to make changes to their
relaxed standards based on available Small SI equipment and in 2009 for production processes to comply with
permeation data. In addition, we have Marine SI vessels. This date is the same the standards and to make any tooling
proposed higher numerical standards as for recreational vehicles and is two changes that may be necessary. We are
for fuel tank permeation for tests years later than the California similarly proposing the implementation
performed at higher temperature (40 °C requirements for Small SI equipment. of fuel tank permeation standards for
vs. 28 °C). These higher numerical For handheld equipment, there are no Class I fuel tanks installed in Small SI
standards are based on data described in fuel line permeation requirements in equipment in 2012, mostly to align with
Chapter 5 of the Draft RIA. California. In addition, injection molded the implementation date for the Phase 3
For fuel tanks installed in personal fuel lines are common in many exhaust emission standards. This is
watercraft and for portable marine fuel applications rather than straight-run especially important for Class I engines
tanks, we are proposing diurnal extruded fuel line. For this reason we where most of the engine manufacturers
emission standards based on the current are proposing to delay implementation will also be responsible for meeting all
capabilities of these systems. We are of fuel line permeation standards for evaporative emission standards. We
basing the proposed standard for other handheld equipment until 2012 (or 2013 request comment on the proposed
installed marine fuel tanks on the for small volume emission families). We implementation dates for the proposed
capabilities of passive systems that store request comment on the proposed fuel tank permeation standards.
emitted vapors in a carbon canister. The implementation dates for fuel line We are proposing to implement the
Draft RIA describes the test results on permeation standards. running loss standards for nonhandheld
passively purged canisters, and other Similar to fuel line technology, low- Small SI equipment in the same year as
technologies, that led us to the proposed permeation fuel tank constructions are the exhaust emission standards. We
level of the diurnal emission standard. used today in automotive and portable believe this is appropriate because the
Control of diffusion emissions from fuel tank applications. This technology running loss vapor will in some cases be
Small SI equipment requires application is also being developed for use in routed to the intake manifold for
of a simple technological approach that recreational vehicles and for Small SI combustion in the engine.
is widely used today. The Draft RIA equipment sold in California. The Manufacturers would need to account
describes the testing we conducted on available technology options include for the effect of the additional running
fuel caps with tortuous vent paths and surface treatment and multi-layer loss vapor in their engine calibrations.
short vent lines on which we based the constructions, though rotational We request comment on this approach.
diffusion emission standard. molding presents some unique design We are proposing to implement the
We have measured running loss challenges. Based on discussions with proposed diurnal standards for portable
emissions and found that some Small SI fuel tank manufacturers, and on our marine fuel tanks and personal
products have very high emission own assessment of the lead time watercraft in 2009. We believe these
levels. The large variety of necessary to change current industry requirements will not result in a
manufacturers and equipment types practices, we believe low-permeation significant change from current practice
makes it impractical to design a fuel tank technology can be applied in so this date will provide sufficient lead
measurement procedure, which means the 2011–2012 model years for Small SI time for manufacturers to comply with
that we are unable to specify a and Marine SI fuel tanks. We are standards. For other installed fuel tanks,
performance standard. We are proposing proposing to implement the fuel tank however, we are proposing a later
a design standard for running losses permeation standards in 2011 for Class implementation date of 2010. The
from Small SI equipment by specifying II equipment and portable and PWC development of canisters as an approach
that manufacturers may use any of a marine fuel tanks. For Class I equipment to control diurnal emissions without
variety of specified design solutions, as and installed marine fuel tanks, we are pressurizing the tanks has substantially
described in Section VI.C.6. Several of proposing an implementation date of reduced the expected level of effort to
these design options are already in 2012. We are proposing to phase-in the redesign and retool for making fuel
common use today. handheld fuel tank standards on the tanks. However, canister technology has
We are proposing to require that following schedule: 2009 for equipment not yet been applied commercially to
equipment and vessel manufacturers models certifying in California, 2013 for marine applications and additional lead
use good engineering judgment in their small-volume families, and 2010 for the time may be necessary to work out
designs to minimize refueling spitback remaining fuel tanks on handheld various technical parameters, such as
and spillage. In general, it would simply equipment. We believe this will design standards and installation
require manufacturers to use system facilitate an orderly transition from procedures to ensure component
designs that are commonly used today. current fuel tank designs to low- durability and system integrity. We
Several refueling spitback and spillage permeation fuel tanks. request comment on the proposed
control strategies are discussed in We are proposing the additional year diurnal implementation dates.
Chapter 5 of the Draft RIA. of lead time for the large fuel tanks
installed in marine vessels largely due (3) Technological Approaches
(2) Implementation Dates to concerns raised over the application We believe several emission control
Low-permeation fuel line is available of low-permeation rotational-molded technologies can be used to reduce
today. Many Small SI equipment fuel tank technology to marine evaporative emissions from Small SI
manufacturers certifying to permeation applications. The majority of these fuel equipment and Marine SI vessels. These
standards in California are selling tanks are typically rotational-molded by emission control strategies are discussed
products with low-permeation fuel line small businesses. Although low- below. Chapter 5 of the Draft RIA
nationwide. In addition, many boat permeation technology has emerged for presents more detail on these
builders have begun using low- these applications, we believe technologies and Chapter 6 provides
permeation marine fuel lines to feed additional lead time will be necessary information on the estimated costs. We
fuel from the fuel tank to the engine. For for all manufacturers to be ready to request comment on these or other
this reason, we are proposing to implement this technology. This will technological approaches for reducing
evaporative emissions from these standard by using a fluoroelastomer method a low-viscosity polymer is
engines and equipment. such as FKM. The Draft RIA also forced into a thin mold to create the two
discusses low-permeation materials that sides of the fuel tank (e.g., top and
(a) Fuel Line Permeation
retain their flexibility at very low bottom), which are then fused together.
Fuel lines produced for use in Small temperatures. To add a barrier layer, a thin sheet of the
SI equipment and Marine SI Automotive fuel lines made of low- barrier material is placed inside the
applications are generally extruded permeation plastic tubing are generally mold before injecting the poleythylene.
nitrile rubber with a cover for abrasion made from fluoroplastics. An added The polyethylene, which generally has
resistance. Fuel lines used in Small SI benefit of these low-permeability fuel a much lower melting point than the
applications often meet SAE J30 R7 lines is that some fluoropolymers can be barrier material, bonds with the barrier
recommendations, including a made to conduct electricity and material to create a shell with an inner
permeation limit of 550 g/m2/day at therefore prevent the buildup of static liner.
23 °C on ASTM Fuel C. Fuel lines for charges. This type of fuel line can A less expensive alternative to
personal watercraft are typically reduce permeation by more than an coextrusion is to blend a low-permeable
designed to meet SAE J2046, which order of magnitude below the level resin with the HDPE and extrude it with
includes a permeation limit of 300 g/m2/ associated with barrier-type fuel lines, a single screw to create barrier platelets.
day at 23 °C on ASTM Fuel C.92 Marine but it is relatively inflexible and would The trade name typically used for this
fuel lines subject to Coast Guard need to be molded in specific shapes for permeation control strategy is Selar. The
requirements under 33 CFR part 183 are each equipment or vessel design. low-permeability resin, typically EVOH
designated as either Type A or Type B Manufacturers have commented that or nylon, creates noncontinuous
and either Class 1 or Class 2. SAE J1527 they need flexible fuel lines to fit their platelets in the HDPE fuel tank to
provides detail on these fuel line many designs, resist vibration, prevent reduce permeation by creating long,
designs. Type A fuel lines pass the U.S. kinking, and simplify connections and tortuous pathways that the hydrocarbon
Coast Guard fire test while Type B fittings. An alternative to custom molecules must navigate to escape
designates fuel lines that have not molding is to manufacture fuel lines through the fuel tank walls. Although
passed this test. Class 1 fuel lines are with a corrugated profile (like a vacuum the barrier is not continuous, this
intended for fuel-feed lines where the hose). Producing flexible fluoropolymer strategy can still achieve greater than a
fuel line is normally in contact with fuel lines is somewhat more expensive 90 percent reduction in permeation of
liquid fuel and has a permeation limit but the result is a product that meets gasoline. EVOH has much higher
of 100 g/m2/day at 23 °C. Class 2 fuel emission standards without permeation resistance to alcohol than
lines are intended for vent lines and fuel compromising in-use performance or nylon so it would likely be the preferred
fill necks where liquid fuel is not ease of installation. material for meeting the proposed
continuously in contact with the fuel standard based on testing with a 10
(b) Fuel Tank Permeation
line; it has a permeation limit of 300 g/ percent ethanol fuel.
Blow-molding is widely used for the Many fuel tanks for Small SI
m2/day at 23 °C. In general practice,
manufacture of Small SI, portable equipment are injection-molded out of
most boat builders use Class 1 fuel lines
marine, and PWC fuel tanks. Typically, either HDPE or nylon. Injection-molding
for both vent lines and fuel-feed lines to
blow-molding is performed by creating can be used with lower production
avoid carrying two types of fuel lines.
a hollow tube, known as a parison, by volumes than blow-molding due to
Most fuel fill necks, which have a much
pushing high-density polyethylene lower tooling costs. In this method, a
larger diameter and are constructed
(HDPE) through an extruder with a low-viscosity polymer is forced into a
differently, use materials meeting screw. The parison is then pinched in thin mold to create the two sides of the
specifications for Class 2 fuel lines. The a mold and inflated with an inert gas. fuel tank; these are then fused together
marine industry is currently in the In highway applications, nonpermeable using vibration, hot plate or sonic
process of revising SAE J1527 to include plastic fuel tanks are produced by blow welding. A strategy such as Selar has
a permeation rating of 15 g/m2/day at molding a layer of ethylene vinyl not been demonstrated to work with
23 °C on fuel CE10 for marine fuel lines. alcohol (EVOH) or nylon between two injection-molding due to high shear
Low-permeability fuel lines are in layers of polyethylene. This process is forces.
production today. One fuel line design, called coextrusion and requires at least An alternative to injection-molding is
already used in some marine five layers: the barrier layer, adhesive thermoforming which is also cost-
applications, uses a thermoplastic layer layers on either side of the barrier layer, effective for lower production volumes.
between two rubber layers to control and two outside layers of HDPE that In this process, sheet material is heated
permeation. This thermoplastic barrier make up most of the thickness of the and then drawn into two vacuum dies.
may either be nylon or ethyl vinyl fuel tank walls. However, multi-layer The two halves are then fused while the
acetate. Barrier approaches in construction requires additional plastic is still molten to form the fuel
automotive applications include fuel extruder screws, which significantly tank. Low-permeation fuel tanks can be
lines with fluoroelastomers such as increases the cost of the blow-molding constructed using this process by using
FKM and fluoroplastics such as Teflon process. One manufacturer has multi-layer sheet material. This multi-
and THV. In addition to presenting data developed a two-layer barrier approach layer sheet material can be extruded
on low-permeation fuel lines, Chapter 5 using a polyarylamide inner liner. This using similar materials to multi-layer
of the Draft RIA lists several fuel-system technology is not in production yet but blow-molded fuel tank designs. A
materials and their permeation rates. appears to be capable of permeation typical barrier construction would
Molded rubber fuel line components, levels similar to the traditional EVOH include a thin EVOH barrier, adhesion
such as primer bulbs and some barrier designs. This approach would layers on both sides, a layer of HDPE
handheld fuel lines, could meet the enable blow-molding of low-permeation regrind, and outside layers of pure
92 Society of Automotive Engineers Surface
fuel tanks with only one additional virgin HDPE.
Vehicle Standard, ‘‘Personal Watercraft Fuel extruder screw. Regardless of the molding process,
Systems,’’ SAE J2046, Issues 1993–01–19 (Docket Multi-layer fuel tanks can also be another type of low-permeation
EPA–HQ–OAR–2004–0008–0179). formed using injection molding. In this technology for HDPE fuel tanks would
be to treat the surfaces with a barrier testing on fluorinated fuel tanks that The second approach to creating a
layer. Two ways of achieving this are have been exposed to fuel for more than barrier layer on XLPE rotational-molded
known as fluorination and sulfonation. a year with excellent results. These fuel tanks is to use an epoxy barrier
The fluorination process causes a results are presented in the Draft RIA. coating. One manufacturer has
chemical reaction where exposed Manufacturers have also commented demonstrated that a low-permeation
hydrogen atoms are replaced by larger that fuel sloshing in the tank under barrier coating can be adhered to an
fluorine atoms, which creates a barrier normal in-use operation could wear off XLPE fuel tank that results in a
on the surface of the fuel tank. In this the surface treatments. However, we permeation rate below the proposed
process, batches of fuel tanks are believe this is unlikely to occur. These standard. In this case, the manufacturer
generally processed post-production by surface treatments actually result in an used a low level of fluorination to
stacking them in a steel container. The atomic change in the structure of the increase the surface energy of the XLPE
container is then voided of air and surface of the fuel tank. To wear off the so the epoxy would adhere properly.
flooded with fluorine gas. By pulling a treatment, the plastic itself would need Marine fuel tanks are also fabricated
vacuum in the container, the fluorine to be worn away. In addition, testing by out of either metal or fiberglass. Metal
gas is forced into every crevice in the California ARB shows that the fuel tank does not permeate so tanks that are
fuel tanks. Fluorinating with this permeation standard can be met by fuel constructed and installed properly to
process would treat both the inside and tanks that have undergone 1.2 million prevent corrosion should meet the
outside surfaces of the fuel tank, thereby slosh cycles. Test data on a sulfonated proposed standards throughout their
improving the reliability and durability automotive HDPE fuel tank after five full service life. For fiberglass fuel tanks,
of the permeation-resistance. As an years of use showed no deterioration in one manufacturer has developed a
alternative, fuel tanks can be fluorinated the permeation barrier. These data are composite that has been demonstrated
during production by exposing the presented in Chapter 5 of the Draft RIA. to meet the proposed fuel tank
inside surface of the fuel tank to A fourth method for molding plastic permeation standard. Permeation
fluorine during the blow-molding fuel tanks is called rotational-molding. control is achieved by incorporating
process. However, this method may not fillers into a resin system and coating
Rotational-molding is a lower-cost
prove as effective as post-production the assembled tank interior and exterior.
alternative for smaller production
fluorination. This filler is made up of
volumes. In this method, a mold is filled
Sulfonation is another surface nanocomposites (very small particles of
with a powder form of polyethylene
treatment technology where sulfur treated volcanic ash) which are
with a catalyst material. While the mold
trioxide is used to create the barrier by dispersed into a carrier matrix. These
is rotated in an oven, the heat melts the
reacting with the exposed polyethylene particles act like the barrier platelets
plastic. When cross-link polyethylene
to form sulfonic acid groups on the discussed above by creating a tortuous
(XLPE) is used, this heat activates a
surface. Current practices for pathway for hydrocarbon migration
catalyst in the plastic, which causes a
sulfonation are to place fuel tanks on a through the walls of the fuel tank.
strong cross-link material structure to
small assembly line and expose the
form. This method is often used for (c) Diurnal
inner surfaces to sulfur trioxide, then
rinse with a neutralizing agent. relatively large fuel tanks in Small SI Portable marine fuel tanks are
However, sulfonation can also be equipment and for installed marine fuel currently equipped with a valve that can
performed using a batch method. Either tanks. The advantages of this method be closed by the user when the tank is
of these sulfonation processes can be are low tooling costs, which allow for stored to hold vapor in the fuel tank.
used to reduce gasoline permeation by smaller production volumes, and These fuel tanks are designed to hold
more than 95 percent. increased strength and flame resistance. the pressure that builds up when a
Over the first month or so of use, Flame resistance is especially important sealed fuel tank undergoes normal daily
polyethylene fuel tanks can experience for installed marine fuel tanks subject to warming. This valve must be opened
a material expansion of as much as three 33 CFR part 183. At this time, the when the engine is operating to prevent
percent due to saturation of the plastic barrier treatment approaches discussed a vacuum from forming in the fuel tank
with fuel. Manufacturers have raised the above for HDPE have not been as the fuel level in the tank decreases.
concern that this hydrocarbon demonstrated to be effective for XLPE. A vacuum in the fuel tank could prevent
expansion could degrade the We have evaluated two permeation fuel from being drawn into the engine.
effectiveness of surface treatments like control approaches for rotational- Because the valve is user-controlled,
fluorination or sulfonation. However, molded fuel tanks. The first is to form any emission control is dependent on
we believe this will not significantly an inner layer during the molding user behavior. This can be corrected by
affect these surface treatments. process. Historically, the primary replacing the user-controlled valve with
California ARB has performed extensive approach for this is to use a drop-box a simple one-way valve in the fuel cap.
permeation testing on portable fuel that opens after the XLPE tank begins to For instance, a diaphragm valve that is
containers with and without these form. However, processes have been common in many automotive
surface treatments. Prior to the developed that eliminate the need for a applications seals when under pressure
permeation testing, the tanks were drop box. With this construction a low- but opens at low-vacuum conditions.
prepared by performing a durability permeation inner liner can be molded Personal watercraft currently use
procedure where the fuel container into the fuel tank. Manufacturers are sealed systems with pressure-relief
cycled a minimum of 1,000 times currently developing acetyl copolymer, valves that start venting vapors when
between—1 psi and 5 psi. In addition, nylon, and polybutylene terephthalate pressures reach a threshold that ranges
the fuel containers were soaked with inner liners for this application. In fact, from 0.5 to 4.0 psi. We believe the
fuel for a minimum of four weeks before one fuel tank manufacturer is already proposed standard can be met through
testing. Their test data, presented in selling tanks with a nylon inner liner the use of a sealed fuel system with a
Chapter 5 of the Draft RIA, show that into Class II Small SI equipment 1.0 psi pressure-relief valve. Personal
fluorination and sulfonation are still applications. Initial testing suggests that watercraft should therefore be able to
effective after this durability testing. We these barrier layers could be used to meet the proposed standard with little
have conducted our own permeation achieve the proposed standards. or no change to current designs.
For other vessels with installed fuel fuel tank would prevent liquid fuel from percent, depending on tank size.
tanks, manufacturers have commented reaching the canister or escaping from However, bladder fuel tanks have safety
that even 1.0 psi of pressure would be the tank. Any pressure build-up from advantages and they are already sold by
too high for their applications. They such a valve would cause fuel to back at least one manufacturer to meet
expressed concern that their fuel tanks up the fill neck and shut off the fuel market demand in niche applications.
had large, flat surfaces that would dispensing nozzle. Manufacturers have
deform or leak at pressures of 0.5 psi or also expressed concerns for canister (d) Running Loss
higher. This concern led us to consider durability in marine applications due to Running loss emissions can be
several technologies for controlling vibration, shock, and humidity. controlled by sealing the fuel cap and
diurnal emissions without pressurizing However, there are now marine grades routing vapors from the fuel tank to the
the tank, including carbon canisters, of activated carbon that are harder and engine intake. In doing so, vapors
volume-compensating air bags, and more moisture-resistant than typical generated by heat from the engine will
bladder fuel tanks. automotive carbon. Industry installed be burned in the engine’s combustion
The primary evaporative emission canisters equipped with the marine chamber. It may be necessary to use a
control device used in automotive grade carbon on 14 boats in a pilot valve or limited-flow orifice in the
applications is a carbon canister. With program and no problems were purge line to prevent too much fuel
this technology, vapor generated in the encountered. This is discussed in more vapor from reaching the engine and to
tank is vented to a canister containing detail in Chapter 5 of the Draft RIA. prevent liquid fuel from entering the
activated carbon. The fuel tank must be Another concept for minimizing line if the equipment flips over.
sealed such that the only venting that pressure in a sealed fuel tank is through Depending on the configuration of the
occurs is through the carbon canister. the use of a volume-compensating air fuel system and purge line, a one-way
This prevents more than a minimal bag. The purpose of the bag is to fill up valve in the fuel cap may be desired to
amount of positive or negative pressure the vapor space above the liquid fuel. prevent a vacuum in the fuel tank
in the tank. The activated carbon By minimizing the vapor space, the during engine operation. We anticipate
collects and stores the hydrocarbons. equilibrium concentration of fuel vapors that a system like this would eliminate
The activated carbon bed in the canister occupies a smaller volume, resulting in running loss emissions. However,
is refreshed by purging. a smaller mass of vapors. As the higher temperatures during operation
In a marine application, an engine equilibrium vapor concentration and the additional length of vapor line
purge is not practical; therefore, increases with increasing temperature, would slightly increase permeation.
canisters were not originally considered the vapor space expands, which forces Considering these effects, we still
to be a practical technology for air out of the bag through the vent to believe that the system described here
controlling diurnal vapor from boats. atmosphere. Because the bag volume would reduce running losses from Small
Since that time, however, we have decreases to compensate for the SI equipment by more than 90 percent.
collected information showing that the expanding vapor space, total pressure Other approaches would be to move the
canister is purged sufficiently during inside the fuel tank stays very close to fuel tank away from heat sources or to
cooling periods to reduce diurnal atmospheric pressure. Once the fuel
use heat protection such as a shield or
emissions effectively. When the fuel in tank cools in response to cooling
directed air flow.
the tank cools, fresh air is drawn back ambient temperatures the resulting
through the canister into the fuel tank. vacuum in the fuel tank will make the We are not considering running loss
This fresh air partially purges the bag expand again by drawing air from controls for marine vessels. For portable
canister and returns hydrocarbons to the the surrounding environment. Our test fuel tanks and installed fuel tanks on
fuel tank. This creates open sites in the results show that pressure could be kept larger vessels we would expect the
carbon so the canister can again collect below 0.8 psi using a bag with a significant distance from the engine and
vapor during the next heating event. capacity equal to 25 percent of the fuel the cooling effect of operating the vessel
Test data presented in Chapter 5 of the tank capacity. The use of a volume- in water to prevent significant heating of
Draft RIA show that a canister starting compensating air bag, in conjunction the fuel tanks during engine operation.
from empty is more than 90 percent with a pressure-relief valve, would be For personal watercraft, fuel tanks have
effective until it reaches the point of very effective in controlling diurnal a sealed system with pressure relief that
saturation. Once it reaches saturation, a emissions. should help contain running loss
canister is still capable of reducing Probably the most effective emissions. For other installed fuel tanks,
diurnal emissions by more than 60 technology for reducing diurnal we would expect the system for
percent due to the normal airflow across emissions from marine fuel tanks is controlling diurnal emissions would
the canister bed during cooling periods. through the use of a collapsible fuel capture about half of any running losses
Adding active purging during engine bladder. In this concept, a low- that would occur.
operation would improve the level of permeation bladder is installed in the (e) Diffusion
control somewhat depending on how fuel tank to hold the fuel. As fuel is
often the engine is operated. drawn from the bladder the vacuum Many manufacturers today use fuel
Manufacturers have raised the created collapses the bladder. There is, caps that effectively limit the diffusion
concern that it is common for fuel to therefore, no vapor space and no of gasoline from fuel tanks. In fact, the
pass out the vent line during refueling. pressure build-up from fuel heating. No proposed diffusion emission standard
If there were a canister in the vent line vapors would be vented to the for Small SI equipment is based to a
it would become saturated with fuel. atmosphere since the bladder is sealed. large degree on the diffusion control
While this would not likely cause This option could also significantly capabilities of these fuel caps. As
permanent damage to the canister, we reduce emissions during refueling that discussed in Chapter 5 of the Draft RIA,
believe marine fuel systems should would normally result from dispensed venting a fuel tank through a tube
prevent liquid fuel from exiting the vent fuel displacing vapor in the fuel tank. (rather than through an open orifice)
line for both environmental and safety We have received comments that this also greatly reduces diffusion. We have
reasons. A float valve or small orifice in would be cost-prohibitive because it conducted additional testing with short,
the entrance to the vent line from the could increase costs from 30 to 100 narrow-diameter vent lines that provide
enough resistance to diffusion to meet For marine vessels, we considered a VII. General Concepts Related to
the proposed emission standards. less stringent alternative, where there Certification and Other Requirements
A secondary benefit of the running would be no diurnal emission standard This section describes general
loss control described above for Small for vessels with installed fuel tanks. concepts concerning the proposed
SI equipment relates to diffusion However, installed fuel tanks on marine emission standards and various
emissions. In a system that vents vessels are much larger in capacity than requirements related to these standards.
running loss vapors to the engine, those used in Small SI applications. Our There is a variety of proposed
venting losses would occur through the analysis indicates that traditional requirements that serve to ensure
vapor line to the engine intake, rather carbon canisters are feasible for boats at effective implementation of the
than through open vents in the fuel cap. relatively low cost. While packaging and emission standards, such as applying for
This approach should therefore vibration are also issues with marine certification, labeling engines, and
eliminate diffusion emissions. applications, we believe these issues meeting warranty requirements. The
have been addressed. Carbon canisters following discussion reviews these
(4) Regulatory Alternatives were installed on fourteen boats by requirements for Small SI engines and
We considered both less and more industry in a pilot program. The results outboard and personal-watercraft
stringent evaporative emission control demonstrated the feasibility of this engines that have already been subject
alternatives for fuel systems used in technology. The proposed standards to exhaust emission standards, explains
Small SI equipment and Marine SI would be achievable through
a variety of changes, and describes how
vessels. Chapter 11 of the Draft RIA engineering design-based certification
these provisions apply to evaporative
presents details on this analysis of with canisters that are very much
emissions. Sterndrive and inboard
regulatory alternatives. The results of smaller than the fuel tanks. In addition,
marine engines will be subject to
this analysis are summarized below. We sealed systems, with pressure control
emission standards for the first time so
believe the proposed permeation strategies would be accepted under the
all these requirements are new for those
standards are reflective of available proposed engineering design-based
engines.
technology and represent a step change certification. For a more stringent Rather than making changes to
in emissions performance. Therefore, scenario, we consider a standard that
existing regulations, we have drafted
we consider the same permeation would require boat builders to use an
new regulatory text describing the new
control scenario in the less stringent and actively purged carbon canister. This
emission standards and related
more stringent regulatory alternatives. means that, when the engine is
requirements and included that text in
operating, it would draw air through the
For Small SI equipment, we this proposal. The proposed regulations
canister to purge the canister of stored
considered a less stringent alternative are written in plain-language format. In
hydrocarbons. However, we rejected
without running loss emission addition to the improved clarity of the
this option because active purge occurs
standards Small SI engines. However, regulatory text, this allows us to
infrequently due to the low hours of
we believe controlling running loss and harmonize the regulations with our
operation per year seen by many boats.
diffusion emissions from nonhandheld The gain in overall efficiency would be other programs requiring control of
equipment is feasible at a relatively low quite small relative to the complexity engine emissions.93
cost. Running loss emissions can be The proposed regulatory text migrates
active purge adds into the system in that
controlled by sealing the fuel cap and the existing requirements for Small SI
the engine must be integrated into a
routing vapors from the fuel tank to the engines, including all the emission
vessel-based control strategy. The
engine intake. Other approaches would standards and other requirements
additional benefit of an actively purged
be to move the fuel tank away from heat related to getting and keeping a valid
diurnal control system is small in
sources or to use heat protection such as comparison to the cost and complexity certificate of conformity, from 40 CFR
a shield or directed air flow. Diffusion of such a system. part 90 to 40 CFR part 1054. For
can be controlled by simply using a nonhandheld engines, manufacturers
tortuous tank vent path, which is (5) Our Conclusions must comply with all the provisions in
commonly used today on Small SI We believe the proposed evaporative part 1054 once the Phase 3 standards
equipment to prevent fuel splashing or emission standards reflect what begin to apply in 2011 or 2012. For
spilling. These emission control manufacturers can achieve through the handheld engines, manufacturers must
technologies are relatively straight- application of available technology. We comply with the provisions in part 1054
forward, inexpensive, and achievable in believe the proposed lead time is starting in 2010. Similarly, we are
the near term. Not requiring these necessary and adequate for fuel tank proposing to migrate the existing
controls would be inconsistent with manufacturers, equipment requirements for Marine SI engines from
section 213 of the Clean Air Act. For a manufacturers, and boat builders to 40 CFR part 91 to 40 CFR part 1045.
more stringent alternative, we select, design, and produce evaporative Manufacturers must comply with the
considered applying a diurnal emission emission control strategies that will provisions in part 1045 for an engine
standard for all Small SI equipment. We work best for their product lines. We once the proposed exhaust emission
believe passively purging carbon expect that meeting these requirements standards begin to apply in 2009.
canisters could reduce diurnal will pose a challenge, but one that is The proposed requirements for
emissions by 50 to 60 percent from feasible when taking into consideration evaporative emissions are described in
Small SI equipment. However, we the availability and cost of technology, 40 CFR part 1060, with some category-
believe some important issues would lead time, noise, energy, and safety. The specific provisions in 40 CFR parts 1045
need to be resolved for diurnal emission role of these factors is presented in and 1054, which are referred to as the
control, such as cost, packaging, and detail in Chapters 5 and 6 of the Draft exhaust standard-setting parts for each
vibration. The cost sensitivity is RIA. As discussed in Section X, we do
93 For additional background related to plans for
especially noteworthy given the not believe the proposed standards
migrating regulations, see ‘‘Plain Language Format
relatively low emissions levels (on a would have negative effects on energy, of Emission Regulations for Nonroad Engines,’’
per-equipment basis) from such small noise, or safety and may lead to some EPA420–F–02–046, September 2002 (http://
fuel tanks. positive effects. www.epa.gov/otaq/regs/nonroad/2002/f02046.pdf).
type of engine. Adopting the provisions A. Scope of Application This proposed definition would apply
related to evaporative emissions in a This proposal covers spark-ignition to engines, equipment, and vessels so
broadly applicable part has two main propulsion marine engines and vessels the nonroad equipment using these
advantages. First, we anticipate that in powered by those engines introduced engines would be considered new until
many cases boat builders, equipment into commerce in the United States. The their title has been transferred to an
manufacturers, and manufacturers of ultimate buyer. In Section VII.B.1 we
proposal also covers other nonroad
fuel-system components will need to describe how to determine the model
spark-ignition engines rated at or below
certify their products only to the year of individual engines, equipment,
19 kW and the corresponding
standards for evaporative emissions, and vessels.
equipment. The following sections To further clarify the proposed
with no corresponding responsibility for describe generally when emission
exhaust emissions. These companies definition of new nonroad engine, we
standards apply to these products. Refer are proposing to specify that a nonroad
will not need to focus on the exhaust to the specific program discussion in
standard-setting part except to read the engine, equipment, or vessel is placed
Sections III through VI for more into service when it is used for its
short section defining the evaporative information about the scope of intended purpose. We are therefore
emission standards and requirements. application and timing of the proposed proposing that an engine subject to the
Second, manufacturers of fuel-system standards. proposed standards is used for its
components make products that are not
(1) Do the standards apply to all intended purpose when it is installed in
necessarily unique to a specific category
engines, equipment, and vessels or only a vessel or other piece of nonroad
of engines. The regulations in 40 CFR equipment. We need to make this
to new products?
parts 1045 and 1054 will highlight the clarification because some engines are
standards that apply and provide any The scope of this proposal is broadly
made by modifying a highway or land-
specific directions in applying the set by Clean Air Act section 213(a)(3),
based nonroad engine that has already
general provisions in part 1060. The which instructs us to set emission
been installed on a vessel or other piece
standards, test procedures, and standards for new nonroad engines and
of equipment, so without this
certification provisions are almost new nonroad vehicles. Generally
clarification, these engines may escape
completely uniform across our programs speaking, the proposed rule is intended
regulation. For example, an engine
so this combined set of evaporative- to cover all new engines and vehicles in
installed in a marine vessel after it has
related provisions will make it much the identified categories (including any
been used for its intended purpose as a
easier for companies to certify their associated vehicles, vessels, or other
land-based highway or nonroad engine
products if they are not subject to the equipment). Once the emission
is considered ‘‘new’’ under this
exhaust emission standards. In Section standards apply to an engine, piece of
definition. We believe this is a
XI we describe how we might apply the equipment, or fuel-system component
reasonable approach because the
provisions of part 1060 to recreational manufacturers must get a certificate of
practice of adapting used highway or
vehicles regulated under 40 CFR part conformity from us before selling them
land-based nonroad engines may
1051. or otherwise introducing them into
become more common if these engines
commerce in the United States. Note
Other provisions describing general are not subject to the standards in this
that the term ‘‘manufacturer’’ includes
testing procedures, including detailed proposal.
any individual or company introducing In summary, an engine would be
laboratory and equipment specifications into commerce in the United States
and procedures for equipment subject to the proposed standards if it is:
engines, equipment, vessels, or • Freshly manufactured, whether
calibration and emission measurements, components that are subject to emission
are written in 40 CFR part 1065. The domestic or imported; this may include
standards. These Clean Air Act engines produced from engine block
exhaust standard-setting parts also requirements relate to importation and
include testing specifications that are cores;
any other means of introducing covered • Installed for the first time in
specific to each type of engine, products into commerce. In addition to
including duty cycles, test-fuel nonroad equipment after having
any applicable evaporative powered a car, a truck, or a category of
specifications, and procedures to requirements, we also require
establish deterioration factors. See nonroad equipment subject to different
equipment manufacturers that install emission standards;
Section IX for further discussion of engines from other companies to install • Installed in new nonroad
these test procedures. Engines, only certified engines once emission equipment, regardless of the age of the
equipment, and vessels subject to the standards apply. The certificate of engine; or
new standard-setting parts (parts 1045, conformity (and corresponding emission • Imported—whether new or used, as
1054, and 1060) will also be subject to control information label) provides long as the engine was not built before
the general compliance provisions in 40 assurance that manufacturers have met the initial emission standards started to
CFR part 1068. These include their obligation to make engines, apply.
prohibited acts and penalties, equipment, and vessels that meet
exemptions and importation provisions, emission standards over the useful life (3) When do imported engines,
selective enforcement audits, defect we specify in the regulations. equipment, and vessels need to meet
reporting and recall, and hearing emission standards?
procedures. See Section VIII for further (2) How do I know if my engine or The proposed emission standards
discussion of these general compliance equipment is new? would apply to all new engines,
provisions. Both part 1065 and part We are proposing to define ‘‘new’’ equipment, and vessels that are used in
1068 already apply to various other consistent with previous rulemakings. the United States. According to Clean
engine categories. We are therefore Under the proposed definition, a Air Act section 216 ‘‘new’’ includes
publishing in this proposal only the nonroad engine (or nonroad equipment) engines or equipment that are imported
changes needed to apply the existing is considered new until its title has been by any person, whether freshly
regulations to the engines, equipment, transferred to the ultimate purchaser or manufactured or used. Thus, the
and vessels covered by this rulemaking. the engine has been placed into service. proposed program would include
engines that are imported for use in the engines will need to make sure they timing, idle speed setting, and fuel
United States whether they are imported purchase complying engines for the injection timing. While we recognize the
as loose engines or are already installed products they sell in the United States. need for this practice, we are also
on a vessel or other piece of nonroad concerned that engines maintain a
(5) Are there any new products that
equipment built elsewhere. All consistent level of emission control for
would be exempt from the emission
imported engines would need an EPA- the whole range of adjustability. We are
issued certificate of conformity to clear standards? therefore proposing to require that
customs, with limited exemptions (as We are proposing to extend our basic engines meet emission standards over
described in Section VIII). nonroad exemptions to the engines, the full adjustment range.
If an engine or piece of nonroad equipment, and vessels covered by this Manufacturers would have to provide
equipment that was built after emission proposal. These include the testing a physical stop to prevent adjustment
standards take effect is imported exemption, the manufacturer-owned outside the established range. Operators
without a currently valid certificate of exemption, the display exemption, and would then be prohibited from adjusting
conformity, we would still consider it to the national security exemption. These engines outside this range. Refer to the
be a new engine, equipment, or vessel. exemptions are described in more detail proposed regulatory text for more
This means it would need to comply in Section VIII.C. information about adjustable engine
with the emission standards that apply In addition, the Clean Air Act does parameters. See especially the proposed
based on its model year. Thus, for not consider engines used solely for sections 40 CFR 1045.115 for Marine SI
example, a marine vessel manufactured competition to be nonroad engines so engines and 40 CFR 1054.115 for Small
in a foreign country in 2009, then the proposed emission standards do not SI engines.
imported into the United States in 2010, apply to them. The Clean Air Act (3) Alternate Fuels
would be considered ‘‘new.’’ The similarly does not consider engines
engines on that piece of equipment used in stationary applications to be The emission standards apply to all
would have to comply with the nonroad engines; however, EPA has spark-ignition engines regardless of the
requirements for the 2009 model year, proposed to apply emission standards fuel they use. Almost all Marine SI
assuming that the engine has not been for stationary spark-ignition engines that engines and Small SI engines operate on
modified and no other exemptions are comparable to the standards that gasoline, but these engines may also
apply. This provision is important to apply to nonroad engines (71 FR 33804, operate on other fuels, such as natural
prevent manufacturers from avoiding June 12, 2006). As described in Section gas, liquefied petroleum gas, ethanol, or
emission standards by building V, we are proposing in this notice to methanol. The test procedures in 40
products abroad, transferring their title, apply the Phase 3 standards for Small SI CFR part 1065 describe adjustments
and then importing them as used needed for operating test engines with
engines equally to stationary spark-
products. Note that if an imported oxygenated fuels.
ignition engines at or below 19 kW.
engine has been modified it must meet In some special cases, a single engine
Refer to the program discussions in is designed to alternately run on
emission standards based on the year of Sections III through VI for a discussion
modification rather than the year of different fuels. For example, some
of how the various exclusions apply for engines can switch back and forth
manufacture. See Section V.E.6 and different categories of engines.
Section XI.C for proposed and between natural gas and LPG. We
contemplated restrictions related model B. Emission Standards and Testing request comment on the best way of
years for importation of new engines certifying such engines so they can be
(1) How is the model year determined? in a single engine family, even though
and equipment.
The proposed emission standards are we would normally require engines
(4) Do the standards apply to exported effective on a model-year basis. We are operating on different fuels to be in
engines, equipment, or vessels? proposing to define model year much separate engine families. We could
Engines, equipment, or vessels like we do for passenger cars. It would require such manufacturers to conduct
intended for export would generally not generally mean either the calendar year emission testing with emission-data
be subject to the requirements of the or some other annual production period engines operating on both fuels to
proposed emission control program, based on the manufacturer’s production establish the worst-case configuration.
except that we would not exempt practices. For example, manufacturers In particular, we request comment on
engines exported to countries having could start selling 2006 model year the appropriate data for demonstrating
standards identical to the United States. engines as early as January 2, 2005 as compliance at the end of the service-
However, engines, equipment, or vessels long as the production period extends accumulation period for durability
that are exported and subsequently re- until at least January 1, 2006. All of a testing.
imported into the United States must be manufacturer’s engines from a given Once an engine is placed into service,
certified. For example, this would be the model year would have to meet someone might want to convert it to
case when a foreign company purchases emission standards for that model year. operate on a different fuel. This would
engines manufactured in the United For example, manufacturers producing take the engine out of its certified
States for installation in nonroad new engines in the 2006 model year configuration, so we are proposing to
equipment for export back to the United would need to comply with the 2006 require that someone performing such a
States. Those engines would be subject standards. fuel conversion go through a
to the emission standards that apply on certification process. We would expect
the date the engine was originally (2) How do adjustable engine to allow certification of the complete
manufactured. If the engine is later parameters affect emission testing? engine using normal certification
modified and certified (or recertified), Many engines are designed with procedures, or the aftermarket
the engine is subject to emission components that can be adjusted for conversion kit could be certified using
standards that apply on the date of the optimum performance under changing the provisions of 40 CFR part 85,
modification. So, for example, foreign conditions, such as varying fuel quality, subpart V. This contrasts with the
equipment manufacturers buying U.S.- high altitude, or engine wear. Examples existing provisions that allow for fuel
made engines without recertifying the of adjustable parameters include spark conversions that can be demonstrated
not to increase emission levels above be classified in the same emission Clean Air Act section 206(h) specifies
the applicable standard. We propose to family. The emission family definition that test procedures for certification
apply this requirement starting January is fundamental to the certification (including the test fuel) should
1, 2010. (See § 90.1003 and § 1054.635.) process and to a large degree determines adequately represent in-use operation.
the amount of testing required for We are proposing test fuel specifications
C. Demonstrating Compliance
certification. The proposed regulations intended to represent in-use fuels.
We are proposing a compliance include specific engine characteristics Engines would have to meet the
program to accompany emission for grouping emission families for each standards on fuels with properties
standards. This consists first of a category of products. To address a anywhere in the range of proposed test
process for certifying engine models and manufacturer’s unique product mix, we fuel specifications. The test fuel is
fuel systems (either as a part of or may approve using broader or narrower generally to be used for all testing
independently from the vessel or emission families as long as the associated with the regulations
equipment). In addition to certification, manufacturer can show that all the proposed in this document, including
we are proposing several provisions to engines in an engine family will have certification, production-line testing,
ensure that emission control systems similar emission control characteristics and in-use testing.
continue to function over long-term over the engines’ useful life. We are proposing to require that
operation in the field. Most of these The useful life period specified in the engine manufacturers give engine
certification and durability provisions regulations defines the period over operators instructions for properly
are consistent with previous which manufacturers are responsible for maintaining their engines. We are
rulemakings for these and other nonroad meeting emission standards. The useful including limitations on the frequency
engines, equipment, and vessels. Refer life values included in our regulations of scheduled maintenance that a
to the discussion of the specific are intended to reflect the period during manufacturer may specify for emission-
programs in Sections III through VI for which engines are designed to properly related components to help ensure that
additional information about these function without being remanufactured. emission control systems do not depend
requirements for each engine category. Useful life values are unique for each on an unreasonable expectation of
(1) How would I certify my engines, category of engines. As proposed, for maintenance in the field. These
equipment, or vessels? purposes of certification, manufacturers maintenance limits would also apply
would be required to use test data to during any service accumulation that a
Sections III through VI describe the estimate the rate of deterioration for manufacturer may do to establish
proposed emission standards for new each emission family over its useful life. deterioration factors. This approach is
engines, equipment, and vessels. Manufacturers would show that each common to all our engine programs. We
Section VI in particular describes which emission family meets the emission are proposing new regulatory language
companies are responsible for certifying standards after incorporating the to clarify that engine manufacturers may
to the new standards. This section estimated deterioration in emission perform emission-related maintenance
describes the general certification control. during service accumulation only to the
process. The emission-data engine is the extent that they can demonstrate that
We are proposing a certification engine from an emission family that will such maintenance will be done with in-
process similar to that already adopted be used for certification testing. To use engines. It is important to note,
for these and other engines and ensure that all engines in the family however, that these provisions would
equipment. Certifying manufacturers meet the standards, we are proposing not limit the maintenance an operator
generally test representative prototype that manufacturers select for could perform. It would merely limit the
engines or fuel system components and certification testing the engine from the maintenance that operators would be
submit the emission data along with family that is most likely to exceed expected to perform on a regularly
other information to EPA in an emission standards. In selecting this scheduled basis. Some of these
application for a Certificate of ‘‘worst-case’’ engine, the manufacturer requirements are new for engines that
Conformity. If we approve the uses good engineering judgment. are already subject to standards. We
application, then the manufacturer’s Manufacturers would consider, for believe it is important to define limits
Certificate of Conformity allows the example, all engine configurations and to these maintenance parameters,
manufacturer to sell the engines, power ratings within the emission especially with the expectation that
equipment, or vessels described in the family and the range of allowed options. engines will begin to incorporate
application in the United States. We are Requiring the worst-case engine to be aftertreatment technologies. See
proposing to include clarifying language tested ensures that all engines within § 1045.125 and § 1054.125 of the
to specify that the certificate is valid the emission family are complying with proposed regulations for more
starting with the indicated effective emission standards. A similar approach information.
date, but that it is not valid for any would be used for evaporative emission
production after December 31 of the control systems in emission families. (2) What emission labels are required?
model year for which it is issued. We We are proposing to require Once an emission family is certified
are also proposing a provision to manufacturers to include in their every product a manufacturer produces
preclude issuance of certificates after application for certification the results from that emission family would need
December 31 of a given model year. This of all emission tests from their emission- an emission label with basic identifying
would avoid a situation in which a data units (engines, fuel tanks, etc.), information. We request comment on
manufacturer receives certification after including any diagnostic-type the proposed requirements for the
it is no longer valid for further measurements (such as ppm testing) and design and content of engine labels,
production. invalidated tests. This complete set of which are detailed in § 1045.135 and
We are proposing that manufacturers test data ensures that the valid tests § 1054.135 of the proposed regulation
certify their engine models by grouping forming the basis of the manufacturer’s text.
them into emission families. Under this application are a robust indicator of The current regulations require
approach, engines expected to have emission control performance rather equipment manufacturers to put a
similar emission characteristics would than a spurious or incidental test result. duplicate label on the equipment if the
engine is installed in a way that (4) What warranty requirements apply new standard. Emission-credit programs
obscures the label on the engine. We are to engines or other products that are also create an incentive for the early
proposing to clarify this requirement for subject to emission standards? introduction of new technology, which
duplicate labels to ensure that labels are Consistent with our current emission allows certain emission families to act
accessible without creating a supply of control programs, we are proposing that as trailblazers for new technology. This
duplicate labels that are not authentic or manufacturers provide a design and can help provide valuable information
are not used appropriately. Specifically, defect warranty covering emission- to manufacturers on the technology
we are proposing to require engine related components. If the manufacturer before they apply the technology
manufacturers to supply duplicate throughout their product line. This early
offers a longer mechanical warranty for
introduction of clean technology
labels to equipment manufacturers that the engine or any of its components
improves the feasibility of achieving the
request them and keep records to show without an additional charge, the
standards and can provide valuable
how many labels they supply. Similarly, proposed regulations would require that
information for use in other regulatory
we are proposing that equipment the emission-related warranty period
programs that may benefit from similar
manufacturers must request from engine must be at least as long as the
technologies.
manufacturers a specific number of commercial warranty for the engine or Emission-credit programs generally
duplicate labels, with a description of the applicable components. Extended involve averaging, banking, or trading.
which engine and equipment models warranties that are available for an extra Averaging would allow a manufacturer
are involved and why the duplicate price would not trigger a need for a to certify one or more emission families
labels are necessary. Equipment longer emission-related warranty. See at emission levels above the applicable
manufacturers would need to destroy the proposed regulation language for a emission standards as long as the
any excess labels and keep records to description of which components are increased emissions are offset by one or
emission-related. more emission families certified below
show the disposition of all the labels
If an operator makes a valid warranty the applicable standards. The over-
they receive. This would make it easier
claim for an emission-related complying families generate credits that
for us to verify that engines are meeting component during the warranty period,
requirements and it would be easier for are used by the under-complying
the engine manufacturer is generally families. Compliance is determined on a
U.S. Customs to clear imported obligated to replace the component at
equipment with certified engines. total mass emissions basis to account for
no charge to the operator. The engine differences in production volume,
(3) What requirements apply to manufacturer may deny warranty claims power, and useful life among emission
auxiliary emission control devices? if the operator failed to do prescribed families. The average of all emissions
maintenance that contributed to the for a particular manufacturer’s
Clean Air Act section 203(a) and warranty claim. production must be at or below the level
existing regulations prohibit the use of We are also proposing a defect of the applicable emission standards.
a defeat device (see 40 CFR 90.111 and reporting requirement that applies This calculation generally factors in
91.111). The defeat device prohibition is separately from the emission-related sales-weighted average power,
intended to ensure that engine warranty (see Section VIII.F). In general, production volume, useful life, and load
manufacturers do not use auxiliary defect reporting applies when a factor. Banking and trading would allow
emission control devices (AECD) in a manufacturer discovers a pattern of a manufacturer to generate emission
regulatory test procedure that reduce the component failures whether that credits and bank them for future use in
effectiveness of the emission control information comes from warranty its own averaging program in later years
system during operation that is not claims, voluntary investigation of or sell them to another company.
product quality, or other sources. A manufacturer choosing to
substantially included in the regulatory
test procedure.94 We are proposing to (5) Can I meet standards with emission participate in an emission-credit
require manufacturers to describe their credits? program would certify each
participating emission family to a
AECDs and explain why these are not We are proposing a new emission- Family Emission Limit (FEL). In its
defeat devices. credit program for sterndrive and certification application, a manufacturer
Under the current regulations, there inboard marine engines and for would determine a separate FEL for
has been limited use of AECDs. evaporative emissions. We are also each pollutant included in the emission-
However, with the proposed new proposing to revise the existing credit program. The FEL selected by the
emission standards and the emission-credit provisions for outboard manufacturer becomes the emission
corresponding engine technologies, we and personal-watercraft engines and for standard for that emission family.
expect manufacturers to increase their Small SI engines. An emission-credit Emission credits are based on the
use of engine designs that rely on program is an important factor we take difference between the emission
AECDs. Disclosure of the presence and into consideration in setting emission standard that applies and the FEL. The
purpose of an AECD is essential in standards that are appropriate under engines have to meet the FEL for all
allowing us to evaluate the AECD and Clean Air Act section 213. An emission- emission testing. At the end of the
credit program can reduce the cost and model year, manufacturers would
determine whether it represents a defeat
improve the technological feasibility of generally need to show that the net
device.
achieving standards, helping to ensure effect of all their emission families
the standards achieve the greatest participating in the emission-credit
achievable reductions, considering cost program is a zero balance or a net
94 Auxiliary emission control device is defined at

and other relevant factors, in a time positive balance of credits. A
40 CFR 90.2 and 91.2 as ‘‘ any element of design
frame that is earlier than might manufacturer could generally choose to
that senses temperature, vehicle speed, engine
RPM, transmission gear, or any other parameter for otherwise be possible. Manufacturers include only a single pollutant from an
the purpose of activating, modulating, delaying or gain flexibility in product planning and emission family in the emission-credit
deactivating the operation of any part of the the opportunity for a more cost-effective program or, alternatively, to establish an
emission control system.’’ introduction of product lines meeting a FEL for each of the regulated pollutants.
Refer to the program discussions in engine speed when a production engine line engines in a particular emission
Sections III through VI for more is mapped according to our specified family (see Section VIII.E).
information about emission-credit mapping procedures. The maximum If an engine fails to meet an emission
provisions for individual engine or engine power is the maximum power standard, the manufacturer must modify
equipment categories. We request point on that nominal power curve. This it to bring that specific engine into
comment on all aspects of the emission- has become the standard approach for compliance. If too many engines exceed
credit programs discussed in this all our emission control programs. emission standards, the manufacturer
proposal. In particular, we request Manufacturers would report the will need to correct the problem for the
comment on the structure of the maximum engine power of each engine family. This correction may
proposed emission-credit programs and configuration in the application for involve changes to assembly procedures
how the various provisions may affect certification. As with other engine or engine design, but the manufacturer
manufacturers’ ability to utilize parameters, manufacturers would must, in any case, do sufficient testing
averaging, banking, or trading to achieve ensure that the engines they produce to show that the emission family
the desired emission-reductions in the under the certificate have maximum complies with emission standards.
most efficient and economical way. engine power consistent with those The proposed production-line testing
described in their applications. programs would depend on the
(6) How does EPA define maximum Cumulative Sum (CumSum) statistical
engine power? However, since we recognize that
process for determining the number of
variability is a normal part of engine
Maximum engine power is used to engines a manufacturer needs to test.
production, we allow a tolerance around
calculate the value of emission credits. We have used CumSum procedures for
the nominal value. We would instead
For Small SI engines, it is also used to production-line testing with several
require only that the power specified in
determine whether the standards apply; other engine categories. Each
the application be within the normal
for example engines above 1000 cc are manufacturer selects engines randomly
power range for production engines (see
subject to Small SI standards only if at the beginning of a new sampling
maximum engine power is at or below § 1045.140 and § 1054.140). We would
period. If engines must be tested at a
19 kW. For Marine SI engines, typically expect the specified power to
facility where final assembly is not yet
maximum engine power is also used to be within one standard deviation of the completed, manufacturers must
determine the emission standard that mean power of the production engines. randomly select engine components and
applies to a particular engine and to If a manufacturer determines that the assemble the test engine according to
calculate emission credits. The specified power is outside of the normal their established assembly instructions.
regulations give no specific direction for range for production engines, we may The sampling period is a calendar
defining maximum power for require the manufacturer to amend the quarter for engine families over 1,600
determining whether part 90 applies. application for certification. units. The minimum testing rate for
Marine SI engine manufactures declare Manufacturer could alternatively change these families is five engines per year.
a rated power based on a procedure their engines to conform to the For engine families with projected sales
specified in a voluntary consensus parameters detailed in the application at or below 1,600 units, the sampling
standard, while credit calculations are for certification. In deciding whether to period is a calendar year and the
based on sales-weighted average power require a change to the application for minimum testing rate is two engines.
for an engine family. We are concerned certification, we would consider the We may waive testing requirements for
that these terms and specifications are degree to which the specified power Marine SI engine families with
not objective enough to ensure differed from that of the production projected sales below 150 units per year
consistent application of regulatory engines, the normal power variability and for Small SI engine families with
requirements to all manufacturers. To for those engines, whether the engine projected sales below 5,000 units per
the extent that manufacturers can used or generated emission credits, and year. The CumSum program uses the
determine different values of rated whether the error affects which emission results to calculate the number
power or maximum engine power, they standards apply to the engine. of tests required for the remainder of the
could be subject to different emission (7) What are the proposed production- sampling period to reach a pass or fail
standards and calculate emission credits line testing requirements? determination. If tested engines have
differently for otherwise identical relatively high emissions, the statistical
engines. We believe it is important that We are proposing to modify sampling method calls for an increased
a single power value be determined production-line testing requirements for number of tests to show that the
objectively according to a specific engines already subject to exhaust emission family meets emission
regulatory definition. Note that emission standards and to extend these standards. The remaining number of
maximum engine power is not used requirements to sterndrive and inboard tests is recalculated after the
during engine testing. marine engines. According to these manufacturer tests each engine. Engines
We are proposing to standardize the requirements, manufacturers would selected should cover the broadest range
determination of maximum engine routinely test production-line engines to of production configurations possible.
power by relying primarily on the help ensure that newly assembled Tests should also be distributed evenly
manufacturer’s design specifications engines control emissions at least as throughout the sampling period to the
and the maximum torque curve that the well as the emission-data engines tested extent possible.
manufacturer expects will represent the for certification. Production-line testing Under the CumSum approach, a
actual production engines. Under this serves as a quality-control step, limited number of individual engines
approach the manufacturer would take providing information to allow early can exceed the emission standards
the torque curve that is projected for an detection of any problems with the before the Action Limit is met and the
engine configuration, based on the design or assembly of freshly engine family itself fails under the
manufacturer’s design and production manufactured engines. This is different production-line testing program. If an
specifications, and convert it into a than selective enforcement auditing engine family fails, we may suspend the
‘‘nominal power curve’’ that would where we would give a test order for certificate. The manufacturer would
relate the maximum expected power to more rigorous testing for production- then need to take steps to address the
nonconformity, which may involve determine when an emission family proposed special compliance provisions
amending the application for would become noncompliant. It is designed to address small business
certification. This could involve important to note that this allowance is issues for the different types of engines
corrected production procedures, a intended only to provide flexibility and and other products covered by the rule.
modified engine design. This may also is not intended to affect the stringency Section XIV.B gives an overview of the
involve changing the Family Emission of the standards or the production-line inter-agency process in which we
Limit if there is no defect and the testing program. developed these small-volume
original Family Emission Limit was Refer to the specific program provisions.
established using good engineering discussions in Sections III, IV, and V for
judgment. Note, however, that we VIII. General Nonroad Compliance
additional information about
propose to require manufacturers to Provisions
production-line testing for different
adjust or repair every failing engine and types of engines. This section describes a wide range of
retest it to show that it meets the compliance provisions that apply
emission standards. Note also that all D. Other Concepts
generally to all the engines and
production-line emission measurements (1) What are the proposed emission- equipment that would be subject to the
must be included in the periodic reports related installation instructions? proposed standards. Several of these
to us. This includes any type of provisions apply not only to engine
screening or surveillance tests For manufacturers selling loose
engines to equipment manufacturers, we manufacturers but also to equipment
(including ppm measurements), all data manufacturers installing certified
points for evaluating whether an engine are proposing to require that the engine
manufacturer develop a set of emission- engines, remanufacturing facilities,
controls emissions ‘‘off-cycle,’’ and any operators, and others.
engine tests that exceed the minimum related installation instructions. This
would include anything that the For standards that apply to equipment
required level of testing. or fuel-system components, the
While the proposed requirements may installer would need to know to ensure
that the engine operates within its provisions generally applicable to
involve somewhat more testing than is engine manufacturers would also apply
currently required under 40 CFR part 90 certified design configuration. For
example, the installation instructions to the equipment or component
or 91, there are several factors that limit manufacturers. While this preamble
the additional burden. First, the testing could specify a total capacity needed
from the engine cooling system, section is written as if it would apply to
regulations in 40 CFR part 1065 specify engine exhaust standards, the same
that manufacturers may use field-testing placement of catalysts after final
assembly, or specification of parts provisions would apply for equipment
equipment and procedures to measure or component evaporative standards.
emissions from production-line engines. needed to control evaporative
emissions. If equipment manufacturers We are proposing extensive revisions to
This may substantially reduce the cost the regulations to more carefully make
of testing individual engines by fail to follow the established emission-
related installation instructions, we these distinctions.
allowing much lower-cost equipment
would consider this tampering, which As described in Section VII, we are
for measuring engines following
assembly. could subject them to significant civil proposing to migrate these general
Second, we are proposing to reduce penalties. Refer to the proposed compliance provisions from 40 CFR
the testing requirements for emission regulations for more information about parts 90 and 91 to the established
families that consistently meet emission specific provisions related to regulatory text in 40 CFR part 1068. The
standards. The manufacturer may installation instructions (see § 1045.130 provisions in part 1068 already apply to
request a reduced testing rate for and § 1054.130). other engine categories and we believe
emission families with no production- they can be applied to Small SI engines
(2) What is an agent for service? and Marine SI engines with minimal
line tests exceeding emission standards
for two consecutive years. The We are proposing to require that modification. Note that Section XI.C
minimum testing rate is one test per manufacturers identify an agent for describes a variety of proposed changes
emission family for one year. Our service in the United States in their and updates to the regulatory provisions
approval for a reduced testing rate application for certification. The named in part 1068. We request comment on all
would apply for a single model year. person should generally be available aspects of part 1068 for these engines.
Third, as we have concluded in other within a reasonable time to respond to The following discussion follows the
engine programs, some manufacturers our attempts to make contact, either by sequence of the existing regulatory text
may have unique circumstances that telephone, e-mail, or in person. The in part 1068.95
call for different methods to show that person should also be capable of A. Miscellaneous Provisions (Part 1068,
production engines comply with communicating about matters related to Subpart A)
emission standards. We therefore emission program requirements in
propose to allow a manufacturer to English. (See § 1045.205 and This regulation contains some general
suggest an alternate plan for testing § 1054.205). provisions, including general
production-line engines as long as the applicability and the definitions that
alternate program is as effective at (3) Are there special provisions for apply to part 1068. Other provisions
ensuring that the engines will comply. small manufacturers of these engines, concern good engineering judgment,
A manufacturer’s petition to use an equipment, and vessels? how we would handle confidential
alternate plan should address the need The scope of this proposal includes information, how the EPA
for the alternative and should justify many engine, equipment, and vessel Administrator delegates decision-
any changes from the regular testing manufacturers that have not been
program. The petition must also subject to our regulations or certification 95 The regulatory text in the proposal does not
describe in detail the equivalent process. Many of these manufacturers republish the provisions of part 1068 that we are
not proposing to change. For the latest full-text
thresholds and failure rates for the are small businesses. The sections version of part 1068, see http://www.gpoaccess.gov/
alternate plan. If we approve the plan, describing the proposed emission ecfr/index.html. Note that part 1068 is in Title 40,
we would use these criteria to control program include discussion of Protection of Environment.
making authority, and when we may obligations to meet various certification Equipment manufacturers not
inspect facilities, engines, or records. requirements. We also prohibit selling fulfilling the responsibilities we
The process of testing engines and engine parts that prevent emission describe in this section would be in
preparing an application for control systems from working properly. violation of one or more of the
certification requires the manufacturer Finally, for engines that are excluded prohibited acts described above.
to make a variety of judgments. This from regulation based on their use in
includes, for example, selecting test (3) In-Service Engines (§ 1068.110)
certain applications, we generally
engines, operating engines between prohibit using these engines in The regulations generally prevent
tests, and developing deterioration applications for which emission manufacturers from requiring owners to
factors. EPA has the authority to standards apply. use any certain brand of aftermarket
evaluate whether a manufacturer’s use Each prohibited act has a parts as well as give the manufacturers
of engineering judgment is reasonable. corresponding maximum penalty as responsibility for engine servicing for
The regulations describe the specified in Clean Air Act section 205. emission-related warranty issues,
methodology we use to address any As provided for in the Federal Civil leaving the responsibility for all other
concerns related to a manufacturer’s use Penalties Inflation Adjustment Act of maintenance with the owner. This
of good engineering judgment in cases 1990, Pub. L. 10–410, these maximum proposed regulation would also reserve
where the manufacturer has such penalties are in 1970 dollars and should our right to do testing (or require
discretion (see 40 CFR 1068.5). We will be periodically adjusted by regulation to testing), for example, to investigate
take into account the degree to which account for inflation. The current potential defeat devices or in-use
any error in judgment was deliberate or penalty amount for most violations is noncompliance, as authorized by the
in bad faith. This subpart is consistent $32,500.97 Clean Air Act.
with provisions already adopted for (4) Engine Rebuilding (§ 1068.120)
light-duty highway vehicles and various (2) Equipment Manufacturer Provisions
other nonroad engines. (§ 1068.105) We are proposing to apply rebuild
The provisions of § 1068.105 require provisions for all the nonroad engines
B. Prohibited Acts and Related subject to the proposed emission
Requirements (Part 1068, Subpart B) equipment manufacturers to use
certified engines in their new standards. This approach is similar to
The proposed provisions in this equipment once the emission standards what applies to heavy-duty highway
subpart lay out a set of prohibitions for begin to apply. We would allow a grace engines and most other nonroad
engine manufacturers, equipment period for equipment manufacturers to engines. This is necessary to prevent an
manufacturers, operators, and engine deplete their supply of uncertified engine rebuilder from rebuilding
rebuilders to ensure that engines engines if they follow their normal engines in a way that disables the
comply with the emission standards. inventory practices for buying engines, engine’s emission controls or
These provisions are summarized below rather than stockpiling noncompliant compromises the effectiveness of the
but readers are encouraged to review the (or previous-tier) engines to circumvent emission control system. We are
regulatory text. These provisions are the new standards. proposing minimal recordkeeping
intended to help ensure that each new We require equipment manufacturers requirements for businesses involved in
engine sold or otherwise entered into to observe the engine manufacturers’ commercial engine rebuilding to show
commerce in the United States is emission-related installation that they comply with the regulations.
certified to the relevant standards, that instructions to ensure that the engines In general, anyone who rebuilds a
it remains in its certified configuration remain consistent with the application certified engine must restore it to its
throughout its lifetime, and that only for certification. This may include such original (or a lower-emitting)
certified engines are used in the things as radiator specifications, configuration. Rebuilders must also
appropriate nonroad equipment. diagnostic signals and interfaces, and replace some critical emission control
placement of catalytic converters. components such as fuel injectors and
(1) General Prohibitions (§ 1068.101)
If equipment manufacturers install a oxygen sensors in all rebuilds for
This proposed regulation contains engines that use those technologies.
certified engine in a way that obscures
several prohibitions consistent with the Rebuilders must replace an existing
the engine label, we propose to require
Clean Air Act. We generally prohibit catalyst if there is evidence that it is not
that they add a duplicate label on the
selling a new engine in the United functional; for example, if rattling
States without a valid certificate of equipment. The equipment
manufacturer would need to request pieces inside a catalyst show that it has
conformity issued by EPA, deny us lost its physical integrity, it would need
access to relevant records, or keep us from the engine manufacturer a specific
number of duplicate labels, describe to be replaced. See § 1068.120 for more
from entering a facility to test or inspect detailed information.
engines. In addition, no one may which engine and equipment models
are involved, and explain why the These rebuilding provisions define
manufacture any device that will make good maintenance and rebuilding
emission controls ineffective or remove duplicate labels are necessary.
Equipment manufacturers would need practices to help someone avoid
or disable a device or design element violating the prohibition on ‘‘removing
that may affect an engine’s emission to destroy any excess labels and keep
records to show the disposition of all or disabling’’ emission control systems.
levels, which we would consider These provisions therefore apply also to
tampering. We have generally applied the labels they receive. This would
make it easier for us to verify that individuals who rebuild their own
the existing policies developed for engines. However, we do not require
tampering with highway engines and engines are meeting requirements and it
such individuals to keep records to
vehicles to nonroad engines.96 Other would be easier for U.S. Customs to

clear imported equipment with certified document compliance.
prohibitions reinforce manufacturers’ We request comment on applying
engines.
these proposed requirements for engine
96 ‘‘Interim Tampering Enforcement Policy,’’ EPA
memorandum from Norman D. Shutler, Office of 97 EPA acted to adjust the maximum penalty rebuilding and maintenance to the
General Counsel, June 25, 1974 (Docket A–2000–01; amount in 1996 (61 FR 69364, December 31, 1996). engines and vehicles subject to this
document II–B–20). See also 40 CFR part 19. rulemaking. In addition, we request
comment on the associated engines. For purposes of our (9) Economic Hardship Provision for
recordkeeping requirements. certification requirements, a Small Businesses
manufacturer would receive an An economic hardship provision
C. Exemptions (Part 1068, Subpart C)
exemption if it can show that it would allow small businesses subject to
We are proposing to apply several produces the engine specifically for use the proposed standards to petition EPA
exemptions for certain specific solely in competition (see Sections III for limited additional lead time to
situations, consistent with previous through V for specific provisions). In comply with the standards (see
rulemakings. In general, exempted addition, engines that have been § 1068.250). A small business would
engines would need to comply with the modified for use in competition would have to make the case that it has taken
requirements only in the sections be exempt from the prohibition against all possible business, technical, and
related to the exemption. Note that tampering described above (without economic steps to comply, but the
additional restrictions could apply to need for request). The literal meaning of burden of compliance costs would have
importing exempted engines (see the term ‘‘used solely for competition’’ a significant impact on the company’s
Section VIII.D). We may also require would apply for these modifications. solvency. Hardship relief could include
manufacturers (or importers) to add a We would therefore not allow the requirements for interim emission
permanent label describing that the engine to be used for anything other reductions and/or the purchase and use
engine is exempt from emission than competition once it has been of emission credits. The length of the
standards for a specific purpose. In modified. This also applies to someone hardship relief decided during review of
addition to helping us enforce emission who would later buy the engine, so we the hardship application would be up to
standards, this would help ensure that would require the person modifying the one year, with the potential to extend
imported engines clear Customs without engine to remove or deface the original the relief as needed. We anticipate that
difficulty. engine label and inform a subsequent one to two years would normally be
(1) Testing buyer in writing of the conditions of the sufficient. As part of its application for
exemption. hardship, a company would be required
Anyone would be allowed to request
an exemption for engines used only for to provide a compliance plan detailing
(7) Replacement Engines
research or other investigative purposes. when and how it would achieve
An exemption would be available to compliance with the standards. This
(2) Manufacturer-Owned Engines engine manufacturers without request if hardship provision would be available
Engines that are used by engine that is the only way to replace an engine only to small manufacturers of engines,
manufacturers for development or from the field that was produced before equipment, boats, and fuel system
marketing purposes could be exempted the current emission standards took components subject to the standards.
from regulation if they are maintained effect. If less stringent standards applied For the purpose of determining which
in the manufacturers’ possession and to the old engine when it was new, the manufacturers qualify as a small
are not used for any revenue-generating replacement engine would also have to business, EPA is proposing criteria
service. In contrast with the testing meet those standards. based on either a production cut-off or
exemption, only certificate holders the number of employees. The proposed
(8) Unusual Circumstance Hardship criteria for determining which
would be able to use this exemption.
Provision companies qualify as a small business
(3) Display Engines are contained in Section III.F.2 for SD/
Under the unusual circumstances I engines, Section IV.G for OB/PWC
Anyone may request an exemption for hardship provision, any manufacturer
an engine if it is for display only. engines, Sections V.F.2 for nonhandheld
subject to the proposed standards would engines, V.F.3 for nonhandheld
(4) National Security be able to apply for hardship relief if equipment, and Section VI.G.2.f for
circumstances outside their control handheld equipment, boats, and fuel
Engine manufacturers could receive
cause the failure to comply and if failure system components.
an exemption for engines they can show
are needed by an agency of the federal to sell the subject engines or equipment
or fuel system component would have a (10) Hardship for Equipment
government responsible for national Manufacturers, Vessel Manufacturers,
defense. For cases where the engines major impact on the company’s
solvency (see § 1068.245). An example and Secondary Engine Manufacturers
will not be used on combat applications,
the manufacturer would have to request of an unusual circumstance outside a Equipment manufacturers and boat
the exemption with the endorsement of manufacturer’s control may be an ‘‘Act builders in many cases will depend on
the procuring government agency. of God,’’ a fire at the manufacturing engine manufacturers and fuel system
plant, or the unforeseen shutdown of a component manufacturers to supply
(5) Exported Engines supplier with no alternative available. certified engines and fuel system
Engines that will be exported to The terms and time frame of the relief components in time to produce
countries that do not have the same would depend on the specific complying equipment or boats by the
emission standards as those that apply circumstances of the company and the date emission standards begin to apply.
in the United States would be exempted situation involved. As part of its We are aware of other regulatory control
without need for a request. This application for hardship, a company programs where certified engines have
exemption would not be available if the would be required to provide a been available too late for equipment
destination country has the same compliance plan detailing when and manufacturers to adequately
emission standards as those in the how it would achieve compliance with accommodate changing engine size or
United States. the standards. This hardship provision performance characteristics. To address
would be available to all manufacturers this concern, we are proposing to allow
(6) Competition Engines of engines, equipment, boats, and fuel Small SI equipment manufacturers and
New engines that are used solely for system components subject to the Marine SI boat builders to request up to
competition are excluded from proposed standards, regardless of one extra year before using certified
regulations applicable to nonroad business size. engines or fuel system components if
they are unable to obtain certified (to avoid giving equipment produced in the United States or are
product and they are not at fault and manufacturers an incentive to reduce imported. The regulations in part 1068
would face serious economic hardship costs inappropriately); and (4) also include some additional provisions
without an extension. See § 1068.255 for periodically audit the affected that would apply if someone wants to
the proposed regulatory text related to equipment manufacturers. import an exempted or excluded engine.
this hardship. These provisions are not likely to be All the proposed exemptions
In addition, we are aware that some necessary for most Marine SI engine described above for new engines would
manufacturers of nonroad engines are manufacturers. We do not expect also apply to importation, though some
dependent on another engine outboard or personal watercraft engine of these exemptions apply only on a
manufacturer to supply base engines manufacturers to use aftertreatment temporary basis. An approved
that are then modified for the final technology. For sterndrive/inboard temporary exemption would be
application. Similar to equipment or engines, we expect catalyst designs available only for a defined period. We
vessel manufacturers, these ‘‘secondary generally to be so integral to the exhaust could require the importer to post bond
engine manufacturers’’ may face manifold that engine manufacturers will while the engine is in the United States.
difficulty in producing certified engines include them with their engines. There are several additional proposed
if the manufacturer selling the base However, their may be some less exemptions that would apply only to
engine makes an engine model common designs, such as engines on imported engines.
unavailable with short notice. These large vessels or airboats, where engine • Identical configuration: This is a
secondary engine manufacturers manufacturers may want to use the permanent exemption to allow
generally each buy a relatively small provisions allowing for separate individuals to import engines that were
number of engines and would therefore shipment of aftertreatment. We are designed and produced to meet
not necessarily be able to influence the therefore proposing to adopt the applicable emission standards. These
marketing or sales practices of the provisions of § 1068.260 without change engines may be different than certified
engine manufacturer selling the base for Marine SI engines. engines only in the fact that the
engine. As a result, we are proposing Manufacturers of handheld Small SI emission label is missing because they
that secondary engine manufacturers engines typically build both the engine were not intended for sale in the United
could apply for this hardship as well. and the equipment so we are proposing States.
However, because these secondary not to allow for delegated assembly with • Ancient engines: We would
engine manufacturers control the final these engines. generally treat used engines as new if
design of their modified engine and In contrast, nonhandheld engines they are imported without a certificate
could benefit in the market if they are (especially Class II) are built by engine of conformity. However, this permanent
allowed to produce a product certified manufacturers and sold to equipment exemption would allow for importation
to less stringent standards than their manufacturers, often without complete of uncertified engines if they are more
competitors, we would generally not fuel or exhaust systems. Ensuring that than 20 years old and remain in their
approve an exemption unless the consumers get only engines that are in original configuration.
secondary engine manufacturer a certified configuration therefore • Repairs or alterations: This is a
committed to a plan to make for any requires a carefully crafted program. As temporary exemption to allow
calculated loss in environmental described in Section V.E.2, we are companies to repair or modify engines.
benefit. Provisions similar to this proposing special provisions to This exemption does not allow for
hardship were already adopted for Large accommodate the unique circumstances operating the engine except as needed to
SI engines and recreational vehicles. See related to nonhandheld Small SI do the intended work. This exemption
the existing regulatory text in engines. would also apply for the practice for
§ 1068.255(c). retiring bigger engines; noncompliant
(12) Uncertified Engines Subject to
(11) Delegated Final Assembly engines may be imported under this
Emission Standards
exemption for the purpose of recovering
The regulations in 40 CFR 1068.260 In some cases we require the engine block.
allow for flexible manufacturing for manufacturers to meet certain emission • Diplomatic or military: This is a
companies that produce engines that standards without requiring temporary exemption to allow
rely on aftertreatment. These regulations certification, most commonly for diplomatic or military personnel to use
allow for equipment manufacturers to replacement engines. In 40 CFR uncertified engines during their term of
receive separate shipment of 1068.265 we spell out manufacturers service in the U.S.
aftertreatment devices with the obligations for these compliant but We request comment on all these
obligation resting on the equipment uncertified engines. Manufacturers must exemptions for domestically produced
manufacturer to correctly install the have test data showing that their and imported engines and vehicles.
aftertreatment on the engine when engines meet the applicable emission
installing the engine in the equipment. E. Selective Enforcement Audit (Part
standards and are liable for the emission
Allowing for this practice requires an 1068, Subpart E)
performance of their engines, much like
exemption from provisions which for certified engines, but are not Clean Air Act section 206(b) gives us
prohibit an engine from being required to submit an application for the discretion in any program with
introduced into commerce in its certification and get EPA approval vehicle or engine emission standards to
uncertified configuration. The before selling the engine. We propose to do selective enforcement auditing of
provisions in § 1068.260 to prevent apply these provisions without production engines. We would do a
improper use of this exemption include modification for Small SI engines and selective enforcement audit by choosing
requirements to (1) Have contractual Marine SI engines. an engine family and giving the
arrangements with equipment manufacturer a test order that details a
manufacturers; (2) submit affidavits to D. Imports (Part 1068, Subpart D) testing program to show that
EPA regarding the use of the exemption; In general, the same certification production-line engines meet emission
(3) include the price of the requirements would apply to engines standards. The regulation text describes
aftertreatment in the cost of the engine and equipment whether they are the audit procedures in greater detail.
We intend generally to rely on small engine families would likely gather information by assessing
manufacturers’ testing of production- never report even a prominent defect previously unexamined parts submitted
line engines to show that they are because a relatively high proportion of with warranty claims and replacement
consistently building products that such engines would have to be known parts which are available or become
conform to the standards. However, we to be defective before reporting is available for examination and analysis.
reserve our right to do selective required under a scheme with fixed If available parts are deemed too
enforcement auditing if we have reason thresholds. The proposed threshold for voluminous to conduct a timely
to question the emission testing reporting for the smallest engine investigation, manufacturers would be
conducted and reported by the families is therefore lower than under permitted to employ appropriate
manufacturer or for other reasons. the current regulations. statistical analyses of representative
We are aware that accumulation of data to help draw timely conclusions
F. Defect Reporting and Recall (Part warranty claims will likely include regarding the existence of a defect.
1068, Subpart F) many claims and parts that do not These investigative activities should be
We are proposing to apply the defect represent defects, so we are establishing summarized in the periodic reports of
reporting requirements of § 1068.501 to a relatively high threshold for triggering recently opened or closed
replace the provisions of 40 CFR part 85 the manufacturer’s responsibility to investigations, as discussed below. It is
for nonroad engines. The requirements investigate whether there is, in fact, a important to note that EPA does not
obligate manufacturers to tell us when real occurrence of an emission-related regard having reached the investigation
they learn that emission control defect. thresholds as conclusive proof of the
components or systems are defective This proposal is intended to require existence of a defect, only that initiation
and to conduct investigations under manufacturers to use information we of an appropriate investigation is
certain circumstances to determine if an would expect them to keep in the merited to determine whether a defect
emission-related defect is present. We normal course of business. We believe exists.
are also proposing a requirement that in most cases manufacturers would not The second threshold in this proposal
manufacturers initiate these be required to institute new programs or specifies when a manufacturer must
investigations when warranty claims activities to monitor product quality or report that an emission-related defect
and other available information indicate performance. A manufacturer that does exists. This threshold involves a smaller
that a defect investigation may be not keep warranty information may ask number of engines because each
fruitful. For this purpose, we consider for our approval to use an alternate potential defect has been screened to
defective any part or system that does defect-reporting methodology that is at confirm that it is an emission-related
not function as originally designed for least as effective in identifying and defect. In counting engines to compare
the regulatory useful life of the engine tracking potential emission-related with the defect-reporting threshold, the
or the scheduled replacement interval defects as the proposed requirements. manufacturer would consider a single
specified in the manufacturer’s However, until we approve such a engine family and model year. However,
maintenance instructions. request, the proposed thresholds and when a defect report is required, the
We believe the investigation procedures continue to apply. manufacturer would report all
requirement proposed in this rule will The proposed investigation thresholds occurrences of the same defect in all
allow both EPA and the engine are ten percent of total production to engine families and all model years that
manufacturers to fully understand the date up to a total production of 50,000 use the same part. The threshold for
significance of any unusually high rates engines, but never fewer than 50 for any reporting a defect is two percent of total
of warranty claims that may have an single engine family in one model year. production for any single engine family
impact on emissions. We believe For production between 50,000 and for production up to 50,000 units, but
prudent engine manufacturers already 550,000 units, the investigation never fewer than 20 for any single
conduct a thorough investigation when threshold would increase at a marginal engine family in one model year. For
available data indicate recurring parts rate of four percent. For all production production between 50,000 and 550,000
failures as part of their normal practice above 550,000 an investigation units, the investigation threshold would
to ensure product quality. Such data are threshold of 25,000 engines would increase at a marginal rate of one
valuable and readily available to most apply. For example, for an engine family percent. For all production above
manufacturers and, under this proposal, with a sales volume of 20,000 units in 550,000 an investigation threshold of
must be considered to determine a given model year, the manufacturer 6,000 engines would apply.
whether or not there is a possible defect would have to investigate potential It is important to note that while EPA
of an emission-related part. emission-related defects after regards occurrence of the defect
Defect reports submitted in identifying 2,000 possible defects. For threshold as proof of the existence of a
compliance with the current regulations an engine family with a sales volume of reportable defect, it does not regard that
are based on a single threshold 450,000 units in a given model year, the occurrence as conclusive proof that
applicable to engine families of all manufacturer would have to investigate recall or other action is merited.
production volumes. No affirmative potential emission-related defects after If the number of engines with a
requirement for gathering information identifying 21,000 possible defects. specific defect is found to be less than
about the full extent of the problem These thresholds reflect the relevant the threshold for submitting a defect
applies. Many Small SI engine families characteristics of nonroad engines, such report, but warranty claims or other
have very high sales volumes. The as the varying sales volumes, engine information later indicate additional
proposed approach may therefore result technologies, and warranty and potentially defective engines, under this
in fewer total defect reports that should maintenance practices. proposal the information must be
be submitted compared with the To carry out an investigation to aggregated for the purpose of
traditional approach because the determine if there is an emission-related determining whether the threshold for
number of defects triggering the defect, manufacturers would have to use submitting a defect report has been met.
submission requirement generally rises available information such as If a manufacturer has knowledge from
in proportion to the engine family size. preexisting assessments of warranted any source that the threshold for
Under the existing regulations, very parts. Manufacturers would also have to submitting a defect report has been met,
a defect report would have to be originally adopted on November 8, 2002 would be consistent with EPA’s test
submitted even if the trigger for (67 FR 68242) and currently applies for regulations, including the specifications
investigating has not yet been met. For nonroad diesel engines, large nonroad in § 1065.640.
example, if manufacturers receive spark-ignition engines and recreational • Removing the requirement to derive
information from their dealers, technical vehicles under 40 CFR parts 1039, 1048 calibration and span gas concentrations
staff, or other field personnel showing and 1051, respectively. The regulatory from NIST Standard Reference Materials
conclusively that a recurring emission- text was substantially revised in a recent in § 90.312(c) and § 91.312(c). This goes
related defect exists, they would have to rulemaking to make a variety of beyond the traceability requirements of
submit a defect report if the submission corrections and improvements (70 FR other EPA test regulations and standard
threshold is reached. 40420, July 13, 2005). lab practices. We could instead refer to
At specified times, the manufacturer This proposal applies to anyone who § 1065.750 for calibration and span gas
would have to report open tests engines to show that they meet the concentrations.
investigations as well as recently closed emission standards for Small SI engines • Changing the direction for
investigations that did not require a or Marine SI engines. This includes specifying gas concentrations in
defect report. We are not proposing a certification testing as well as all § 90.312(c)(3) and § 91.312(c)(3) from a
fixed time limit for manufacturers to production-line and in-use testing. See volumetric basis to a molar basis.
complete their investigations. However, the program descriptions above for • Correcting inconsistent
the periodic reports required by the testing provisions that are unique to requirements related to gas dividers.
regulations will allow us to monitor each category of engines. The regulations at § 90.312(c)(4) and
these investigations and determine if it We are proposing to apply the § 91.312(c)(4) specify an accuracy of ±2
is necessary or appropriate for us to take existing test provisions in part 1065 for percent, while § 90.314(c) and
further action. all Small SI engines and Marine SI § 91.314(c) specify an accuracy of ±1.5
We request comment on all aspects of engines. See Sections III through V for percent. We could select one of these
this approach to defect reporting. We testing issues that are specific to the values, or we could refer to the gas
also request comment on whether these particular engine categories. In addition, divider specifications in § 1065.248 and
reporting requirements should also we are proposing to allow § 1065.307.
apply to the current Phase 2 compliance manufacturers to use the provisions of • Correcting inconsistent
program and if so, when these part 1065 even before the proposed new specifications related to the timing of
provisions should be applied. standards take effect. This would allow CO interference checks. The regulations
Under Clean Air Act section 207, if manufacturers to migrate to the new test at § 90.317(b) and § 91.317(b) specify
we determine that a substantial number procedures sooner. This may involve that interference checks occur as part of
of engines within an engine family, upgrading to different types of analyzers annual maintenance, § 90.325(a) and
although properly used and maintained, that are specified in part 1065 but not § 91.325(a) specify that interference
do not conform to the appropriate in part 90 or part 91. It may also involve checks occur after any major repairs that
emission standards, the manufacturer recoding computers to do modal could affect analyzer performance. We
must remedy the problem and conduct calculations specified in part 1065 believe it would be most appropriate to
a recall of the noncomplying engine instead of the weight-based calculations make these consistent based on the
family. However, we recognize that in in part 90 or part 91. At the same time, specification in § 1065.303, which calls
some cases recalling noncomplying this would allow EPA to do for interference checks to occur after
nonroad engines may not achieve confirmatory testing using the upgraded major maintenance.
sufficient environmental protection, so procedures without waiting for the As we have done in previous
instead of making a determination of a proposed new standards to apply. This programs, we are proposing specific test
substantial number of nonconforming is important because EPA testing procedures to define how measurements
engines (and thereby triggering a recall facilities are used for many different are to be made but would allow the use
responsibility), we may allow programs and the conversion to testing of alternate procedures if they are
manufacturers in some cases to according to part 1065 specifications is shown to be equivalent to our specified
nominate alternative remedial measures well underway. We are aware that the procedures.98 The test procedures
to address most potential new test specifications regarding engine proposed in part 1065 are derived from
noncompliance situations. mapping, generating duty cycles, and our test procedures in 40 CFR part 86
applying cycle-validation criteria would for highway heavy-duty gasoline
G. Hearings (Part 1068, Subpart G) affect the emission measurements so we engines and light-duty vehicles. The
According to this regulation, would follow the manufacturers’ procedures have been simplified (and to
manufacturers would have the methods for these parameters in any some extent generalized) to better fit
opportunity to challenge our decision to case. For any other parameters, we nonroad engines. The procedures in part
deny an application for certification or would understand any differences 1065 currently apply to recreational
to suspend, revoke, or void an engine between test procedures specified in vehicles and to nonroad spark-ignition
family’s certificate. This also applies to parts 90, 91, and 1065 either to have no engines above 19 kW. We request
our decision to reject the manufacturer’s effect on emission measurements or to comment on all aspects of these
use of good engineering judgment (see improve the accuracy of the proposed test procedures. We also
§ 1068.5), and to our decisions related to measurement. request comment regarding whether any
emission-credit programs. Part 1068, We have identified various provisions additional parts of the test procedures
subpart G, references the proposed in part 90 and part 91 that may need contained in 40 CFR part 86 (for
procedures for a hearing to resolve such correction or adjustment. We request highway vehicles and engines), in other
disputes. comment on the following possible parts that apply to nonroad engines, or
changes:
IX. General Test Procedures • Changing the standard temperature 98 Note that the published procedures still apply
if we approve a manufacturer’s use of an alternative

The regulatory text in part 1065 is condition for volume-related procedure. EPA testing may be done using the
written with the intent to apply broadly calculations in § 90.311(a)(2) and published procedures or the alternate procedures
to EPA engine programs. Part 1065 was § 91.311(a)(2) from 25 °C to 20 °C. This approved for a given engine family.
in ISO 8178 should be incorporated into instruments and toward the overall representative testing relates to the
the final test procedures. performance of complete measurement desire to maintain consistency between
systems. We did this for several reasons. certification testing and in-use testing. If
A. Overview
First, some of what we specified in the we or manufacturers test in-use engines,
Part 1065 is organized by subparts as past precluded the implementation of we would expect the engine to be
shown below: new measurement technologies. These removed from the equipment and
• Subpart A: General provisions; new technologies, sometimes called installed on an engine dynamometer for
global information on applicability, ‘‘smart analyzers,’’ combine signals from testing with no changes to the engine
alternate procedures, units of measure, multiple instruments to compensate for (including the governor, fuel system,
etc. interferences that were previously exhaust system and other components).
• Subpart B: Equipment tolerable at higher emissions levels. In § 1065.10(c)(7) and § 1065.12 we
specifications; required hardware for These analyzers are useful for detecting describe a process by which we may
testing low concentrations of emissions. They approve alternative test procedures that
• Subpart C: Measurement are also useful for detecting emissions we determine to be equivalent to (or
instruments from raw exhaust, which can contain more accurate than) the specified
• Subpart D: Calibration and high concentrations of interferences, procedures. Given the new testing
verifications; for measurement systems such as water vapor. This is particularly specifications in part 1065 and the
• Subpart E: Engine selection, important for field testing, which will standard-setting parts, and this more
preparation, and maintenance most likely rely upon raw exhaust detailed approach to approving
• Subpart F: Test protocols; step-by- measurements. Second, this new alternative test procedures, we will not
step sequences for laboratory testing and ‘‘systems approach’’ requires periodic allow manufacturers to continue testing
test validation verifications for complete measurement based on any earlier approvals for
• Subpart G: Calculations and systems, which we feel will provide a alternative testing under part 90 or part
required information more robust assurance that a 91. Any manufacturer wishing to
• Subpart H: Fuels, fluids, and measurement system as a whole is continue testing with any method,
analytical gases operating properly. Third, the systems device, or specification that departs
• Subpart I: Oxygenated fuels; special approach provides a direct pathway to from that included in this proposal
test procedures demonstrate that a field test system would need to request approval for such
• Subpart J: Field testing and portable performs similarly to a laboratory testing under § 1065.10(c)(7).
emissions measurement systems system. Finally, we feel that our systems Other information in this subpart
• Subpart K: Definitions, references, approach will lead to a more efficient includes a description of the
and symbols way of ensuring measurement conventions we use regarding units and
The regulations prescribe scaled performance in the laboratory and in the certain measurements and we discuss
specifications for test equipment and field. We believe this efficiency will recordkeeping. We also provide an
measurement instruments by parameters stem from less frequent calibrations of overview of how emissions and other
such as engine power, engine speed and individual instruments and higher information are used for determining
the emission standards to which an confidence that a complete final emission results. The regulations
engine must comply. That way this measurement system is operating in § 1065.15 include a figure illustrating
single set of specifications will cover the properly. the different ways we allow brake-
full range of engine sizes and our full Below is a brief description of the specific emissions to be calculated.
range of emission standards. content of each subpart. The discussion In this same subpart, we describe how
Manufacturers will be able to use these highlights some recent changes to part continuous and batch sampling may be
specifications to determine what range 1065. We are not proposing any changes used to determine total emissions. We
of engines and emission standards may to part 1065 as part of this proposal, but also describe the two ways of
be tested using a given laboratory or we intend to make various changes to determining total work that we approve.
field testing system. part 1065 as part of a concurrent Note that the figure indicates our default
The content already adopted in part rulemaking to set new emission procedures and those procedures that
1065 is mostly a combination of standards for marine diesel and require additional approval before we
material from our most recent updates locomotive engines. Manufacturers of will allow them.
to other test procedures and from test engines that are the subject of this
procedures specified by the proposal are encouraged to stay abreast (2) Subpart B Equipment Specifications
International Organization for of testing changes that we propose in Subpart B first describes engine and
Standardization (ISO). There are also this other rulemaking. dynamometer related systems. Many of
some provisions we created specifically these specifications are scaled to an
for part 1065, generally to address very (1) Subpart A General Provisions
engine’s size, speed, torque, exhaust
recent advances such as measuring very In Subpart A we identify the flow rate, etc. We specify the use of in-
low concentrations of emissions, using applicability of part 1065 and describe use engine subsystems such as air intake
new measurement technology, using how procedures other than those in part systems wherever possible to best
portable emissions measurement 1065 may be used to comply with a represent in-use operation when an
systems, and performing field testing. standard-setting part. In § 1065.10(c)(1) engine is tested in a laboratory.
The content in part 1065 also reflects we specify that testing must be Subpart B also describes sampling
a shift in our approach for specifying conducted in a way that represents in- dilution systems. These include
measurement performance. In the past use engine operation, such that in the specifications for the allowable
we specified numerous calibration rare case where provisions in part 1065 components, materials, pressures, and
accuracies for individual measurement result in unrepresentative testing, we temperatures. We describe how to
instruments, and we specified some may cooperate with manufacturers to sample crankcase emissions.
verifications for individual components work out alternative testing approaches The regulations in § 1065.101 include
such as NO2-to-NO converters. We have for demonstrating compliance with a diagram illustrating all the available
shifted our focus away from individual emission standards. Another aspect of equipment for measuring emissions.
(3) Subpart C Measurement Instruments better represent in-use engine operation. proposed regulatory language, we have
Subpart C specifies the requirements We adopted a more streamlined set of clarified that § 1065.10(c)(1) does not
for the measurement instruments used test cycle and validation criteria. We require test fuels to be more
for testing. These specifications apply to allow modest corrections for drift of representative than the specified test
both laboratory and field testing. In emission analyzer signals within a fuels. We have added an allowance to
subpart C we recommend accuracy, certain range. use similar test fuels that do not meet
repeatability, noise, and response time (7) Subpart G Calculations and Required all of the specifications provided they
specifications for individual Information do not compromise the manufacturer’s
measurement instruments, but note that ability to demonstrate compliance. We
Subpart G includes all the
we require that overall measurement also now allow the use of ASTM test
calculations required in part 1065. We
systems meet the calibrations and methods specified in 40 CFR part 80 in
adopted definitions of statistical
verifications in Subpart D. lieu of those specified in part 1065. We
In some cases we allow new quantities such as mean, standard
deviation, slope, intercept, t-test, F-test, did this because we may more
instrument types to be used where we frequently review and update the ASTM
previously did not allow them. For etc. By defining these quantities
mathematically we intend to resolve any methods in part 80 versus those in part
example, we now allow the use of a 1065.
nonmethane cutter for NMHC potential ambiguity when we discuss
measurement, a nondispersive these quantities in other subparts. We Proper testing requires the use of good
ultraviolet analyzers for NOX have written all calculations for engineering judgment to maintain the
measurement, zirconia sensors for O2 calibrations and emission calculations stability of analytical gases.
measurement, various raw-exhaust flow in international units to comply with 15
CFR part 1170, which removes the (9) Subpart I Oxygenated Fuels
meters for laboratory and field testing
measurement, and an ultrasonic flow voluntary aspect of the conversion to
Subpart I describes special procedures
meter for CVS systems. international units for federal agencies.
for measuring certain hydrocarbons
Furthermore, Executive Order 12770 (56
(4) Subpart D Calibrations and whenever oxygenated fuels are used. We
FR 35801, July 29, 1991) reinforces this
Verifications policy by providing Presidential updated the calculations for these
authority and direction for the use of the procedures in Subpart G. We have made
Subpart D describes what we mean some revisions to the proposed text to
when we specify accuracy, repeatability metric system of measurement by
Federal agencies and departments. For make it consistent with the original
and other parameters in Subpart C. content of the comparable provisions in
These specifications apply to both our standards that are not completely in
international units (i.e., grams/ part 86. We have also added an
laboratory and field testing. We are allowance to use the California NMOG
adopting calibrations and verifications horsepower-hour, grams/mile), we
specify in part 1065 the correct use of test procedures to measure alcohols and
that scale with engine size and with the
internationally recognized conversion carbonyls.
emission standards to which an engine
is certified. We are replacing some of factors. (10) Subpart J Field Testing and Portable
what we have called ‘‘calibrations’’ in We also specify emission calculations
Emissions Measurement Systems
the past with a series of verifications, based on molar quantities for flow rates
such as a linearity verification, which instead of volume or mass. This change Portable Emissions Measurement
essentially verifies the calibration of an eliminates the frequent confusion Systems (PEMS) for field testing for
instrument without specifying how the caused by using different reference marine spark-ignition engines must
instrument must be initially calibrated. points for standard pressure and generally meet the same specifications
Because new instruments have built-in standard temperature. Instead of and verifications that laboratory
routines that linearize signals and declaring standard densities at standard instruments must meet according to
compensate for various interferences, pressure and standard temperature to subparts B, C, and D. However, we
our existing calibration specifications convert volumetric concentration allow some deviations from laboratory
sometimes conflicted with an measurements to mass-based units, we specifications. In addition to meeting
instrument manufacturer’s instructions. declare molar masses for individual many of the laboratory system
In addition, there are new verifications elements and compounds. Since these requirements, a PEMS must meet an
in subpart D to ensure that the new values are independent of all other overall verification relative to laboratory
instruments we specify in Subpart C are parameters, they are known to be
measurements. This verification
used correctly. universally constant.
involves repeating a duty cycle several
(5) Subpart E Engine Selection, (8) Subpart H Fuels, Fluids, and times. The duty cycle itself must have
Preparation, and Maintenance Analytical Gases several individual field-test intervals
Subpart H specifies test fuels, (e.g., NTE events) against which a PEMS
Subpart E describes how to select,
prepare, and maintain a test engine. We lubricating oils and coolants, and is compared to the laboratory system.
updated these provisions to include analytical gases for testing. We are not This is a comprehensive verification of
both gasoline and diesel engines. identifying any detailed specification a PEMS. We also adopted a procedure
for service accumulation fuel. Instead, for preparing and conducting a field test
(6) Subpart F Test Protocols we specify that service accumulation and adopted drift corrections for
Subpart F describes the step-by-step fuel must be either a test fuel or a emission analyzers. Given the evolving
protocols for engine mapping, test cycle commercially available in-use fuel. This state of PEMS technology, the field-
generation, test cycle validation, pre-test helps ensure that testing is testing procedures provide for a number
preconditioning, engine starting, representative of in-use engine of known measurement techniques. We
emission sampling, and post-test operation. We are adding a list of ASTM have added provisions and conditions
validations. We adopted an improved specifications for in-use fuels as for using PEMS in an engine
way to map and generate cycles for examples of appropriate service dynamometer laboratory to conduct
constant-speed engines that would accumulation fuels. Compared to the laboratory testing.
(11) Subpart K Definitions, References, use of batch sampling systems such as (1) Exhaust Emission Standards for
and Symbols bag samplers. Small Spark-Ignition Engines
Subpart K includes all the defined X. Energy, Noise, and Safety The technology approaches that we
terms, identification of reference assessed for achieving the proposed
materials, and lists of acronyms and Section 213 of the Clean Air Act Small SI engine standards included
abbreviations used throughout part directs us to consider the potential exhaust catalyst aftertreatment and
1065. impacts on safety, noise, and energy improvements to engine and fuel system
when establishing the feasibility of designs. In addition to our own testing
B. Special Provisions for Nonroad emission standards for nonroad engines. and development effort, we also met
Spark-Ignition Engines Furthermore, section 205 of EPA’s 2006 with engine and equipment
While part 1065 defines a wide range Appropriations Act requires us to assess manufacturers to better understand their
of specifications to define appropriate potential safety issues, including the designs and technology and to
test procedures, several parameters are risk of fire and burn to consumers in determine the state of technological
unique to each program. For example, use, associated with the proposed progress beyond EPA’s Phase 2 emission
each category of engines has one or emission standards for nonroad spark- standards.
more duty cycles that describe exactly ignition engines below 50 horsepower.99 The scope of our safety study
how to operate each engine during the As further detailed in the following included Class I and Class II engine
test. These category-specific provisions sections, we expect that the proposed systems that are used in residential
are described in part 1045, subpart F, for exhaust and evaporative emission walk-behind and ride-on lawn mower
Marine SI engines and in part 1054, standards will either have no adverse applications, respectively. Residential
subpart F, for Small SI engines. affect on safety, noise, and energy or lawn mower equipment was chosen for
Manufacturers may run the specified will improve certain aspects of these the following reasons.
steady-state duty cycle either as a series important characteristics. A more in • Lawn mowers and the closely-
of discrete modes or as a ramped-modal depth discussion of these topics relative related category of lawn tractors
cycle. The ramped-modal cycle specifies to the proposed exhaust and evaporative overwhelmingly represent the largest
the same engine speeds and loads as in emission standards is contained in categories of equipment using Class I
conventional discrete-mode testing, but Chapters 4 and 5 of the Draft RIA, and Class II engines.
the modes are connected by gradual respectively. Also, our conclusions • Consumer Product Safety
ramps in engine speed and torque for a relative to safety are fully documented Commission (CPSC) data indicate that
single, continuous emission-sampling in our comprehensive safety study more thermal burn injuries are
period. The different modes are which is discussed in the next section. associated with lawn mowers than
connected with twenty-second linear A. Safety occur with other nonhandheld
speed and torque transitions during equipment; lawn mowers therefore
which emissions are measured. We conducted a comprehensive, represent the largest thermal burn risk
Emission sampling therefore starts at the multi-year safety study of spark-ignition for these classes of engines.
beginning of a ramped-modal cycle and engines that focused on the four areas • General findings regarding
does not stop until its last mode is where we are proposing new emission advanced emission control technologies
completed. standards.100 These areas are: for residential lawn and garden
Ramped-modal cycles involve a • New catalyst-based HC+NOX equipment carry over to commercial
different sequence of modes than is exhaust emission standards for Class I lawn and turf care equipment as well as
specified for discrete-mode testing. For and Class II nonhandheld spark-ignition to other nonhandheld equipment using
example, the first mode, which is engine engines; Class I and Class II engines.
idle, is split so that half the idle mode • New fuel evaporative emission We conducted the technical study of
occurs at the beginning of the test and standards for nonhandheld and the incremental risk on several fronts.
half occurs at the end of the test. This handheld equipment; First, working with CPSC, we evaluated
helps facilitate certain technical aspects • New HC+NOX exhaust emission their reports and databases and other
of emission sampling. Instead of using standards for outboard and personal outside sources to identify those in-use
weighting factors for each steady-state watercraft engines and vessels, and a situations which create fire and burn
mode, a ramped-modal cycle specifies new CO exhaust emission standard for risk for consumers. The outside sources
different time durations for each mode. nonhandheld engines used in marine included meetings, workshops, and
Time durations of the modes and auxiliary applications; and discussions with engine and equipment
transitions are proportioned to the • New fuel evaporative emission manufacturers. From this information,
established modal weighting factors for standards for outboard and personal we identified ten scenarios for
the specified cycle. watercraft engines and vessels. evaluation that covered a
There are several advantages to Each of these four areas is discussed comprehensive variety of in-use
ramped-modal testing. Using discrete- in greater detail in the next sections. conditions or circumstances which
mode testing, manufacturers sample potentially could lead to an increased
emissions for an unspecified time 99 Department of the Interior, Environment, and risk in burns or fires.
duration near the end of each individual Related Agencies Appropriations Act, 2006, Pub. L. Second, we conducted extensive
mode. The result is several separate 109–54, Title II, sec. 205, 119 Stat. 499, 532 (August laboratory and field testing of both
measurements that must be combined 2, 2005). current technology (Phase 2) and
100 ‘‘EPA Technical Study on the Safety of
mathematically to yield an overall prototype catalyst-equipped advanced-
Emission Controls for Nonroad Spark-Ignition

emission result in g/kW-hr. The Engines < 50 Horsepower,’’ Office of Transportation technology engines and equipment
ramped-modal cycle has a single and Air Quality, U.S. Environmental Protection (Phase 3) to assess the emission control
emission-sampling period. This Agency, Washington, DC, EPA420–R–06–006, performance and thermal characteristics
March 2006. This document is available in Docket
decreases testing variability and reduces EPA–HQ–OAR–2004–0008. This report was also
of the engines and equipment. This
the overall cost of running tests. subject to peer review, as described in a peer review testing included a comparison of
Ramped-modal testing also enables the report that is also available in the docket. exhaust system, engine, and equipment
surface temperatures using still and full (2) Fuel Evaporative Emission Standards Automotive Engineers, Underwriters
motion video thermal imaging for Nonhandheld and Handheld Engines Laboratories, and the American Boat
equipment. and Equipment and Yacht Council (ABYC) also have
Third, we conducted a design and We reviewed the fuel line and fuel safety standards that apply in this area.
tank characteristics for nonhandheld We also found that the four-stroke and
process Failure Mode and Effects
and handheld equipment and evaluated two-stroke direct injection engine
Analyses (FMEA) comparing current
control technology which could be used technologies which are likely to be used
Phase 2 and Phase 3 compliant engines
to reduce evaporative emissions from to meet the exhaust emission standards
and equipment to evaluate incremental contemplated for OB/PWC engines are
changes in risk probability as a way of these two subcategories. The available
in widespread use in the vessel fleet
evaluating the incremental risk of technology is capable of achieving
today. These more sophisticated engine
upgrading Phase 2 engines to meet reductions in fuel tank and fuel line
technologies are replacing the
Phase 3 emission standards.101 This is permeation without an adverse
traditional two-stroke carbureted
an engineering analysis tool to help incremental impact on safety. For fuel
engines. The four-stroke and two-stroke
engineers and other professional staff to lines and fuel tanks, the applicable
direct injection engines meet applicable
identify and manage risk. In an FMEA, consensus safety standards,
USCG and ABYC safety standards and
potential failure modes, causes of manufacturer specific test procedures
future products will do so as well. The
failure, and failure effects are identified and EPA requirements are sufficient to
proposed emission standards must be
and a resulting risk probability is ensure that there will be no increase in
complementary to existing safety
the types of fuel leaks that lead to fire standards and our analysis indicates
calculated from these results. This risk
and burn risk during in-use operation. that this will be the case. There are no
probability is used by the FMEA team
Instead, these standards will reduce known safety issues with the advanced
to rank problems for potential action to
vapor emissions both during operation technologies compared with two-stroke
reduce or eliminate the causal factors. and in storage. That reduction, coupled
Identifying these causal factors is carbureted engines. The newer-
with some expected equipment technology engines arguably provide
important because they are the elements redesign, is expected to lead to
that a manufacturer can consider to safety benefits due to improved engine
reductions in the risk of fire or burn reliability and range in-use. Based on
reduce the adverse effects that might without affecting component durability.
result from a particular failure mode. the applicability of USCG and ABYC
The Failure Mode and Effects safety standards and the good in-use
Our technical work and subsequent Analyses, which was described in the experience with advanced-technology
analysis of all of the data and previous section, also evaluated engines in the current vessel fleet, we
information strongly indicate that permeation and running loss controls on believe new emission standards would
effective catalyst-based standards can be nonhandheld engines. We found that not create an incremental increase in the
implemented without an incremental these controls would not increase the risk of fire or burn to the consumer.
increase in the risk of fire or burn to the probability of fire and burn risk from
consumer either during or after using those expected with current fuel (4) Fuel Evaporative Emission Standards
the equipment. Similarly, we did not systems, but could in fact lead to for Outboard and Personal Watercraft
find any increase in the risk of fire directionally improved systems from a Engines and Vessels
during refueling or in storage near safety perspective. Finally, the running We reviewed the fuel line and fuel
typical combustible materials. For loss control program being proposed for tank characteristics for marine vessels
example, our testing program nonhandheld equipment will lead to and evaluated control technology which
demonstrated that properly designed changes that are expected to reduce risk could be used to reduce evaporative
of fire during in-use operation. Moving emissions from boats. With regard to
catalyst-mufflers could, in some cases,
fuel tanks away from heat sources, fuel lines, fuel tanks, and diurnal
actually result in systems that were
improving cap designs to limit leakage controls, there are rigorous USCG,
significantly cooler than many current
on tip over, and requiring a tethered cap ABYC, United Laboratories, and Society
original equipment mufflers. A number
will all help to eliminate conditions of Automotive Engineers standards
of design elements appear useful to which lead to in-use problems related to
properly managing heat loads including: which manufacturers will continue to
fuel leaks and spillage. Therefore, we meet for fuel system components. All of
(1) The use of catalyst designs that believe the application of emission these standards are designed to address
minimize CO oxidation through careful control technology to reduce the in-use performance of fuel systems,
selection of catalyst size, washcoat evaporative emissions from these fuel with the goal of eliminating fuel leaks.
composition, and precious metal lines and fuel tanks will not lead to an The low-permeation fuel lines and tanks
loading; (2) positioning the catalyst increase in incremental risk of fires or needed to meet the Phase 3
within the cooling air flow of the engine burns and in some cases is likely to at requirements would need to pass these
fan or redirecting some cooling air over least directionally reduce such risks. standards and every indication is that
the catalyst area with a steel shroud; (3) they would pass.102
redirecting exhaust flow through (3) Exhaust Emission Standards for
Outboard and Personal Watercraft Furthermore, the EPA permeation
multiple chambers or baffles within the certification requirements related to
catalyst-muffler; and (4) larger catalyst- Marine Engines and Vessels and Marine
Auxiliary Engines emissions durability will add an
muffler volumes than the original additional layer of assurance. Low-
equipment muffler. Our analysis of exhaust emission permeation fuel lines are used safely
standards for OB/PWC engines and
101 ‘‘EPA Technical Study on the Safety of marine auxiliary engines found that the 102 ‘‘EPA Technical Study on the Safety of
Emission Controls for Nonroad Spark-Ignition U. S. Coast Guard (USCG) has Emission Controls for Nonroad Spark-Ignition
Engines < 50 Horsepower,’’ Office of Transportation comprehensive safety standards that Engines < 50 Horsepower,’’ Office of Transportation
and Air Quality, U.S. Environmental Protection and Air Quality, U.S. Environmental Protection
Agency, Washington, DC, EPA420-R–06–006,
apply to engines and fuel systems used Agency, Washington, DC, EPA420-R–06–006,
March 2006. This document is available in Docket in these vessels. Additionally, March 2006. This document is available in Docket
EPA-HQ-OAR–2004–0008. organizations such as the Society of EPA-HQ-OAR–2004–0008.
today in many marine vessels. Low- of the Class II engines will be converted requirements. This is being done as part
permeation fuel tanks and diurnal to fuel injection and that this will result of EPA’s ongoing effort to write its
emission controls have been in a fuel savings of about 10 percent for regulations in plain language format in
demonstrated in various applications for each converted engine. This translates subchapter U of title 40 of the CFR. The
many years without an increase in to a fuel savings of about 56 million proposed regulations are based directly
safety risk. Furthermore, a properly gallons of gasoline in 2030 when all of on the existing regulations in 40 CFR
designed fuel system with fuel tank and the Class II engines used in the U.S. will part 85, subpart Q. With the exception
fuel line permeation controls and comply with the proposed Phase 3 of the simplification of the language and
diurnal emission controls would reduce standards. By contrast, the use of specific changes described in this
the fuel vapor in the boat, thereby catalyst-based control systems on Small section, we are not changing the
reducing the opportunities for fuel SI engines is not expected to change meaning of these regulations.
related fires. In addition, using their fuel consumption characteristics. Pursuant to section 428 of the 2004
improved low-permeation materials Consolidated Appropriations Act, we
(2) Fuel Evaporative Emission Standards are proposing to add regulatory
coupled with designs meeting USCG
and ABYC requirements should reduce We anticipate that the proposed fuel language to implement the legislative
the risk of fuel leaks into the vessel. We evaporative emission standards will restriction on states other than
believe the application of emission have a positive impact on energy. By California adopting, after September 1,
control technologies on marine engines capturing or preventing the loss of fuel 2003, standards or other requirements
and vessels for meeting the proposed due to evaporation, we estimate that the applicable to spark-ignition engines
fuel evaporative emission standards lifetime average fuel savings would be smaller than 50 horsepower. We are also
would not lead to an increase in about 1.6 gallons for an average piece of proposing to add, pursuant to that
incremental risk of fires or burns, and in Small SI equipment and 32 gallons for legislation, criteria for EPA’s
many cases may incrementally decrease an average boat. This translates to a fuel consideration in authorizing California
safety risk in certain situations. savings of about 41 million gallons for to adopt and enforce standards
Small SI equipment and 30 million applicable to such engines.103
B. Noise gallons for Marine SI vessels in 2030 On July 12, 2002, the American Road
As automotive technology when most of the affected equipment and Transportation Builders Association
demonstrates, achieving low emissions used in the U.S. would be expected to (ARTBA) petitioned EPA to amend
from spark-ignition engines can have evaporative emission controls. EPA’s rules implementing section 209(e)
correspond with greatly reduced noise of the Act.104 In particular, ARTBA
XI. Proposals Affecting Other Engine petitioned EPA to amend its regulations
levels. Direct-injection two-stroke and and Vehicle Categories
four-stroke OB/PWC have been reported and interpretive rule regarding
to be much quieter than traditional We are proposing to make several preemption of state and local
carbureted two-stroke engines. Catalysts regulatory changes that would affect requirements ‘‘that impose in-use and
in the exhaust act as mufflers which can engines, equipment, and vessels other operational controls or fleet-wide
reduce noise. Additionally, adding a than Small SI and Marine SI. These purchase, sale or use standards on
properly designed catalyst to the changes are described in the following nonroad engines.’’105
existing muffler found on all Small SI sections. We request comment on all ARTBA believes such controls should
engines can offer the opportunity to aspects of these proposed changes. be preempted. As we are already
incrementally reduce noise. revising the preemption provisions to a
A. State Preemption
certain extent in this rule, we believe it
C. Energy Section 209(e) of the Clean Air Act is appropriate to respond to ARTBA’s
prohibits states and their political petition in the context of this rule, while
(1) Exhaust Emission Standards subdivisions from adopting or enforcing giving the public the ability to respond
Adopting new technologies for standards and other requirements to provide comments regarding
controlling fuel metering and air-fuel relating to the control of emissions from ARTBA’s petition. EPA is not proposing
mixing, particularly the conversion of nonroad engines or vehicles. Section to adopt the explicit changes requested
some carbureted engines to advanced 209(e) authorizes EPA to waive this by ARTBA in its petition; however, EPA
fuel injection technologies, will lead to preemption for California for standards will continue to review the arguments
improvements in fuel consumption. and other requirements for nonroad raised by ARTBA’s petition, as well as
This is especially true for OB/PWC engines and vehicles, excluding new all further arguments provided by
engines where we expect the proposed engines that are smaller than 175 ARTBA and other commenters during
standards to result in the replacement of horsepower used in farm or the period for notice and comment on
old technology carbureted two-stroke construction equipment or vehicles and
engines with more fuel-efficient new locomotives or new engines used in 103 See section 428 of the Appropriations Act for
technologies such as two-stroke direct locomotives. States other than California 2004.
injection or four-stroke engines. may adopt and enforce standards 104 ‘‘Petition to Amend Rules Implementing Clean
Carbureted crankcase-scavenged two- Air Act section 209(e),’’ American Road and
identical to California standards Transportation Builders Association (ARTBA), July
stroke engines are inefficient in that 25 authorized by EPA. 12, 2002. Also, EPA received an additional
percent or more of the fuel entering the EPA promulgated regulations communication from ARTBA urging EPA to grant
engine may leave the engine unburned. implementing section 209(e) on July 20, the petition after the decision of the U.S. Supreme
EPA estimates that conversion to more 1994 (59 FR 36987). EPA subsequently Court in EMA v. SCAQMD, 541 U.S. 246 (2004). See
‘‘ARTBA Petition,’’ L. Joseph, ARTBA, to D.
fuel efficient recreational marine promulgated revised regulations
Dickinson & R. Doyle, EPA, April 30, 2004. These

engines would save 61 million gallons implementing section 209(e) on documents are available in Docket EPA–HQ–OAR–
of gasoline per year in 2030. The December 30, 1997 (62 FR 67733). See 2004–0008.
105 In 1994, EPA promulgated an interpretive rule
conversion of some carbureted Small SI 40 CFR part 85, subpart Q. We are
at Appendix A to subpart A of 40 CFR part 89. The
engines to fuel injection technologies is proposing to create a new part 1074 that appendix provides that state restrictions on the use
also expected to improve fuel economy. would describe the federal preemption and operation of nonroad engines are not
We estimate approximately 18 percent of state and local emission preempted under section 209.
this issue. We will respond to the • Applying the calculated fee changes of the model year. A common type of
petition, and if appropriate, make any for later years, which are based on the request is due to an error in the fee
changes to the regulations to conform Consumer Price Index and the total amount paid as a result of changed fees
our response to ARTBA and other number of certificates, only after the for a new calendar year. We frequently
commenters in the final rule. We change in the fee’s value since the last apply these overpayments to other
request comment from the public reported change has reached $50. The pending certification applications. This
regarding issues related to ARTBA’s fee change for the ‘‘Other’’ category for is less burdensome than applying for a
petition and how we should respond. calendar year 2005 to 2006 changed simple refund, both for EPA and for
from $826 to $839 and for non-road most manufacturers. Applications to
B. Certification Fees
compression-ignition engines from apply such refunds to other certification
Under our current certification $1822 to $1831. Under the proposal, the applications must also be received
program, manufacturers pay a fee to fee would not change until such time as within six months of the end of the
cover the costs associated with various the fee increase would be $50.00 or model year of the original engine family
certification and other compliance greater. This might not occur after one or test group.
activities associated with an EPA issued year, but after two or more years the • Emphasizing with additional cross
certificate of conformity. These fees are calculated increase in a fee based on the references that the same reduced fee
based on the actual and/or projected change in the Consumer Price Index provisions that apply to Independent
cost to EPA per emission family. We are might be more than $50.00. The same Commercial Importers also apply to
proposing to establish a new fees applies if the price goes both up and modification and test vehicle certificates
category for certification related to the down. For example, if the fee published under 40 CFR 85.1509 and 89.609: the
proposed evaporative emission in EPA guidance for a category of engine number of vehicles covered is listed on
standards. Sections III and VI describe was $1,000 in 2011 and the calculated the certificate, a revision of the
how these fees would apply to fee for 2012 is $990 and in 2013 is certificate must be applied for and
sterndrive/inboard marine engines and $1040, the fee in 2013 would remain at additional reduced fee payments made
equipment and vessels subject to $1,000 since the change from the 2011 if additional vehicles are to be covered,
evaporative emission standards since fee is only $40. This would minimize and the certificate must be revised to
these products are not currently confusion related to changing fees show the new total number of vehicles
required to pay certification fees. where the calculated fee is very close to to be covered.
In addition, we are proposing to that already established for the previous
create a new part 1027 in title 40 that C. Amendments to General Compliance
year. It will also lessen paperwork and Provisions in 40 CFR Part 1068
would incorporate the new and existing administrative burdens for
fee requirements under a single part in manufacturers and EPA in making The provisions of part 1068 currently
the regulations. This is being done as adjustments for small fees changes for apply for nonroad diesel engines
part of EPA’s ongoing effort to write its applications that are completed around regulated under 40 CFR part 1039, Large
regulations in plain language format in the change in a calendar year. The SI engines regulated under 40 CFR part
subchapter U of title 40 of the CFR. The number of certificates may go up or 1048, and recreational vehicles
proposed regulations are based directly down in any given year, while the regulated under 40 CFR part 1051. We
on the existing regulations in 40 CFR Consumer Price Index would generally are proposing to apply these provisions
part 85, subpart Y. Aside from a variety increase annually. As a result, this also for Small SI and Marine SI engines,
of specific changes, moving this change would be revenue-neutral or equipment, and vessels. Any changes
language to part 1027 is not intended to would perhaps slightly decrease overall we make to part 1068 will apply equally
affect the substance of the existing fee revenues. for these other types of engines and
provisions. We are proposing the • Clarifying that all fee-related vehicles. We therefore encourage
following adjustments and clarifications records need to be kept, not just those comment from any affected companies
to the existing regulations: related to the ‘‘final reduced fee for any of these proposed changes.
• Establishing a new fees category for calculation and adjustment.’’ The most significant change we are
new evaporative emission standards. • Adding www.Pay.gov or other proposing for part 1068 is to clarify the
• Eliminating one of the paths for methods specified in guidance as language throughout to make necessary
applying for a reduced fee. The existing acceptable alternative methods for distinctions between engines,
regulations specify that applications payment and filing of fee forms. We equipment, and fuel-system
covering fewer than six vehicles or anticipate several changes in components—and particularly between
engines, each with an estimated retail administration of the fees program in equipment using certified engines and
sales price below $75,000, shall receive coming months. It is likely that future equipment that has been certified to
a certificate for five vehicles or engines. payment of fees by electronic funds meet equipment-based standards. This
Holders of these certificates are required transfers (other than wire payments becomes necessary because the
to submit an annual model year reduced through the Federal Reserve) will be evaporative emission standards
fee payment report adjusting the fees available only through online payments proposed in this document apply in
paid. We are proposing to eliminate this via www.Pay.gov. We are also receiving some cases to equipment manufacturers
pathway and the associated report, as an increasing number of fee forms and boat builders, while the exhaust
they are complex and have been rarely through e-mail submissions, which has emission standards apply only to engine
used. proved to be a reliable and convenient manufacturers. Some provisions in part
• Clarifying the obligation to make method. We will be establishing a 1068 apply to equipment manufacturers
additional payment on a reduced fee specific e-mail address for these differently if they hold a certificate of
certificate if the actual final sales price submissions. conformity rather than merely installing
is more than the projected retail sales • Establishing a single deadline for all certified engines (or certified fuel-
price for a reduced fee vehicle or types of refunds: total, partial for system components). The proposed
engine. As before, the final fee payment reduced fees, and partial for corrections. changes in regulatory language are
must also reflect the actual number of In all cases, refund requests must be intended to help make those
vehicles. received within six months of the end distinctions. See § 1068.2 for a
description of the proposed terminology provisions to engine blocks as • § 1068.101(a)(1)(i): Clarifying that
that we intend to use throughout part replacement parts. engines or equipment are considered to
1068. We are proposing to further clarify the be uncertified if they are not in a
We are aware that in some cases requirement for engine manufacturers to configuration that is included in the
manufacturers produce nonroad engines sell engines in their certified applicable certificate of conformity.
by starting with a complete or partially configuration. The existing provisions This would apply even if the product
complete engine from another in § 1068.260 describe how had an emission label stating that it
manufacturer and modifying it as manufacturers may use delegated complies with emission standards.
needed for the particular application. assembly to arrange for equipment • § 1068.101(a)(2): Clarifying the
This is especially common for Marine SI manufacturers to separately source prohibition on recordkeeping to apply
and Large SI engines and equipment, aftertreatment components for engines also to submission of records to the
but it may also occur for other types of that depend on aftertreatment to meet Agency.
nonroad engines and equipment. We are emission standards. We are proposing to • § 1068.101(b)(2): Adding a
concerned that an interpretation of the include language to clarify that we will prohibition against using engines in a
prohibited acts in § 1068.101 would consider an engine to be in its certified way that renders emission controls
disallow this practice because the configuration in certain circumstances inoperative, such as misfueling or
original engine manufacturer is arguably even if emission-related components are failing to use additives that the
selling an engine that is not covered by not assembled to the engine. This is manufacturer specifies as part of the
a certificate of conformity even though intended to reflect common practice engine’s certified configuration. This is
emission standards apply. We are that has developed over the years. We more likely to apply for compression-
addressing this first by proposing to are also proposing to clarify that engines ignition engines than spark-ignition
define ‘‘engine’’ for the purposes of the may be shipped without radiators or engines.
regulations (see § 1068.30). To do this, other components that are unrelated to • § 1068.101(b)(7): Clarifying the
we differentiate between complete emission controls, and that we may prohibitions related to warranty to
engines and partially complete engines, approve requests to ship engines require the submission of specified
both of which need to be covered by a without emission-related components in information in the application for
certificate. Partially complete engines some circumstances. This would certification; adding language to identify
would include any engine, consisting of generally be limited to equipment- obligations related to recall; and
the engine block plus at least one related components such as vehicle- preventing the manufacturer from
attached component such that the speed sensors. We could specify communicating to users that warranty
engine is not yet in its final, certified conditions that we determine are coverage is conditioned on using
configuration. We are also proposing to needed to ensure that shipping the authorized parts or service facilities.
allow for a path by which the original engine without such components will These provisions are consistent with
engine manufacturer would not need to not result in the engine being operated requirements that apply in other EPA
certify partially complete engines or outside of its certified configuration. programs.
request approval for an exemption (see We adopted a definition of ‘‘nonroad • § 1068.105(a): Revising the
§ 1068.262). To do this though, the engine’’ that continues to apply today regulation to allow equipment
original engine manufacturer would (see § 1068.30). This definition manufacturers to use up normal
need a written request from a secondary distinguishes between portable or inventories of previous model year
engine manufacturer who already holds transportable engines that may be engines only if it is a continuation of
a valid certificate of conformity for the considered either nonroad or stationary, ongoing production with existing
engine based on its final configuration depending on the way they will be used. inventories. These provisions would not
and application. These proposed The distinction between nonroad and apply for an equipment manufacturer
provisions are intended generally to be stationary engines is most often relevant starting to produce a new equipment
clarifications of the existing regulatory for new engines in determining which model.
provisions, particularly those in emission standards apply. However, we • § 1068.105: Eliminating paragraph
§ 1068.330 for imported engines. have received numerous questions (b) related to using highway certification
One situation involving partially related to equipment whose usage has for nonroad engines or equipment, since
complete engines involves the engine changed so that the original designation these provisions are spelled out
block as a replacement part where the no longer applies. The definition does specifically for each nonroad program
original engine had major structural not address these situations. We are where appropriate.
damage. In this case the engine therefore proposing to adopt provisions • § 1068.105(b): Clarifying the
manufacturer will typically sell an that would apply when an engine requirement to follow emission-related
engine block with piston, crankshaft, previously used in a nonroad installation instructions to include
and other internal components to allow application is subsequently used in an installation instructions from
the user to repower with many of the application other than a nonroad manufacturers that certify components
components from the original engine. application, or when an engine previous to evaporative emission standards.
Under the proposed definitions, these used in a stationary application is • § 1068.120: Clarifying the
short blocks or three-quarter blocks moved (see § 1068.31). rebuilding provisions to apply to
would be new engines subject to In addition, we are proposing several maintenance related to evaporative
emission standards. We believe it would amendments to part 1068 to clarify emissions.
be appropriate to address this situation various items. These include: • § 1068.240: Clarifying that the scope
in the regulations with the replacement • § 1068.101(a)(1): Revising the of the exemption for new replacement
engine provisions in § 1068.240, which prohibited act to specify that engines engines is limited to certain engines;
provides a path for making new engines must be ‘‘covered by’’ a certificate rather also clarifying that the replacement
that are exempt from current emission than ‘‘having’’ a certificate. The revised engine provisions apply for replacing
standards. We request comment on language is more descriptive and engines that meet alternate emission
applying these replacement-engine consistent with the Clean Air Act. standards (such as those produced
under the Transition Program for honor emission-related warranty claims, to all persons and would not be limited
Equipment Manufacturers). meet any compliance- or enforcement- to manufacturers or importers of
• § 1068.250: Revising the related obligations that may arise, and regulated engines or equipment.
applicability of the hardship provisions import new engines and equipment in a If this provision is adopted, EPA
to small businesses more broadly by timely manner after we adopt new would interpret the ‘‘causation’’ aspect
referring to a term that is defined in standards. We request comment on the of section 203 broadly. In assessing
§ 1068.30; this would include small appropriateness of adopting any or all of whether a person has caused a
businesses as identified in the those provisions under part 1068 such prohibited act, EPA would evaluate the
standard-setting part, or any companies that they would apply to all engines and totality of circumstances. For example,
that meet the criteria established by the equipment subject to part 1068. We also in certain circumstances EPA believes a
Small Business Administration. request comment on any adjustments to retailer may be responsible for causing
• § 1068.250: Clarifying the timing those provisions that would be the importation of engines or equipment
related to hardship approvals, and the appropriate for other categories of not covered by a valid certificate of
ability to get extensions under engines and equipment, whether we conformity or otherwise in violation of
appropriate circumstances. choose to adopt these provisions in this our regulations, such as the labeling
• § 1068.260: Revising the provisions proposal or in a separate rulemaking. requirements. In addition to the
related to delegated assembly as In addition, we request comment on prohibitions that apply to manufacturers
described in Section XI.F and clarifying early application of the provisions of and importers generally under section
that reduced auditing rates as specified part 1068 before the standards proposed 203, EPA will also consider many
in paragraph (a)(6) should be based on in this notice take effect. For example, factors in assessing whether a
the number of equipment manufacturers for any provisions not directly related to manufacturer, importer, retailer,
involved rather than the number of the emission standards, we could revise distributor or other person has caused a
engines; also specifying that the regulations in part 90 and part 91 to prohibited act, including, but not
manufacturers may itemize invoices to reference the corresponding provisions limited to, the following: (1) The
ensure that the Customs valuation for in part 1068. We similarly request contractual or otherwise established
assessment of import duties is based on comment on making these changes for business relationship of those persons
the price of the imported engine without diesel engines regulated under part 89 involved in producing and/or selling
the aftertreatment components that are (land-based) and part 94 (marine). This new engines and equipment; (2) the
being shipped separately. We request would allow us to accelerate the particular efforts or influence of the
comment on adding a provision transition to plain-language regulations alleged violator contributing to, leading
allowing for a separate invoice for and prevent confusion from maintaining to or resulting in the prohibited act; and
aftertreatment components that are multiple versions of similar provisions (3) the efforts, or lack thereof, of the
shipped separately. for several years. We would also be able person to prevent such a violation. EPA
• § 1068.305: Clarifying that the to substantially decrease printing costs. will evaluate the entire circumstances in
requirement to submit importation The provisions most appropriately determining whether a person caused
forms applies to all engines, not just considered for early transition to part another person to commit a prohibited
nonconforming engines; also adding a 1068 include: (1) Selective enforcement act such as importing engines or
requirement to keep these records for audits, (2) exemptions, (3) importation equipment in violation of our
five years. Both of these changes are provisions, (4) defect reporting and regulations.
consistent with the Customs regulations recall, (5) hearing procedures, and (6)
at 19 CFR 12.74. D. Amendments Related to Large SI
treatment of confidential information.
• Part 1068, Appendix I: Clarifying We are also seeking comment on Engines (40 CFR Part 1048)
that the fuel system includes revisions to 40 CFR 1068.101. Section Manufacturers of Large SI engines are
evaporative-related components and 203 of the Act (42 U.S.C. 7522) states encouraged to review the proposed
that the parts comprising the engine’s that performing certain acts, ‘‘and changes described in Section XI.C
combustion chamber are emission- causing thereof,’’ constitutes a related to 40 CFR part 1068.
related components. prohibited act. We are interested in Some of the issues related to Marine
Manufacturers have also expressed a revising the regulations to specifically SI engines described in Section III relate
concern that the engine rebuilding include this prohibition on the to Large SI engines. In particular, the
provisions in § 1068.120 do not clearly ‘‘causing’’ of any of the prohibited acts uncertain availability of certain base
address the situation in which rebuilt listed in the statute and the regulations. engine models from General Motors for
engines are used to repower equipment Adding this clarification would help use in nonroad applications poses a
where the engine being replaced meets people who are subject to the challenge for efforts to certify the
alternate emission standards (such as regulations to more fully understand engines to the Large SI standards. In
those produced under the Transition what actions are prohibited and may particular, the uncertain lead time
Program for Equipment Manufacturers). potentially subject them to enforcement associated with getting the new engines
These engines are not certified to the proceedings under the Act. The and the level of effort expected for
emission standards that would revisions themselves would not be certifying the existing engine models
otherwise apply for the given model intended to add new enforcement that are planned for obsolescence make
year, so there may be some confusion authorities beyond what is already it difficult for companies, especially
regarding the appropriate way of specified in the statute. small businesses, to go through the
applying these regulatory requirements. If we consider it a violation to cause certification process and recover costs
In Section V.E.6 we describe several someone to commit a prohibited act, for repeated testing. Of greatest concern
proposed special compliance provisions then persons causing any prohibited act are requirements related to developing
that are intended to improve our ability would also be subject to the full deterioration factors for these engines.
to oversee our emission control program administrative and judicial enforcement The existing regulations allow for
for Small SI engines. For example, we actions allowable under the Act and the assigned deterioration factors for small
are proposing that manufacturers take regulations. The prohibition on businesses, but these apply only to
steps to ensure that they will be able to ‘‘causing’’ a prohibited act would apply companies with fewer than 200
employees. We are therefore proposing operation in their application for allow for calculating catalyst conversion
to expand the definition of small- certification. efficiency, such that changes in this
volume engine manufacturer to also Manufacturers have also pointed out parameter over an engine’s useful life
include companies with annual U.S. that a multiplicative deterioration factor could be factored into a calculation to
sales of no more than 2000 Large SI is problematic for engines with very low characterize an engine’s actual rate of
engines. This would align with the emission levels. While the HC+NOX deterioration.
provisions already adopted by emissions may be as high as 2.7 g/kW- Most Large SI engines are installed in
California ARB. Similarly, we are hr, manufacturers are certifying some equipment that has metal fuel tanks.
proposing a provision allowing for engine families with deteriorated This formed the basis of the regulatory
assigned deterioration factors for small- emission levels below 0.1 g/kW-hr. approach to set evaporative emission
volume engine families for Small SI These very low emission levels are well standards and certification
engines (see Section V). A similar below the standard, but the requirements. Manufacturers have
dynamic applies for Large SI engines. measurement systems are challenged to raised questions about the appropriate
Any such allowance would apply to produce a precisely repeatable emission steps to take for systems that rely on
engine families with projected sales up level at that point. As a result, plastic fuel tanks. These tanks are able
to 300 or 500 units to reflect to different measurement variability and minor to meet standards, but questions have
production volumes. We request engine-to-engine variability can lead to been raised about the engine
comment on allowing assigned small absolute differences in emission manufacturer’s role in certifying a range
deterioration factors for small-volume levels that become magnified by a of fuel tanks with their engines. We
engine families for Large SI engines, and deterioration factor that reflects the request comment on the extent to which
on the appropriate threshold for this extremely small low-hour measurement. the current regulatory requirements
provision. We are therefore proposing to specify might limit the range of fuel tank
We are also proposing to revise the designs.
that manufacturers use an additive
provisions related to competition The current permeation standards for
deterioration factor if their low-hour
engines to align with the proposal for Large SI equipment references Category
emission levels are below 0.3 g/kW-hr.
Small SI engines. Any Small SI engine 1 fuel lines as defined in the version of
This change would accommodate the
that is produced under the competition SAE J2260 that was issued in November,
mathematical and analyzer effects of
exemption will very likely exceed 19 1996. In 2004, the Society of
very low emission levels without
kW. As a result, we believe it is Automotive Engineers (SAE) updated
appropriate to make these provisions changing the current practice for the
SAE J2260. Manufacturers have asked
identical to avoid confusion. majority of engines that are certified
whether we will approve fuel lines
Manufacturers have notified us that with emission levels closer to the
based on the updated procedures. The
the transient test for constant-speed standard. This change would remove
new procedures have two primary
engines does not represent in-use the incentive for manufacturers to
differences related to fuel line
operation in a way that significantly increase their engine’s emission levels
permeation. First, the test fuel was
affects measured emission levels. This to avoid an artificially large
changed from CM15 to CE10.106 Second,
notification is required by deterioration factor. The only exception
the associated limits for the different
§ 1065.10(c)(1). In particular, would be for cases in which good
categories of fuel line permeation were
manufacturers have pointed out that the engineering judgment dictates that a
revised. Data presented in Chapter 5 of
specified operation involves light multiplicative deterioration factor
the Draft RIA suggest that permeation
engine loads such that combustion and would nevertheless be appropriate for
from low-permeation fuel line materials
exhaust temperatures do not rise enough engines with very low emissions. This
can be less than half on CE10 than on
to reach catalyst light-off temperatures. may be the case if an engine’s
CM15. The permeation specification for
As a result, meeting the standard using deterioration can be attributed, even at
Category 1 fuel line was revised by SAE
the constant-speed transient test would very low emission levels, to
from 0–25 g/m2/day to 3–10 g/m2/day.
require the use of significantly oversized proportionally decreased catalyst
(A new Category 0 was added at 0–3 g/
catalysts, which would add significant conversion of emissions from an aged
m2/day.) Directionally, the new
costs without a commensurate engine. It is important to note that Large
Category 1 permeation limits seem to
improvement for in-use emission SI engine manufacturers are subject to
account for the change in the test fuel.
control. We faced a similar dilemma in in-use testing to demonstrate that they
In addition, ethanol fuel blends are
the effort to adopt transient standards meet emission standards throughout the
commonly used in-use while methanol
for nonroad diesel engines, concluding useful life. Should such testing indicate
fuel blends are less common. We
that the transient standards should not that an additive deterioration factor
request comment on updating the
apply until we develop a more suitable does not appropriately reflect actual
regulations for Large SI equipment to
duty cycle that more appropriately performance, we would require
reference the Category 1 fuel line
reflects in-use operation. We are manufacturers to revise their
specifications in the updated version of
proposing to take this same approach for deterioration factors appropriately, as
SAE J2260 (revised November 2004). We
Large SI engines, waiving the required under the current regulations.
also request comment on whether this
requirement constant speed engines to If such discrepancies appear for
new specification would affect the
meet the transient standards until we multiple manufacturers, we would
stringency of the standard or the choice
are able to develop a more appropriate revise the regulation to again require
of fuel line constructions for this
duty cycle. Manufacturers must multiplicative deterioration factors for
equipment.
continue to meet the standards for all aftertreatment-based systems. We
We are also proposing several

steady-state testing and the field-testing also request comment on a further
technical amendments to part 1048.
standards continue to apply. We are also refinement of the form of the
Many of these simply correct
proposing to clarify that manufacturers deterioration factor to more closely
certifying constant-speed engines reflect the degradation in catalyst 106 ‘‘C’’ refers to fuel C as specified in ASTM D
should describe their approach to conversion efficiency. For example, 412, E10 refers to 10 percent ethanol, and M15
controlling emissions during transient measuring engine-out emissions would refers to 15 percent methanol.
typographical errors or add references to prescriptive approach requires much • § 1048.250: Adding a requirement
the proposed regulatory cites in part more information than is needed to for manufacturers to report their sales
1054. Several changes are intended adequately describe emission control volumes for an engine family if they are
merely to align regulatory language with systems. We are proposing to leave in using a provision that depends on
that of other programs, including those place a broad requirement to describe production volumes.
that would be subject to the standards emission control systems and • § 1048.301: Clarifying that engine
proposed in this notice. In addition, we parameters in sufficient detail to allow families with projected sales volumes
are proposing the following changes: EPA to confirm that no defeat devices below 150 units may have reduced
• § 1048.5: Clarifying that locomotive are employed. Manufacturers should be testing rates for production-line testing.
propulsion engines are not subject to motivated to include substantial This level of production does not allow
Large SI emission standards, even if information to make such for adequate testing to use the statistical
they use spark-ignition engines. This is determinations in the certification techniques before exceeding specified
based on the separate provisions that process, rather than being subject to this maximum testing rates.
apply to locomotives in Clean Air Act type of investigation for emission • § 1048.305: Clarifying that (1)
section 213. control approaches that are found to be Tested engines should be built in a way
• § 1048.101: Clarifying outside of the scope of the application that represents production engines; (2)
manufacturer’s responsibility to meet for certification. the field-testing standards apply for any
emission standards for different types of • § 1048.205: Adding requirement to testing conducted (this may involve
testing, especially to differentiate align projected sales volumes with simply comparing modal results to the
between field-testing standards and actual sales from previous years. This field-testing standards); and (3) we may
duty-cycle standards. does not imply additional reporting or review a decision to use emission
• § 1048.105: Clarifying that only the recordkeeping requirements. It is results from a retested engine instead of
permeation standards of SAE J2260 intended simply to avoid situations the original results.
apply to fuel lines used with Large SI where manufacturers intentionally mis- • § 1048.310: Clarifying the
engines. state their projected sales volume to relationship between quarterly testing
• § 1048.105: Clarifying that the gain some advantage under the and compliance with the annual testing
requirement to prevent fuel boiling is regulations. requirements.
affected by the pressure in the fuel tank. • § 1048.205: Specifying that • § 1048.315: Correcting the equation
The regulation currently characterizes manufacturers must submit modal for the CumSum statistic to prevent
the boiling point of fuel only at emission results rather than just negative values.
atmospheric pressure. Pressurizing the submitting a weighted average. Since • § 1048.410: Clarifying that repeat
fuel tank increases the boiling point of this information is already part of the tests with an in-use test engine are
the fuel. demonstration related to the field- acceptable, as long as the same number
• § 1048.105: Reorganizing the testing standards, this should already be of repeat tests are performed for all
regulatory provisions to align with the common practice. engines.
new language in 40 CFR part 1060. This • § 1048.220: Clarifying that if • § 1048.415: Clarifying that the
is not intended to change any of the manufacturers change their provisions related to defect reporting in
applicable requirements. maintenance instructions after starting 40 CFR 1068.501 apply for in-use
• § 1048.110: Clarifying that production for an engine family, they testing.
‘‘malfunctions’’ relate to engines failing may not disqualify engines for in-use • § 1048.501: Removing specified
to maintain emission control and not to testing or warranty claims based on the mapping procedures, since these are
diagnostic systems that fail to report fact that operators did not follow the addressed in 40 CFR part 1065.
signals; and clarifying that the revised maintenance instructions. • § 1048.505: Removing redundant
malfunction indicator light needs to stay • § 1048.225: Clarifying the text and removing sampling times
illuminated for malfunctions or for terminology to refer to ‘‘new or specified in Table 1, since these are
system errors. modified engine configurations’’ rather addressed in § 1048.505(a)(1).
• § 1048.120: Clarifying that the than ‘‘new or modified nonroad • § 1048.505: Correcting the mode
emission-related warranty covers only engines.’’ This is necessary to avoid sequence listed in the table for the
those components from 40 CFR part using the term ‘‘new nonroad engine’’ in ramped-modal testing.
1068, Appendix I, whose failure will a way that differs from the definitions • § 1048.505: Clarifying that cycle
increase emissions. in § 1048.801. statistics for discrete-mode testing must
• § 1048.125: Clarifying the • § 1048.230: Clarifying that engine be calculated separately for each mode.
provisions related to noncritical families relate fundamentally to • §§ 1048.605 and 1048.610:
emission-related maintenance. emission certification and that we Requiring some demonstration that the
• § 1048.135: Revising the engine would expect manufacturers to suggest sales restrictions that apply for these
labeling requirements to allow omission a tailored approach to specifying engine sections are met, and clarifying the
of the manufacturing date only if the families under § 1048.230(d) to occur provisions related to emission credits
date is stamped or engraved on the only in unusual circumstances. for vehicles that generate or use
engine, rather than allowing • 1048.240: Adding a requirement for emission credits under 40 CFR part 86.
manufacturers to keep records of engine design-based certification for the • § 1048.801: Revising several
build dates. This is important for diurnal standards that fuel tanks need to definitions to align with updated
verifying that engines comply with use low-permeation materials. definitions adopted (or proposed) for
standards based on their build date. • 1048.245: Adding the provision to other programs.
• § 1048.205: Removing detailed allow for component certification for We request comment on changing
specifications for describing auxiliary plastic fuel tanks. The revised language § 1048.220 to prevent manufacturers
emission control devices in the clarifies the requirement related to from distributing revised emission-
application for certification. This allowing pressure relief for vacuum related maintenance instructions until
responds to the concern expressed by pressures and for controlling we have approved them. We are taking
manufacturers that the existing, very permeation rates from plastic fuel tanks. this approach for Small SI and Marine
SI engines in this proposal (see and avoid publishing redundant prescriptive approach requires much
§§ 1045.220 and 1054.220) because we specifications. more information that is needed to
believe it would be inappropriate for We are also proposing several adequately describe emission control
manufacturers to specify increased or technical amendments to part 1051. systems. We are proposing to leave in
decreased emission-related maintenance Many of these simply correct place a broad requirement to describe
without EPA approval of those changes. typographical errors or add references to emission control systems and
The same concern applies equally to all the proposed regulatory cites in part parameters in sufficient detail to allow
nonroad spark-ignition engines and 1054. Several changes are intended EPA to confirm that no defeat devices
vehicles, so we would expect to apply merely to align regulatory language with are employed. Manufacturers should be
the same policy to all these engines. that of other programs, including those motivated to include substantial
For Small SI and Marine SI engines that would be subject to the standards information to make such
we are proposing to require proposed in this notice. determinations in the certification
manufacturers of imported engines to In addition, we are proposing the process, rather than being subject to this
include basic information in the following changes: type of investigation for emission
application for certification, including • § 1051.1: Revising the speed control approaches that are found to be
identification of associated importers, threshold for offroad utility vehicles to outside of the scope of the application
specific ports intended for importation, be subject to part 1051. Changing from for certification.
and testing facilities where testing could ‘‘25 miles per hour or higher’’ to ‘‘higher • § 1051.205: Requirements to align
be done in the United States. We request than 25 miles per hour’’ aligns this projected sales volumes with actual
comment on extending these provisions provision with the similar threshold for sales from previous years. This does not
to Large SI engines. See § 1054.205. qualifying as a motor vehicle in 40 CFR imply additional reporting or
85.1703. recordkeeping requirements. It is
E. Amendments Related To Recreational • § 1051.5: Clarifying the status of intended simply to avoid situations
Vehicles (40 CFR Part 1051) very small recreational vehicles to where manufacturers intentionally mis-
Manufacturers of recreational vehicles reflect the provisions in the current state their projected sales volume to
are encouraged to review the proposed regulations in 40 CFR part 90 to treat gain some advantage under the
changes described in Section XI.C such vehicles with a dry weight under regulations.
related to 40 CFR part 1068. 20 kilograms as Small SI engines. • § 1051.220: Clarifying that if
• § 1051.25: Clarifying that manufacturers change their
We are proposing in this notice to
manufacturers of recreational vehicles maintenance instructions after starting
establish a process by which
that use engines certified to meet production for an engine family, they
manufacturers of fuel system
exhaust emission standards must still may not disqualify vehicles for warranty
components certify that their products
certify the vehicle with respect to the claims based on the fact that operators
meet emission standards. For
evaporative emission standards. did not follow the revised maintenance
recreational vehicles we adopted a • § 1051.120: Clarifying that the instructions.
program in which the exhaust and emission-related warranty covers only • § 1051.225: Clarifying the
evaporative emission standards apply to those components from 40 CFR part terminology to refer to ‘‘new or
the vehicle so we did not set up a 1068, Appendix I, whose failure will modified vehicle configurations’’ rather
process for certifying fuel-system increase emissions. than ‘‘new or modified vehicles.’’ This
components. We continue to believe • § 1051.125: Clarifying the is necessary to avoid confusion with the
that evaporative emission standards provisions related to noncritical term ‘‘new vehicle’’ as it relates to
should apply to the vehicle. However, emission-related maintenance. introduction into commerce.
we are proposing to allow • § 1051.135: Revising the labeling • § 1051.225: Clarifying the
manufacturers of fuel-system requirements to allow omission of the provisions related to changing an engine
components to opt in to this program by manufacturing date only if the date is family’s Family Emission Limit after the
certifying their fuel tanks or fuel lines stamped or engraved on the vehicle, start of production.
to the applicable standards. While this rather than allowing manufacturers to • § 1051.255: Adopting a different
would be a voluntary step, any keep records of vehicle build dates. This SAE standard for specifying low-
manufacturer opting into the program in is important for verifying that vehicles permeability materials to allow for
this way would be subject to all the comply with standards based on their design-based certification of metal fuel
requirements that apply to certificate build date. tanks with gaskets made of polymer
holders. While manufacturers of • § 1051.135: Adding a requirement materials. The existing language does
recreational vehicles would continue to to include family emission limits related not adequately characterize the
be responsible for meeting standards to evaporative emissions to the emission necessary testing and material
and certifying their vehicles, it may be control information label. Since this specifications.
appropriate to simplify their compliance change may involve some time for • § 1051.230: Clarifying that engine
effort by allowing them to rely on the manufacturers to comply, we are families relate fundamentally to
certification of the fuel-line proposing to apply this starting with the emission certification and that we
manufacturer or fuel-tank manufacturer. 2009 model year. would expect manufacturers to suggest
We also request comment on • § 1051.137: Clarifying how the a tailored approach to specifying engine
specifying that vehicle manufacturers labeling requirements apply with families under § 1051.230(e) to occur
use the certification and testing respect to the averaging program and only in unusual circumstances.
procedures proposed in 40 CFR part selected family emission limits. • § 1051.250: Adding a requirement
1060 to meet the evaporative emission • § 1051.205: Removing detailed for manufacturers to report their sales
standards included in part 1051. This specifications for describing auxiliary volumes for an engine family if they are
would not be intended to affect the emission control devices in the using a provision that depends on
stringency of current requirements. This application for certification. This production volumes.
would simply allow us to maintain responds to the concern expressed by • § 1051.301: Clarifying that engine
consistent requirements across programs manufacturers that the existing, very families with projected sales volumes
below 150 units may be exempted from related maintenance instructions until requirements would apply
production-line testing. This level of we have approved them. We are taking automatically to those stationary
production does not allow for adequate this approach for Small SI and Marine engines. However, since the Phase 3
testing to use the statistical techniques SI engines in this proposal (see standards will be in 40 CFR part 1054,
before exceeding specified maximum §§ 1045.220 and 1054.220) because we as described in Section V, we are
testing rates. believe it would be inappropriate for proposing to revise the regulatory
• § 1051.305: Clarifying that tested manufacturers to specify increased or language for stationary spark-ignition
vehicles should be built in a way that decreased emission-related maintenance engines in 40 CFR part 60, subpart JJJJ,
represents production vehicles. without EPA approval of those changes. to directly reference the Phase 3
• § 1051.310: Clarifying the The same concern applies equally to all standards part 1054.
relationship between quarterly testing nonroad spark-ignition engines and
and compliance with the annual testing vehicles, so we would expect to apply XII. Projected Impacts
requirements; and clarifying the testing the same policy to all these engines. A. Emissions from Small Nonroad and
provisions that apply for engine families For Small SI and Marine SI engines Marine Spark-Ignition Engines
where the production period is we are proposing to require
substantially less than a full year. manufacturers of imported engines to As discussed in previous sections,
• § 1051.315: Correcting the equation include basic information in the this proposal will reduce exhaust
for the CumSum statistic to prevent application for certification, including emissions from specific sizes of
negative values. identification of associated importers, nonhandheld Small SI and Marine SI
• § 1051.325: Clarifying the basis on specific ports intended for importation, engines. It will also reduce evaporative
which we would approve retroactive and testing facilities where testing could emissions from the fuel systems used on
changes to the Family Emission Limit be done in the United States. We request nonhandheld and handheld Small SI
for an engine family that has failed comment on extending these provisions equipment and Marine SI vessels (for
under production-line testing. to recreational vehicles. See § 1054.205. simplicity we collectively include the
• § 1051.505: Clarifying that cycle evaporative emission requirements from
statistics for discrete-mode testing must F. Amendments Related to Heavy-Duty
Highway Engines (40 CFR Part 85) equipment or vessels when referring to
be calculated separately for each mode. Small SI or Marine SI engines in the
• §§ 1051.605 and 1051.610: We are proposing to make several remainder of this section). The proposed
Requiring some demonstration that the adjustments to the provisions related to exhaust and evaporative emission
sales restrictions that apply for these delegated assembly specified in standards will directly affect volatile
sections are met. § 85.1713. These adjustments include: organic hydrocarbon compounds (VOC),
• § 1051.650: Add a requirement to • Removing the provision related to oxides of nitrogen (NOX), and to a lesser
certify vehicles that are converted to run auditing outside the United States since extent carbon monoxide (CO). Also, we
on a different fuel. We expect this is a equipment manufactured in other anticipate that the emission control
rare occurrence, but one that we should countries would not be subject to these technology which is likely to be used to
make subject to certification provisions meet the exhaust emission standards
requirements (see Section VII.B.3). • Clarifying that the exemption will affect directly emitted particulate
• § 1051.701: Clarifying that expires when the equipment matter, most importantly particles with
manufacturers using emission credits to manufacturer takes possession of the diameters of 2.5 micrometers or less
meet emission standards must base their engine, but not before it reaches the (PM2.5). It will also incrementally reduce
credit calculations on their full product point of final assembly air toxic emissions. A detailed analysis
line-up, rather than considering only • Clarifying the prohibition related to
of the effects of this proposal on
those engine families with Family following installation instructions to
emissions and emission inventories can
Emission Limits above or below the ensure that engines will be in their
be found in Chapter 3 of the Draft RIA.
emission standard. We are also certified configuration when installed in
clarifying that a single family may not a piece of equipment. The contribution of exhaust and
generate emission credits for one We believe all these amendments are evaporative emissions from Small SI
pollutant while using emission credits straightforward adjustments that are and Marine SI engines to total 50-state
for another pollutant, which is common appropriate for maintaining a program emission inventories is significant and
to all our emission control programs. that allows for appropriate oversight will remain so into the future. Table
• § 1051.735: Adding a requirement and implementation. XII–1 presents the nationwide inventory
to keep records related to banked for these engines for both 2001 and
G. Amendments Related to Stationary 2020. (The inventories cover all Small
emission credits for as long as a
Spark-Ignition Engines (40 CFR Part 60) SI and Marine SI engines including the
manufacturer intends for those credits
to be valid. This is necessary for us to On June 12, 2006 we proposed portion of Small SI engines regulated by
verify the appropriateness of credits emission standards for stationary spark- the California ARB.) Table XII–1 shows
used for demonstrating compliance with ignition engines (71 FR 33804). The that for the primary pollutants affected
emission standards in later model years. June 2006 proposal specified that by this proposal, these engines
• § 1051.801: Revising several stationary spark-ignition engines at or contribute about 25 to 30 percent of the
definitions to align with updated below 19 kW would be subject to all the nationwide VOC emissions from all
definitions adopted (or proposed) for same emission standards and mobile sources. The nationwide
other programs. certification requirements that apply to contribution to the total mobile source
We request comment on changing Small SI engines. If we would include NOX inventory is about 5 percent or
§ 1051.220 to prevent manufacturers the new Phase 3 standards for Small SI less. Finally, for PM2.5, the contribution
from distributing revised emission- engines in 40 CFR part 90, these ranges from about 25 to 30 percent.
TABLE XII–1.—CONTRIBUTION OF SMALL NONROAD AND MARINE SI ENGINES TO NATIONAL (50-STATE) MOBILE SOURCE
EMISSION INVENTORIES
2001 2020
Pollutant Small SI/ma- Percent of Small SI/ma- Percent of

rine SI inven- mobile source rine SI inven- mobile source
tory, tons inventory tory, tons inventory
VOC ................................................................................................................. 2,239,056 28 1,351,739 27

NOX .................................................................................................................. 159,051 1 201,789 4
PM2.5 ................................................................................................................ 42,294 9 39,271 16
CO .................................................................................................................... 20,867,436 24 16,373,518 31
(1) VOC approximately 1,081,000 and 961,000 reduced by 34 percent for Small SI
tons of VOC, respectively. Without the engines and 74 percent for Marine SI
Table XII–2 shows the VOC emissions proposed standards, these emissions engines by 2040. The VOC emission
and emission reductions we expect both will decrease because of the effect of the inventory trends over time for both
with and without the proposed existing emission control requirements categories of engines that are subject to
standards for engines, equipment, and to about 1,005,000 and 490,000 tons by the proposal are shown in Figure
vessels affected by the proposal. In 2040, respectively. With the proposed XII–1.
2001, Small SI and Marine SI emitted controls, this pollutant will be further
TABLE XII–2.—NATIONAL (50-STATE) VOC EMISSIONS AND EMISSION REDUCTIONS FOR SMALL SI AND MARINE SI
ENGINES
Without pro- With proposed Percent
Year Category Reduction
posed rule rule reduction
2001 ............ Small Engine .......................................................................... 1,080,898 1,080,898

Marine .................................................................................... 961,240 961,240
Both ........................................................................................ 2,042,138 2,042,138
2015 ............ Small Engine .......................................................................... 708,331 510,617 197,714 28
Marine .................................................................................... 513,105 372,020 141,086 27
Both ........................................................................................ 1,221,436 882,637 338,799 28
2020 ............ Small Engine .......................................................................... 764,453 508,677 255,776 33
Marine .................................................................................... 466,624 232,697 233,927 50
Both ........................................................................................ 1,231,078 741,375 489,703 40
2030 ............ Small Engine .......................................................................... 884,188 581,766 302,422 34
Marine .................................................................................... 464,490 135,956 328,533 71
Both ........................................................................................ 1,348,678 717,723 630,955 47
2040 ............ Small Engine .......................................................................... 1,005,403 659,976 345,427 34
Marine .................................................................................... 490,052 127,158 362,893 74
Both ........................................................................................ 1,495,455 787,135 708,320 47
(2) NOX SI emitted approximately 102,000 and by 47 percent for Small SI engines and
41,500 tons of NOX, respectively. 51 percent for Marine SI engines by
Table XII–3 shows the NOX emissions Without the proposed standards, these 2040. The NOX emission inventory
and emission reductions we expect both emissions will increase to about trends over time for both categories of
with and without the proposed 135,000, and 95,400 tons by 2040, engines that are subject to the proposal
standards for engines affected by the respectively. With the proposed are shown in Figure XII–2.
proposal. In 2001, Small SI and Marine controls, this pollutant will be reduced
TABLE XII–3.—NATIONAL (50-STATE) NOX EMISSIONS AND EMISSION REDUCTIONS FOR SMALL SI AND MARINE SI
ENGINES
2001 ............ Small Engine .......................................................................... 101,928 101,928

Marine .................................................................................... 41,514 41,514
Both ........................................................................................ 143,442 143,442
2015 ............ Small Engine .......................................................................... 94,432 58,117 36,315 38
Marine .................................................................................... 73,583 59,024 14,558 20
Both ........................................................................................ 168,015 117,141 50,874 30
2020 ............ Small Engine .......................................................................... 102,310 55,241 47,069 46
Marine .................................................................................... 80,655 55,656 24,999 31
Both ........................................................................................ 182,965 110,896 72,069 39
2030 ............ Small Engine .......................................................................... 118,615 62,778 55,837 47
Marine .................................................................................... 89,225 46,859 42,366 47
Both ........................................................................................ 207,840 109,637 98,203 47
2040 ............ Small Engine .......................................................................... 135,136 71,361 63,775 47
Marine .................................................................................... 95,440 46,874 48,567 51

Both ........................................................................................ 230,577 118,235 112,342 49
EP18MY07.001</GPH>
(3) PM2.5 proposed standards, the PM2.5 outboards. With the proposed controls,
Table XII–4 shows the PM2.5 emissions from Small SI engines will this pollutant will be reduced by 5
emissions and emission reductions we increase to 39,100 by 2040, while those percent for Small SI engines and a
expect both with and without the from Marine SI will decrease to about further 84 percent for Marine SI engines
proposed standards for engines affected 6,000 tons in that year due to the effects by 2040. The PM2.5 emission inventory
by the proposal. In 2001, Small SI and of the existing emission control trends over time for both categories of
Marine SI emitted 23,200 and 15,600 requirements for certain types of engines that are subject to the proposal
tons of PM2.5, respectively. Without the recreational marine engines, e.g, are shown in Figure XII–3.
TABLE XII–4.—NATIONAL (50-STATE) PM2.5 EMISSIONS AND EMISSION REDUCTIONS FOR SMALL SI AND MARINE SI
ENGINES
2001 ............ Small Engine .......................................................................... 23,163 23,163

Marine .................................................................................... 15,625 15,625
Both ........................................................................................ 38,789 38,789
2015 ............ Small Engine .......................................................................... 27,747 26,647 1,100 4
Marine .................................................................................... 6,823 4,666 2,157 32
Both ........................................................................................ 34,570 31,313 3,256 9
2020 ............ Small Engine .......................................................................... 30,009 28,574 1,435 5
Marine .................................................................................... 5,908 2,448 3,461 59
Both ........................................................................................ 35,917 31,022 4,896 14
2030 ............ Small Engine .......................................................................... 34,535 32,849 1,686 5
Marine .................................................................................... 5,719 1,107 4,613 81
Both ........................................................................................ 40,255 33,956 6,299 16
2040 ............ Small Engine .......................................................................... 39,079 37,153 1,926 5
Marine .................................................................................... 6,016 985 5,031 84
Both ........................................................................................ 45,095 38,138 6,957 15
EP18MY07.002</GPH>
(4) CO tons of PM2.5, respectively. Without the pollutant will be reduced by 16 percent
Table XII.–5 shows the CO emissions proposed standards, these emissions for Small SI engines and a further 22
and emission reductions we expect both will increase slightly for Small SI percent for Marine SI engines by 2040.
with and without the proposed engines to 16,727,000 and decrease The CO emission inventory trends over
standards for engines affected by the slightly for Marine SI engines to time for both categories of engines that
proposal. In 2001, Small SI and Marine 2,122,000 tons by 2040, respectively. are subject to the proposal are shown in
SI emitted 16,108,000 and 2,585,000 With the proposed controls, this Figure XII–4.
TABLE XII–5.—NATIONAL (50-STATE) CO EMISSIONS AND EMISSION REDUCTIONS FOR SMALL SI AND MARINE SI ENGINES
2001 ............ Small Engine .......................................................................... 16,108,103 16,108,103 ........................ ........................

Marine .................................................................................... 2,584,786 2,584,786 ........................ ........................
Both ........................................................................................ 18,692,890 18,692,890 ........................ ........................
2015 ............ Small Engine .......................................................................... 11,797,078 10,317,051 1,480,027 13
Marine .................................................................................... 2,031,684 1,883,241 148,443 7
Both ........................................................................................ 13,828,762 12,200,291 1,628,471 12
2020 ............ Small Engine .......................................................................... 12,712,775 10,782,258 1,930,518 15
Marine .................................................................................... 1,968,663 1,718,956 249,707 13
Both ........................................................................................ 14,681,439 12,501,214 2,180,225 15
2030 ............ Small Engine .......................................................................... 14,700,521 12,411,661 2,288,860 16
Marine .................................................................................... 2,009,248 1,607,678 401,570 20
Both ........................................................................................ 16,709,768 14,019,339 2,690,429 16
2040 ............ Small Engine .......................................................................... 16,726,708 14,113,517 2,613,191 16
Marine .................................................................................... 2,122,336 1,665,392 456,943 22
Both ........................................................................................ 18,849,044 15,778,910 3,070,134 16
EP18MY07.003</GPH>
B. Estimated Costs available in the docket for this standards more efficiently. The learning
In assessing the economic impact of rulemaking. curve has not been applied to Small SI
setting emission standards, we have Cost estimates based on the current EFI systems due to the fact that the
made a best estimate of the costs projected costs for our estimated technologies are currently well
associated with the technologies we technology packages represent an established on similar sized engines in
anticipate manufacturers will use in expected incremental cost of equipment other applications.
meeting the standards. In making our in the near term. For the longer term we We project average costs to comply
estimates for the proposed rule, we have have identified factors that would cause with the proposed exhaust emission
relied on our own technology cost impacts to decrease over time. First, standards for Small SI engines and
assessment, which includes information as noted above, we project that equipment to range from $9–$15 per
developed by EPA’s National Vehicle manufacturers will spread their fixed Class I equipment to meet the Phase 3
and Fuel Emissions Laboratory costs over the first five years of standards. We anticipate the
(NVFEL). Estimated costs include production. After the fifth year of manufacturers will meet the emission
variable costs (e.g. hardware and production, we project that the fixed standard with several technologies
assembly time) and fixed costs (e.g. costs would be retired and the unit costs including engine improvements and
research and development, retooling, could be reduced as a result. catalysts. For Class II equipment, we
engine certification and test cell The cost analysis considers both long- project average costs to range from $22–
upgrades to 40 CFR 1065 requirements). term and short-term costs. We expect $47 per equipment to meet the proposed
We projected that manufacturers will that over time, manufacturers will emission standards. We anticipate the
recover the fixed costs over five years of undergo a learning process that will manufacturers of Class II engines would
production and used an amortization lead to lower variable costs. For meet the proposed exhaust emission
rate of 7 percent in our analysis. The instance, the analysis incorporates the standards by engine improvements and
analysis also considers total operating expectation that Small SI engine adding catalysts and/or electronic fuel
costs, including maintenance and fuel manufacturers will optimize the catalyst injection to their engines.
consumption. Cost estimates based on muffler offerings available and thereby For Small SI equipment, we have also
the projected technologies represent an streamline their production and reduce estimated a per-unit cost for the
expected change in the cost of engines costs. The cost analysis generally proposed evaporative emission
as they begin to comply with new incorporates this learning effect by standards. The average short-term costs
emission standards. All costs are decreasing estimated variable costs by without fuel savings are projected to be
presented in 2005 dollars. Full details of 20 percent starting in the sixth year of $0.82 for handheld equipment, $3.16 for
our cost analysis can be found in production. Long-term impacts on costs Class I equipment, and $6.90 for Class
Chapter 6 of the Draft RIA. Estimated are expected to decrease as II equipment. These costs are based on
costs related to exhaust emissions were manufacturers fully amortize their fixed fuel tank and fuel line permeation
also subject to peer review, as described costs and learn to optimize their designs control, and for non-handheld
EP18MY07.004</GPH>
in a set of peer review reports that are and production processes to meet the equipment, running loss and diffusion
control. Because evaporative emissions $12 for boats with portable fuel tanks, manufacturers might use to meet the
are composed of otherwise usable fuel $17 for PWC, and $74 for boats with new standards, best estimates of
that is lost to the atmosphere, measures installed fuel tanks. These costs are resultant changes to equipment design,
that reduce evaporative emissions will based on fuel tank and fuel line engine manufacturer compliance
result in fuel savings. We estimate that permeation control and diurnal program costs, and fuel savings in order
the average fuel savings, due to emission control. For portable fuel to assess the expected economic impact
permeation control, be about 1.2 gallons tanks, diurnal emission control is based of the proposed Phase 3 emission
over the 5-year average operating on an automatic sealing vent, for PWC standards for Small SI engines and
lifetime. This translates to a discounted we estimate that changes will not be Marine SI engines. Emission reduction
lifetime savings of more than $2 at an necessary from current designs, and for benefits are taken from the results of the
average fuel price of $1.81 per gallon. other boats with installed fuel tanks, the Inventory chapter of the RIA (Chapter
For marine engines, we estimated per- estimated costs are based on the use of 3).
engine costs for OB, PWC, and SD/I a passively-purged carbon canister.
engines for meeting the proposed Because evaporative emissions are A summary of the annualized costs to
exhaust emission standards. The short- composed of otherwise usable fuel that Small SI and Marine SI engine
term cost estimates without fuel savings is lost to the atmosphere, measures that manufacturers is presented in Table
are $280 for OB, $360 for PWC, and reduce evaporative emissions will result XII–6. These annualized costs are over
$360 for SD/I engines. For OB/PWC in fuel savings. We estimate that the a 30-year period and presented both
engines, we anticipate that average fuel savings, due to permeation with a 3-percent and a 7-percent
manufacturers would meet the control, be about 31 gallons over the 15- discount rate. The annualized fuel
standards through the expanded year average operating lifetime. This savings for Small SI engines are due to
production of existing low-emission translates to a discounted lifetime reduced fuel costs from the use of
technologies such as four-stroke and savings of about $36 at an average fuel electronic fuel injection on Class II
direct-injection two-stroke engines. For price of $1.81 per gallon. engines as well as fuel savings from
SD/I engines, we anticipate that evaporative measures on all Small SI
manufacturers would use catalytic C. Cost per Ton engines. The annualized fuel savings for
control to meet the proposed standards. We have calculated the cost per ton of Marine SI engines are due to reduced
For marine vessels, we have also the Phase 3 standards contained in this fuel costs from the expected elimination
estimated a per-unit cost for the proposal by estimating costs and of 2-stroke outboard motors from the
proposed evaporative emission emission benefits for these engines. We new engine fleet as well as fuel savings
standards. The average short-term costs made our best estimates of the from evaporative emission controls on
without fuel savings are projected to be combination of technologies that engine all vessels.
TABLE XII–6.—ESTIMATED ANNUALIZED COST TO MANUFACTURERS AND ANNUALIZED FUEL SAVINGS OVER 30 YEARS DUE
TO THE PHASE 3 SMALL SI AND MARINE SI ENGINE STANDARDS
[2005$, 3 and 7 percent discount rates]
Annualized cost to Annualized fuel savings

manufactuers (millions/yr) (millions/yr)
Engine category Emissions category
3% 7% 3% 7%
Small SI Engines ...................................... Exhaust ..................................................... $281 $267 $71 $63

Evaporative ............................................... 70 67 58 52
Aggregate ................................................. 350 334 129 114
Marine SI Engines .................................... Exhaust ..................................................... 134 141 76 67
Evaporative ............................................... 26 26 29 25
Aggregate ................................................. 160 167 105 92
We have estimated the Small SI and net present value of the HC+NOX HC+NOX reduction is $660. Reduced
Marine SI engine cost per ton of the benefits over 30 years. The resultant operating costs offset a portion of the
Phase 3 HC+NOX standards over the discounted cost per ton is presented in increased cost of producing the cleaner
typical lifetime of the equipment that Table XII–7. The total (exhaust and Small SI and Marine SI engines.
are covered by this proposal. We have evaporative) cost per ton, using a 7 Reduced fuel consumption also offsets
examined the cost per ton by performing percent discount rate, with fuel savings the costs of permeation control. Chapter
a nationwide cost per ton analysis in is $950 for Small SI equipment and 7 of the RIA contains a more detailed
which the net present value of the cost $350 for marine vessels. For the discussion of the cost per ton analysis.
of compliance per year is divided by the proposal as a whole, the cost per ton of
TABLE XII–7.—ESTIMATED COST PER TON OF THE HC+NOX EMISSION STANDARDS

Discounted cost per ton

Implementa-
Category Without fuel With fuel
tion dates savings savings
(3%/7%) (3%/7%)
Small SI Exhaust ......................................................................................................................... 2011–2012 $1700/$1860 $1270/$1420
TABLE XII–7.—ESTIMATED COST PER TON OF THE HC+NOX EMISSION STANDARDS—Continued

Discounted cost per ton

Implementa-
Category Without fuel With fuel
tion dates savings savings
(3%/7%) (3%/7%)
Small SI Evaporative ................................................................................................................... 2008–2013 720/770 120/170

Marine SI Exhaust ....................................................................................................................... 2009–2013 690/820 300/430
Marine SI Evaporative ................................................................................................................. 2009–2012 530/630 (70)/35
Aggregate .................................................................................................................................... 2008–2013 660/1120 226/660
As is discussed above, we are also elected to focus our cost per ton analysis mobile source programs. Table XII–8
expecting some reduction in direct PM on HC+NOX. summarizes the HC+NOX cost per ton of
emissions and carbon monoxide. These One useful purpose of cost per ton several recent EPA actions for
reductions will come primarily as analysis is to compare this program to controlled emissions from mobile
product of the technology being used to other programs designed to achieve sources. While the analyses for each
meet HC and NOX standards and not similar air quality objectives. Toward rule were not completely identical, it is
directly as a result of the that end, we made a comparison clear that the Small SI and Marine SI
implementation of specific technology between the HC+NOX cost per ton values compare favorably with the other
to achieve these gains. Thus, we have values presented in Table C–2 and the recent actions.
HC+NOX cost per ton of other recent
TABLE XII–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 source of mobile source air pollution. Science Advisory Board (SAB) Health
The proposed standards would reduce and Ecological Effects Subcommittee
Information on the air quality impacts
exposure to hydrocarbon, CO and NOX (HEES) that EPA consider the
of this proposed action can be found in
emissions and help avoid a range of plausibility and viability of including an
Section II of this preamble. Section II
adverse health effects associated with estimate of premature mortality
includes health effect information on
ambient ozone and PM2.5 levels. In associated with short-term ozone
ozone, PM, CO and air toxics. It also
addition, the proposed standards would exposure in its benefits analyses and (2)
includes modeled projections of future
help reduce exposure to CO, air toxics, conclusions regarding the scientific
ozone concentrations with and without
the controls detailed in this proposal. and PM2.5 for persons who operate or support for such relationships in EPA’s
The proposed emission reductions who work with or are otherwise active 2006 Air Quality Criteria for Ozone and
would lead to reductions in ambient in close proximity to these engines. Related Photochemical Oxidants (the
concentrations of ozone, PM, CO and air EPA typically quantifies PM- and CD), EPA is in the process of
toxics. ozone-related benefits in its regulatory determining how to appropriately
impact analyses (RIAs) when possible. characterize ozone-related mortality
E. Benefits In the analysis of past air quality benefits within the context of benefits
This section presents our analysis of regulations, ozone-related benefits have analyses for air quality regulations. As
the health and environmental benefits included morbidity endpoints and part of this process, we are seeking
that can be expected to occur as a result welfare effects such as damage to advice from the National Academy of
of the proposed Small SI and Marine SI commercial crops. EPA has not recently Sciences (NAS) regarding how the
engine standards throughout the period included a separate and additive ozone-mortality literature should be
from initial implementation through mortality effect for ozone, independent used to quantify the reduction in
2030. Nationwide, the engines that are of the effect associated with fine premature mortality due to diminished
subject to the proposed emission particulate matter. For a number of exposure to ozone, the amount of life
standards in this rule are a significant reasons, including (1) Advice from the expectancy to be added and the
monetary value of this increased life The PM2.5 benefits are scaled based on analyses.108 Within this context,
expectancy in the context of health relative changes in PM2.5 precursor additional data sources are available,
benefits analyses associated with emissions (direct PM and NOX) between including a recent expert elicitation and
regulatory assessments. In addition, the this rule and the proposed Clean Air updated analysis of the Six-Cities Study
agency has sought advice on Nonroad Diesel (CAND) rule. As cohort (Laden et al., 2006).109 Please see
characterizing and communicating the explained in Section 8.2.1 of the RIA for the PM NAAQS RIA for an indication of
uncertainty associated with each of this rule, the PM2.5 benefits scaling the sensitivity of our results to use of
these aspects in health benefit analyses. approach is limited to those studies, alternative concentration-response
Since the NAS effort is not expected health impacts, and assumptions that functions. The PM2.5-related benefits
to conclude until 2008, the agency is were used in the proposed CAND associated with the proposed standards
currently deliberating how best to analysis. As a result, PM-related are presented in table XII–9.
characterize ozone-related mortality premature mortality is based on the
benefits in its rulemaking analyses in updated analysis of the American It should be noted that since the
the interim. For the analysis of the Cancer Society cohort (ACS; Pope et al., CAND rule, EPA’s Office of Air and
proposed standards, we do not quantify 2002).107 However, it is important to Radiation (OAR) has adopted a different
an ozone mortality benefit. So that we note that since the CAND rule, EPA’s format for its benefits analysis in which
do not provide an incomplete picture of Office of Air and Radiation (OAR) has characterization of uncertainty is
all of the benefits associated with adopted a different format for its integrated into the main benefits
reductions in emissions of ozone benefits analyses in which analysis. The benefits scaling approach
precursors, we have chosen not to characterization of the uncertainty in used in the analysis of the proposed
include an estimate of total ozone the concentration-response function is standards limits our ability to integrate
benefits in the proposed RIA. By integrated into the main benefits uncertainty into the main analysis. For
omitting ozone benefits in this proposal, analysis. This new approach follows the the benefits analysis of the final
we acknowledge that this analysis recommendation of NRC’s 2002 report standards, we will adopt this integrated
underestimates the benefits associated ‘‘Estimating the Public Health Benefits uncertainty approach. Please see the PM
with the proposed standards. Our of Proposed Air Pollution Regulations’’ NAAQS RIA for an indication of the
analysis, however, indicates that the to begin moving the assessment of uncertainty present in the base estimate
rule’s monetized PM2.5 benefits alone uncertainties from its ancillary analyses of benefits and the sensitivity of our
substantially exceed our estimate of the into its main benefits presentation results to the use of alternative
costs. through the conduct of probabilistic concentration-response functions.
TABLE XII–9.—ESTIMATED MONETIZED PM-RELATED HEALTH BENEFITS OF THE PROPOSED STANDARDS

Total Benefits a, b, c (billions
2005$)
2020 2030
Using a 3% discount rate ........................................................................................................................................ $2.1 + B $3.4 + B

Using a 7% discount rate ........................................................................................................................................ $1.9 + B $3.1 + B
a Benefits include avoided cases of mortality, chronic illness, and other morbidity health endpoints. PM-related mortality benefits estimated
using an assumed PM threshold at background levels (3 µg/m3). There is uncertainty about which assumed threshold to use and this may impact
the magnitude of the total benefits estimate. For a more detailed discussion of this issue, please refer to Section 8.6.2.2 of the RIA.
b For notational purposes, unquantified benefits are indicated with a ‘‘B’’ to represent the sum of additional monetary benefits and disbenefits.
A detailed listing of unquantified health and welfare effects is provided in Table XII–12.
c Results reflect the use of two different discount rates: 3 and 7 percent, which are recommended by EPA’s Guidelines for Preparing Economic
Analyses110 and OMB Circular A–4.111 Results are rounded to two significant digits for ease of presentation and computation.
(1) Quantified Human Health and contiguous 48 states (and DC) for the population-weighted reductions in
Environmental Effects of the Proposed Clean Air Nonroad Diesel (CAND) ambient PM2.5 due to the CAND
Standards proposal.112 For a given future year, we standards. This calculation results in a
first calculate the ratio between CAND ‘‘benefits apportionment factor’’ for the
In this section we discuss the PM2.5 direct PM2.5 emission reductions and relationship between direct PM
benefits of the proposed standards. To direct PM2.5 emission reductions emissions and ambient PM2.5 and NOX
estimate PM2.5 benefits, we rely on a associated with the proposed control emissions and ambient PM2.5, which are
benefits transfer technique. The benefits standards (proposed emission then applied to the incidence and
transfer approach uses as its foundation reductions/CAND emission reductions). monetized benefits from the CAND
the relationship between reductions in We calculate a similar ratio for NOX. We proposal. In this way, we apportion the
precursors to PM2.5 (NOX and direct then multiply these ratios by the percent results of the proposed CAND analysis
PM2.5 emissions) and ambient PM2.5 that direct PM2.5 and NOX emissions, to its underlying PM precursor emission
concentrations modeled across the respectively, contribute towards reductions and scale the apportioned
107 Pope, C.A., III, R.T. Burnett, M.J. Thun, E.E. Air Pollution Regulations. Washington, DC: The 110 U.S. Environmental Protection Agency.
September 2000. Guidelines for Preparing Economic

Calle, D. Krewski, K. Ito, and G.D. Thurston. 2002. National Academies Press.
‘‘Lung Cancer, Cardiopulmonary Mortality, and 109 Laden, F., J. Schwartz, F.E. Speizer, and D.W. Analyses. EPA 240–R–00–003.
111 U.S. Office of Management and Budget (OMB).
Long-term Exposure to Fine Particulate Air Dockery. 2006. Reduction in Fine Particulate Air
Pollution.’’ Journal of the American Medical Pollution and Mortality. American Journal of 2003. Circular A–4 Guidance for Federal Agencies
Association 287:1132–1141. Respiratory and Critical Care Medicine. 173: 667– Preparing Regulatory Analyses, Available at:
108 National Research Council (NRC). 2002.
http://www/whitehouse.gov/omb/inforeg/
672.
iraguide.html. Accessed December 15, 2005.
Estimating the Public Health Benefits of Proposed 112 See 68 FR 28327, May 23, 2003.
benefits to reflect differences in and 2030 for the proposed emission combined), 310,000 days of restricted
emission reductions between the two control strategy.115 In 2030, we estimate activity due to respiratory illness and
rules.113 This benefits transfer method is that PM-related annual benefits include approximately 52,000 fewer work-loss
consistent with the approach used in approximately 450 fewer premature days. We also estimate substantial
other recent mobile and stationary fatalities, 290 fewer cases of chronic health improvements for children from
source rules.114 bronchitis, 800 fewer non-fatal heart reduced upper and lower respiratory
Table XII–10 presents the primary attacks, 460 fewer hospitalizations (for illness, acute bronchitis, and asthma
estimates of reduced incidence of PM- respiratory and cardiovascular disease attacks.
related health effects for the years 2020
TABLE XII–10.—ESTIMATED ANNUAL REDUCTIONS IN INCIDENCE OF HEALTH EFFECTS a

2020 annual 2030 annual
Health effect incidence incidence
reduction reduction
PM-Related Endpoints:
Premature Mortality b—
Adult, age 30 and over plus Infant, age < 1 year ............................................................................................. 290 450
Chronic bronchitis (adult, age 26 and over) ..................................................................................................... 200 290
Non-fatal myocardial infarction (adult, age 18 and over) ................................................................................. 490 800
Hospital admissions—respiratory (all ages) c ................................................................................................... 160 270
Hospital admissions—cardiovascular (adults, age > 18) d ............................................................................... 130 200
Emergency room visits for asthma (age 18 years and younger) .................................................................... 210 310
Acute bronchitis, (children, age 8–12) ............................................................................................................. 470 700
Lower respiratory symptoms (children, age 7–14) ........................................................................................... 5,600 8,300
Upper respiratory symptoms (asthmatic children, age 9–18) .......................................................................... 4,300 6,300
Asthma exacerbation (asthmatic children, age 6–18) ...................................................................................... 7,000 10,000
Work loss days ................................................................................................................................................. 38,000 52,000
Minor restricted activity days (adults age 18–65) ............................................................................................ 220,000 310,000
a Incidence is rounded to two significant digits. The PM estimates represent benefits from the proposed rule nationwide. The ozone estimates
only represent benefits from the Eastern 37 states and DC, though the program is national in scope.
b PM-related adult mortality based upon studies by Pope, et al 2002.116 PM-related infant mortality based upon studies by Woodruff, Grillo, and
Schoendorf,1997.117
c Respiratory hospital admissions for PM include admissions for chronic obstructive pulmonary disease (COPD), pneumonia and asthma.
d Cardiovascular hospital admissions for PM include total cardiovascular and subcategories for ischemic heart disease, dysrhythmias, and
heart failure.
(2) Monetized Benefits reduction in premature fatalities each overall economic consequences of the
year, which accounts for well over 90 proposed standards requires
Table XII–11 presents the estimated percent of total benefits. consideration of all benefits and costs
monetary value of reductions in the Table XII–11 indicates with a ‘‘B’’ expected to result from the new
incidence of health and welfare effects. those additional health and standards, not just those benefits and
Annual PM-related health benefits are environmental benefits of the rule that costs which could be expressed here in
approximately $3.4 billion in 2030, we were unable to quantify or monetize. dollar terms. A listing of the benefit
assuming a 3 percent discount rate (or These effects are additive to the estimate categories that could not be quantified
$3.1 billion assuming a 7 percent of total benefits, and are related to the or monetized in our benefit estimates
discount rate). All monetized estimates following sources:
are stated in 2005 dollars. These • There are many human health and are provided in Table XII–12.
estimates account for growth in real welfare effects associated with ozone, • The PM air quality model only
gross domestic product (GDP) per capita PM, and toxic air pollutant reductions captures the benefits of air quality
between the present and the years 2020 that remain unquantified because of improvements in the 48 states and DC;
and 2030. As the table indicates, total current limitations in the methods or PM benefits for Alaska and Hawaii are
benefits are driven primarily by the available data. A full appreciation of the not reflected in the estimate of benefits.
113 Note that while the proposed regulations Nonroad Large Spark-Ignition Engines and ‘‘Lung Cancer, Cardiopulmonary Mortality, and
control hydrocarbons (VOCs), which contribute to Recreational Engines standards (67 FR 68241, Long-term Exposure to Fine Particulate Air
PM formation, the benefits transfer scaling November 8, 2002); Final Industrial Boilers and Pollution.’’ Journal of American Medical
approach only scales benefits based on NOX, SO2, Process Heaters NESHAP (69 FR 55217, September Association 287:1132–1141.
and direct PM emission reductions. PM benefits 13, 2004); Final Reciprocating Internal Combustion 117 Woodruff, T.J., J. Grillo, and K.C. Schoendorf.
will likely be underestimated as a result, though we Engines NESHAP (69 FR 33473, June 15, 2004); 1997. ‘‘The Relationship Between Selected Causes
are unable to estimate the magnitude of the Final Clean Air Visibility Rule (EPA–452/R–05–
of Postneonatal Infant Mortality and Particulate
underestimation. Note also that PM-related 004, June 15, 2005); Ozone Implementation Rule
(documentation forthcoming). Infant Mortality and Particulate Air Pollution in the
mortality benefits estimated for the CAND analysis
United States.’’ Environmental Health Perspectives
used an assumed PM threshold at background 115 The ‘‘primary estimate’’ refers to the estimate
levels (3 µg/m3). There is uncertainty about which 105(6):608–612.

of benefits that reflects the suite of endpoints and

118 U.S. Environmental Protection Agency, 2000.
threshold to use and this may impact the magnitude assumptions that EPA believes yields the expected
of the total benefits estimate. For a more detailed value of air quality improvements related to the Guidelines for Preparing Economic Analyses.
discussion of this issue, please refer to Chapter 8.2 proposed standards. The impact that alternative www.yosemite1.epa.gov/ee/epa/eed/hsf/pages/
of the RIA. endpoints and assumptions have on the benefit Guideline.html.
114 See: Mobile Source Air Toxics proposed rule estimates are explored in appendixes to the RIA. 119 Office of Management and Budget, The
(71 FR 15803, March 29, 2006); Clean Air Nonroad 116 Pope, C.A., III, R.T. Burnett, M.J. Thun, E.E. Executive Office of the President, 2003. Circular
Diesel final rule (69 FR 38958, June 29, 2004); Calle, D. Krewski, K. Ito, and G.D. Thurston. 2002. A–4. http://www.whitehouse.gov/omb/circulars.
TABLE XII–11.—ESTIMATED ANNUAL MONETARY VALUE OF REDUCTIONS IN INCIDENCE OF HEALTH AND WELFARE
EFFECTS (2005$) a, b
2020 esti- 2030 esti-
mated value of mated value of
Health effect Pollutant reductions reductions
(millions) (millions)
PM-Related Premature mortality c, d

Adult >30 years ................................................................................................................. PM2.5.
3 percent discount rate .............................................................................................. ........................... $2,000 $3,100
7 percent discount rate .............................................................................................. ........................... 1,800 2,800
Child <1 year ..................................................................................................................... ........................... 5 6
Chronic bronchitis (adults, 26 and over) .................................................................................. PM2.5 ................. 90 140
Non-fatal acute myocardial infarctions
3 percent discount rate ...................................................................................................... ........................... 50 77
7 percent discount rate ...................................................................................................... PM2.5 ................. 48 75
Hospital admissions for respiratory causes .............................................................................. PM2.5 ................. 2.9 5.0
Hospital admissions for cardiovascular causes ....................................................................... PM2.5 ................. 3.1 4.7
Emergency room visits for asthma ........................................................................................... PM2.5 ................. 0.07 0.11
Acute bronchitis (children, age 8–12) ....................................................................................... PM2.5 ................. 0.20 0.30
Lower respiratory symptoms (children, age 7–14) ................................................................... PM2.5 ................. 0.11 0.16
Upper respiratory symptoms (asthma, age 9–11) .................................................................... PM2.5 ................. 0.13 0.19
Asthma exacerbations .............................................................................................................. PM2.5 ................. 0.36 0.54
Work loss days ......................................................................................................................... PM2.5 ................. 5.8 7.0
Minor restricted activity days (MRADs) .................................................................................... PM2.5 ................. 14 19
Monetized Total e
Base estimate:
3 percent discount rate .............................................................................................. PM2.5 ................. 2,100 + B 3,400 + B
7 percent discount rate .............................................................................................. ........................... 1,900 + B 3,100 + B
a Incidenceis rounded to two significant digits. The PM estimates represent benefits from the proposed rule nationwide.
b Monetary benefits adjusted to account for growth in real GDP per capita between 1990 and the analysis year (2020 or 2030).
c Valuationof 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). Results show 3 percent and 7 percent
discount rates consistent with EPA and OMB guidelines for preparing economic analyses (US EPA, 2000 and OMB, 2003).118, 119
d Adult mortality based upon the ACS cohort study (Pope et al., 2002). Infant mortality based upon studies by Woodruff, Grillo, and
Schoendorf, 1997.
e B represents the monetary value of health and welfare benefits not monetized. A detailed listing is provided in Table XII–12.
TABLE XII–12.—UNQUANTIFIED AND NON-MONETIZED EFFECTS OF THE PROPOSED SMALL SPARK IGNITION/RECREATIONAL
MARINE ENGINE RULE
Pollutant/effects Effects not included in primary estimates—changes in:
Ozone Health a ................................ Premature mortality: short-term exposures b.

Hospital admissions: respiratory.
Emergency room visits for asthma.
Minor restricted-activity days.
School loss days.
Asthma attacks.
Cardiovascular emergency room visits.
Acute respiratory symptoms.
Chronic respiratory damage.
Premature aging of the lungs.
Non-asthma respiratory emergency room visits.
Increased exposure to UVb.
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.
Ecosystem functions.
Increased exposure to UVb.
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 ..................................... Visibility in Class I areas.
Residential and recreational visibility in non-Class I areas.
Soiling and materials damage.
Damage to ecosystem functions.
Exposure to UVb (±) e.
TABLE XII–12.—UNQUANTIFIED AND NON-MONETIZED EFFECTS OF THE PROPOSED SMALL SPARK IGNITION/RECREATIONAL
MARINE ENGINE RULE—Continued
Pollutant/effects Effects not included in primary estimates—changes in:
Nitrogen and Sulfate Deposition Commercial forests due to acidic sulfate and nitrate deposition.
Welfare.
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 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 Welfare ..................................... Direct toxic effects to animals.
Bioaccumulation in the food chain.
Damage to ecosystem function.
Odor.
a In addition to primary economic endpoints, there are a number of biological responses that have been associated with ozone health effects
including increased airway responsiveness to stimuli, inflammation in the lung, acute inflammation and respiratory cell damage, and increased
susceptibility to respiratory infection. The public health impact of these biological responses may be partly represented by our quantified
endpoints.
b Recent analyses provide evidence that short-term ozone exposure is associated with increased premature mortality. As a result, EPA is con-
sidering how to incorporate ozone mortality benefits into its benefits analyses as a separate estimate of the number of premature deaths that
would be avoided due to reductions in ozone levels.
c In addition to primary economic endpoints, there are a number of biological responses that have been associated with PM health effects in-
cluding morphological changes and altered host defense mechanisms. The public health impact of these biological responses may be partly rep-
resented 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 study upon which the primary analysis is based.
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 valuations to be higher or lower, are distribution between emissions and
of the Benefits Analysis? discussed in detail in the RIA and its human populations and years of
Every benefit-cost analysis examining supporting references. Key uncertainties analysis;
the potential effects of a change in that have a bearing on the results of the • Uncertainty in the estimated
environmental protection requirements benefit-cost analysis of the proposed relationships of health and welfare
is limited to some extent by data gaps, standards include the following: effects to changes in pollutant
limitations in model capabilities (such • The exclusion of potentially concentrations including the shape of
as geographic coverage), and significant and unquantified benefit the concentration-response function, the
uncertainties in the underlying categories (such as health, odor, and size of the effect estimates, and the
scientific and economic studies used to ecological benefits of reduction in relative toxicity of the many
configure the benefit and cost models. ozone, air toxics, and PM); components of the PM mixture;
Deficiencies in the scientific literature • Errors in measurement and
• Uncertainties in exposure
often result in the inability to estimate projection for variables such as
estimation; and
quantitative changes in health and population growth;
environmental effects, such as potential • Uncertainties in the estimation of • Uncertainties associated with the
increases in premature mortality future year emissions inventories and effect of potential future actions to limit
associated with increased exposure to air quality, especially regarding the emissions.
carbon monoxide. Deficiencies in the discrepancy between the modeled and As Table XII–11 indicates, total
economics literature often result in the proposed suite of standards and their benefits are driven primarily by the
inability to assign economic values even impact on emissions inventories; reduction in premature fatalities each
to those health and environmental • Uncertainties associated with the year. Elaborating on the list of
outcomes which can be quantified. scaling of the PM results of the modeled uncertainties above, some key
These general uncertainties in the benefits analysis to the proposed assumptions underlying the primary
underlying scientific and economics standards, especially regarding the estimate for the premature mortality
literature, which can cause the assumption of similarity in geographic category include the following:
• Inhalation of fine particles is no clear scientific grounds exist for standard. Due to limitations in data
causally associated with premature supporting differential effects estimates availability and analytical methods,
death at concentrations near those by particle type. however, we are only able to present the
experienced by most Americans on a • The concentration-response benefits of the entire proposed rule in
daily basis. Although biological function for fine particles is the aggregate for both PM2.5 and ozone.
mechanisms for this effect have not yet approximately linear within the range of There are also a number of health and
been completely established, the weight ambient concentrations under environmental effects associated with
of the available epidemiological, consideration. Thus, the estimates the proposed standards that we were
toxicological, and experimental include health benefits from reducing unable to quantify or monetize (see
evidence supports an assumption of fine particles in areas with varied Table XII–12).
causality. The impacts of including a concentrations of PM, including both Table XII–13 contains the estimates of
probabilistic representation of causality regions that may be in attainment with monetized PM2.5-related benefits of the
were explored in the expert elicitation- PM2.5 standards and those that are at proposed standards and estimated social
based results of the recently published risk of not meeting the standards. welfare costs for each of the proposed
PM NAAQS RIA. Because the analysis Taking into account these control programs. The annual social
of the proposed standards is constrained uncertainties, we believe this benefit- welfare costs of all provisions of this
to the studies included in the CAND PM cost analysis provides a conservative proposed rule are described more fully
benefits scaling approach, we are unable estimate of the expected economic in the next section. The results in Table
to conduct the same analysis of expert benefits of the proposed standards in XII–13 suggest that the 2020 and 2030
elicitation-based mortality incidence for future years because of the exclusion of monetized benefits of the proposed
the proposed standards.120 However, we potentially significant benefit categories. standards are much greater than the
qualitatively describe the expert Acknowledging benefits omissions and
expected social welfare costs.
elicitation-based mortality results uncertainties, we present a best estimate
Specifically, the annual benefits of the
associated with the final PM NAAQS to of the total benefits based on our
program would be approximately $2.1 +
provide an indication of the sensitivity interpretation of the best available
B billion annually in 2020 using a three
of our PM-related premature mortality scientific literature and methods.
results to use of alternative percent discount rate (or $1.9 + B billion
Furthermore, our analysis reflects many
concentration-response functions. We using a seven percent discount rate),
methodological improvements that were
present this discussion in the RIA. compared to estimated social welfare
incorporated into the analysis of the
• Since the publication of CAIR, a costs of approximately $252 million in
final Clean Air Interstate Rule (CAIR),
follow up to the Harvard six-city study that same year. The net benefits are
including a revised value of a statistical
on premature mortality was published expected to increase to $3.4 + B billion
life, a revised baseline rate of future
(Laden et al., 2006 based on Dockery et mortality, and a revised mortality lag annually in 2030 using a three percent
al., 1993),121 122 which both confirmed assumption. Details of these discount rate (or $3.1 + B billion using
the effect size from the first study and improvements can be found in the RIA a seven percent discount rate), even as
provided additional evidence that for this rule and in the final CAIR rule the social welfare costs of that program
reductions in PM2.5 directly result in RIA.123 Once again, however, it should fall to $241 million.
reductions in the risk of premature be noted that since the CAIR rule, EPA’s In Table XII–13, we present the costs
death. The impacts of including this Office of Air and Radiation (OAR) has and PM-related benefits related to each
study in the primary analysis were adopted a different format for its of the two broad engine classes
explored in the results of the recently benefits analysis in which regulated by the proposed standards:
published PM NAAQS RIA. Because the characterization of uncertainty is Small SI and Marine SI engines. Table
analysis of the proposed standards is integrated into the main benefits XII–13 also presents the costs and PM-
constrained to the studies included in analysis. Please see the PM NAAQS RIA related benefits related to the specific
the CAND PM benefits scaling for an indication of the uncertainty engine classes regulated by the
approach, we are unable to characterize present in the base estimate of benefits proposed standards: Small SI—Class I,
PM-related mortality based on Laden et and the sensitivity of our results to the Class II, and Handheld (HH); Marine
al. However, we discuss the use of alternative concentration- SI—Sterndrive/Inboard (SD/I), and
implications of these results in the RIA response functions. Outboard/Personal Water Craft (OB/
for the proposed standards. PWC). Using the same PM scaling
• All fine particles, regardless of their (4) How Do the Benefits Compare to the approach described in Chapter 8.2 of the
chemical composition, are equally Costs of the Proposed Standards? RIA, we are able to split out the
potent in causing premature mortality. The proposed rule establishes estimated PM benefits related to the
This is an important assumption, separate standards that reduce the different Small SI and Marine SI engine
because PM produced via transported evaporative and exhaust emissions from classes. One can see that in all cases, the
precursors emitted from Small SI and Small SI and Marine SI engines. A full PM benefits accrued by the engine
Marine SI engines may differ appreciation of the overall economic classes are greater than the costs, even
significantly from PM precursors consequences of these provisions when fuel savings is not factored into
released from electric generating units requires consideration of the benefits the cost estimate. The benefit-to-cost
and other industrial sources. However, and costs expected to result from each ratio would be even greater if we
120 The scaling approach relies on the incidence 121 Laden, F., J. Schwartz, F.E. Speizer, and D.W. Pollution and Mortality in Six U.S. Cities.’’ New
and valuation estimates derived from the studies Dockery. 2006. Reduction in Fine Particulate Air England Journal of Medicine 329(24):1753–1759.
available at the time of the CAND analysis. Pollution and Mortality. American Journal of 123 See Chapter 4 of the Final Clean Air Interstate
Incidence estimates and monetized benefits derived Respiratory and Critical Care Medicine. 173: 667– Rule RIA (http://www.epa.gov/cair) for a discussion
from new information, including mortality derived
672. of EPA’s ongoing efforts to address the NAS
from the full expert elicitation, are not available for
122 Dockery, D.W., C.A. Pope, X.P. Xu, J.D. recommendations in its regulatory analyses.
scaling. Please refer to section 2 of this preamble
and Chapter 12 of the RIA for more information Spengler, J.H. Ware, M.E. Fay, B.G. Ferris, and F.E.
about the benefits scaling approach. Speizer. 1993. ‘‘An Association between Air
estimated the ozone benefits related to

the proposed standards.
TABLE XII–13.—SUMMARY OF ANNUAL BENEFITS, COSTS, AND NET BENEFITS OF THE PROPOSED SMALL SI AND MARINE
SI ENGINE RULE a
2020 2030
Description (Millions of (Millions of
2005 dollars) 2005 dollars)
Estimated Social Welfare Costs b c

Small SI .................................................................................................................................................... $351 $404
Class I ............................................................................................................................................... 145 167
Class II .............................................................................................................................................. 199 229
HH d ................................................................................................................................................... 7 8
Marine SI .................................................................................................................................................. 154 164
SD/I .................................................................................................................................................... 41 44
OB/PWC ............................................................................................................................................ 113 120
Total ........................................................................................................................................... 505 569
Fuel Savings .............................................................................................................................. (253) (327)
Total Social Welfare Costs .............................................................................................................................. 252 241
Estimated Benefits e f
PM-Only Small SI Benefits
3 percent discount rate ..................................................................................................................... 861 1,280
Class I
3 percent discount rate ....................................................................................................... 478 647
Class II
PM-Only Marine SI Benefits
3 percent discount rate ..................................................................................................................... 1,280 2,110
SD/I
3 percent discount rate ..................................................................................................................... 209 487
7 percent discount rate ..................................................................................................................... 190 442
OB/PWC
Total PM-Only Benefits g
3 percent discount rate ..................................................................................................................... 2,140+B 3,380+B
Annual Net PM-Only Benefits (Total Benefits-Total Costs) g
a All estimates are rounded to three significant digits and represent annualized benefits and costs anticipated for the years 2020 and 2030. Co-
lumnar totals may not sum due to rounding.
b Note that costs are the annual total costs of reducing all pollutants associated with each provision of the proposed control package, while the
benefits reflect the value of reductions in PM2.5 only.
c To calculate annual fixed costs, we use a 7 percent average before-tax rate of return on private capital (see Chapter 9). We do not present
annual costs using an alternative rate of return. 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).124 125
d Handheld emission reductions associated with the proposed standards, volatile organic hydrocarbons, are not accounted for in the PM bene-
fits scaling approach. The PM benefit scaling approach is based upon changes in NOX and direct PM2.5 (see section 8.2 of the RIA). We there-
fore do not estimate any PM-related benefits associated with emission reductions in the handheld engine class.
e PM-related benefits in this table are nationwide.
f Valuation of premature mortality based on long-term PM exposure assumes discounting over the SAB recommended 20-year segmented lag
structure described in section 8.3 of the RIA. Valuation of non-fatal myocardial infarctions is based on the cost-of-illness over a 5-year period
after the incident. The valuation of both endpoints therefore requires the use of a discount rate. We present the PM-related benefits results using
a 3 percent and 7 percent social discount rate consistent with EPA and OMB guidelines for preparing economic analyses (US EPA, 2000 and
OMB, 2003).
g Not all possible benefits or disbenefits are quantified and monetized in this analysis. B is the sum of all unquantified benefits and disbenefits.
Potential benefit categories that have not been quantified and monetized are listed in Table XII–12.
F. Economic Impact Analysis impacts of the proposed emission (EIM) we developed to estimate the
control program on the Small SI and market-level changes in price and
We prepared an Economic Impact Marine SI engine and equipment outputs for affected markets, the social
Analysis (EIA) to estimate the economic markets. In this section we briefly costs of the program, and the expected
describe the Economic Impact Model distribution of those costs across
124 U.S. Environmental Protection Agency, 2000. affected stakeholders. We also present
Guidelines for Preparing Economic Analyses. 125 Office of Management and Budget, The the results of our analysis. We request
http:// www.yosemite1.epa.gov/ee/epa/eed/hsf/ Executive Office of the President, 2003. Circular comment on all aspects of the analysis,
pages/Guideline.html. A–4. http://www.whitehouse.gov/omb/circulars.
including the model and the model output.128 In this analysis, social costs nonhandheld sectors. For handheld, we
inputs. are explored in two steps. In the market model one integrated handheld engine
We estimate the net social costs of the analysis, we estimate how prices and and equipment category. On the
proposed program to be about $241 quantities of goods affected by the nonhandheld side, we model 6 engine
million in 2030.126, 127 This estimate proposed emission control program can categories, depending on engine class
reflects the estimated compliance costs be expected to change once the program and useful life (Class I: UL125, UL250,
associated with the Small SI and Marine goes into effect. In the economic welfare and UL500; Class II: UL250, UL500,
SI engine standards and the expected analysis, we look at the total social costs UL1000), and 8 equipment categories
fuel savings from improved evaporative associated with the program and their (agriculture/construction/general
controls. When the fuel savings are not distribution across stakeholders. industrial; utility and recreational
taken into account, the results of the vehicles; lawn mowers; tractors; other
economic impact modeling suggest that (2) What Is the Economic Impact Model?
lawn and garden; generator sets/
the social costs of these programs are The EIM is a behavioral model welders; pumps/compressors/pressure
expected to be about $569 million in developed for this proposal to estimate washers; and snowblowers). For Marine
2030. Consumers of Small SI and price and quantity changes and total SI engines and equipment, we
Marine products are expected to bear social costs associated with the distinguish between sterndrives and
about 75 percent of these costs. Small SI emission controls under consideration. inboards (SD/I), outboards (OB), and
engine and equipment manufacturers The EIM simulates how producers and personal watercraft (PWC). SD/I and OB
are expected to bear 6 percent and 19 consumers of affected products can be are further categorized by whether they
percent, respectively. We estimate fuel expected to respond to an increase in are luxury or not. All of these markets
savings of about $327 million in 2030, production costs as a result of the are described in more detail in Chapter
which will accrue to consumers. proposed emission control program. In 9 of the RIA and in the industry
With regard to market-level impacts this EIM, compliance costs are directly characterizations prepared for this
in 2030, the average price increase for borne by producers of affected goods. proposal.
Small SI engines is expected to be about Depending on the producers’ and
This analysis assumes that all of these
9.1 percent ($17 per unit). The average consumers’ sensitivity to price changes,
products are purchased and used by
price increase for Marine SI engines is producers of affected products will try
residential households. This means that
expected to be about 1.7 percent ($195 to pass some or all of the increased
to model the behavior change associated
per unit). The largest average price production costs on to the consumers of
these goods through price increases. In with the proposed standards we model
increase for Small SI equipment is
response to the price increases, all uses as residential lawn and garden
expected to be about 5.6 percent ($15
consumers will decrease their demand care or power generation (Small SI) or
per unit) for Class I equipment. The
largest average price increase for Marine for the affected good. Producers will personal recreation (Marine SI). We do
SI vessels is expected to be about 2.1 react to the decrease in quantity not explicitly model commercial uses
percent ($178 per unit) for Personal demanded by decreasing the quantity (how the costs of complying with the
Watercraft. they produce; the market will react by proposed programs may affect the
setting a higher price for those fewer production of goods and services that
(1) What is an Economic Impact use Small SI or Marine SI engines or
units. These interactions continue until
Analysis? equipment as production inputs); we
a new market equilibrium quantity and
An Economic Impact Analysis (EIA) is price combination is achieved. The treat all commercial uses as if they were
prepared to inform decision makers amount of the compliance costs that can residential uses. We believe this
about the potential economic be passed on to the consumers is approach is reasonable because the
consequences of a regulatory action. The ultimately limited by the price commercial share of the end use
analysis consists of estimating the social sensitivity of consumers and producers markets for both Small SI and Marine SI
costs of a regulatory program and the in the relevant market (represented by equipment is very small.129 In addition,
distribution of these costs across the price elasticity of demand or for any commercial uses of these
stakeholders. These estimated social supply). The EIM explicitly models products the share of the cost of these
costs can then be compared with these behavioral responses and products to total production costs is also
estimated social benefits (as presented estimates the new equilibrium prices small (e.g., the cost of a Small SI
in Section XII.E). As defined in EPA’s and output and the resulting generator is only a very small part of the
Guidelines for Preparing Economic distribution of social costs across these total production costs for a construction
Analyses, social costs are the value of stakeholders (producers and firm). Therefore, a price increase of the
the goods and services lost by society consumers). magnitude anticipated for this control
resulting from (a) The use of resources program is not expected to have a
to comply with and implement a (3) What Economic Sectors Are noticeable impact on prices or
regulation and (b) reductions in Included in This Economic Impact quantities of goods or services produced
Analysis? using Small SI or Marine SI equipment
126 All estimates presented in this section are in There are two broad economic sectors as inputs (e.g., commercial turf care,
2005$. affected by the emission control construction, or fishing).
127 This analysis is based on an earlier version of
program described in this proposal: (1)
the engineering compliance developed for this rule.
The net present value of the engineering costs used Small SI engines and equipment, and (2) 129 The Outdoor Power Equipment Institute
in this analysis (without taking the fuel savings into Marine SI engines and equipment. For (OPEI) provides annual estimates of Small SI
account, at a 3 percent discount rate over the period Small SI engines and equipment we shipments (unit volumes) broken out into
of the analysis) is $10.0 billion, which is about $100 commercial and residential markets. For 2003 and
million less than the net present value of the final
distinguish between handheld and 2004, the commercial share for NHH products is
estimated engineering costs, $10.1 billion. We do estimated to be 3.3 percent and 2.8 percent,
not expect that a difference of this magnitude 128 EPA Guidelines for Preparing Economic respectively; for all Small SI products is estimated
would change the overall results of this economic Analyses, EPA 240-R–00–003, September 2000, p to be 1.4 percent and 1.2 percent. Similarly,
impact analysis, in terms of market impacts and 113. A copy of this document can be found at commercial uses of Marine SI vessels are limited.
how the costs are expected to be shared among http://yosemite.epa.gov/ee/epa/eed.nsf/webpages/ See the industry characterizations prepared for this
stakeholders. Guidelines.html. proposal for more information (RTI, 2006).
In the EIM the Small SI and Marine isolation and that conditions in other firms in a competitive market if it is
SI markets are not linked (there is no markets are assumed either to be possible to enter particular markets
feedback mechanism between the Small unaffected by a policy or unimportant without cost (i.e., there are no sunk
SI and Marine SI market segments). This for social cost estimation. Multi-market costs associated with market entry or
is appropriate because the affected analysis models go beyond partial exit). This is the case with these
equipment is not interchangeable and equilibrium by extending the inquiry to markets, as there is significant excess
because there is very little overlap more than just single markets and production capacity in both the Small SI
between the engine producers in each attempt to capture at least some of the and Marine SI industries, in part due to
market. These two sectors represent interaction between markets—in this improved productivity and efficiency in
different aspects of economic activity case, between selected engine and current plants. Idle production capacity
(lawn and garden care and power equipment markets sectors.131 also limits the ability of firms to raise
generation as opposed to recreational The EIM uses an intermediate run prices, since competitors can easily
marine) and production and time frame. This means that some capture market share by increasing their
consumption of one product is not factors of production are fixed and some production at the expense of a producer
affected by the other. In other words, an are variable. In very short analyses, all that increases its prices. For all of these
increase in the price of lawnmowers is factors of production would be assumed reasons it is appropriate to use a perfect
not expected to have an impact on the to be fixed, leaving the producers with competition model to estimate the
production and supply of personal no means to respond to the increased economic impacts of this proposal.
watercraft, and vice versa. Production production costs associated with the The perfect competition assumption
and consumption of each of these regulation (e.g., they cannot adjust labor
has an impact on the way the EIM is
products are the results of other factors or capital inputs). Under this time
structured. In a competitive market the
that have little cross-over impacts (the horizon, the costs of the regulation fall
supply curve is based on the industry
need for residential garden upkeep or entirely on the producer. In the long
marginal cost curve; fixed costs do not
power generation; the desire for run, all factors of production are
influence production decisions at the
personal recreation). variable and producers can adjust
margin. Therefore, in the market
production in response to cost changes
(4) What Are the Key Features of the analysis the model is shocked by
imposed by the regulation (e.g., using a
Economic Impact Model? variable costs only. However, the nature
different labor/capital mix). In the
A detailed description of the features of the Small SI and Marine SI markets
intermediate run there is some resource
of the EIM and the data used in this immobility which may cause producers suggests the market supply curve shifts
analysis is provided in Chapter 9 of the to suffer producer surplus losses, but in the model should include fixed and
RIA prepared for this rule. The model they can also pass some of the variable compliance costs. This is
methodology is firmly rooted in applied compliance costs to consumers. because Small SI and Marine SI engine
microeconomic theory and was The EIM assumes a perfectly and equipment manufacturers produce a
developed following the methodology competitive market structure. The product that changes very little over
set out in OAQPS’s Economic Analysis perfect competition assumption is a time. These manufacturers may not
Resource Document.130 widely accepted economic practice for engage in research and development to
The EIM is a computer model this type of analysis, and only in rare improve their products on a continuous
comprised of a series of spreadsheet cases are other approaches used.132 It basis (as opposed to highway vehicles or
modules that simulate the supply and should be noted that the perfect nonroad engines and equipment). If this
demand characteristics of the markets competition assumption is not about the is the case, then the product changes
under consideration. The initial market number of firms in a market, it is about that would be required to comply with
equilibrium conditions are shocked by how the market operates. The markets the proposed standards would require
applying the compliance costs for the included in this analysis do not exhibit these manufacturers to devote new
control program to the supply side of evidence of noncompetitive behavior: funds and resources to product redesign
the markets (this is done by shifting the there are no indications of barriers to and facilities changes. In this situation,
relevant supply curves by the amount of entry, the firms in these markets are not Small SI and Marine SI engine and
the compliance costs). The EIM uses the price setters, and there is no evidence of equipment manufacturers would be
model equations, model inputs, and a high levels of strategic behavior in the expected to increase their prices by the
solution algorithm to estimate price and quantity decisions of the full amount of the compliance costs
equilibrium prices and quantities for the firms. These markets are also mature (both fixed and variable) to attempt to
markets with the regulatory program. markets as evidenced by unit sales recover those costs. To reflect these
These new prices and quantities are growing at the rate of population conditions, the supply shift in this EIM
used to estimate the social costs of the increases. Pricing power in such is based on both fixed and variable
model and how those costs are shared markets is typically limited. In addition, costs, even though the model assumes
among affected markets. the products produced within each perfect competition. A sensitivity
The EIM uses a multi-market partial market are somewhat homogeneous in analysis was performed to investigate
equilibrium approach to track changes that engines and equipment from one the impacts under the alternative
in price and quantity for the modeled firm can be purchased instead of scenarios of shifting the supply curve by
markets. As explained in EPA’s engines and equipment from another the variable costs only. The results of
Guidelines for Preparing Economic firm. Finally, according to contestable that analysis can be found in the RIA
Analyses, ‘‘partial equilibrium’’ means market theory, oligopolies and even prepared for this proposal. We request
that the model considers markets in monopolies will behave very much like comment on the extent to which
manufacturers can be expected to

130 U.S. Environmental Protection Agency, Office 131 EPA Guidelines for Preparing Economic devote additional funds to cover the
of Air Quality Planning and Standards, Innovative Analyses, EPA 240–R–00–003, September 2000, p. fixed costs associated with the
Strategies and Economics Group, OAQPS Economic 125–6.
Analysis Resource Document, April 1999. A copy 132 See, for example, EPA Guidelines for
standards, or whether they in fact do
of this document can be found at http:// Preparing Economic Analyses, EPA 240–R–00–003, provide for product development
www.epa.gov/ttn/ecas/econdata/Rmanual2. September 2000, p 126. resources on a continuous basis and can
be expected to use those funds to cover result in greater supply, thus bidding individual firms, EPA believes that the
the fixed costs. We also request the price down to a new market wide array of compliance flexibilities
comment on whether companies would equilibrium after the application of the provided in this proposal are adequate
attempt to pass fixed costs to consumers control program. to address any cost inequities that are
as an additional price increase and, if The relationships modeled in the EIM likely to arise.
so, how much of the fixed costs would do not include substitution away from Finally, consistent with the proposed
be based on and for how long. Small SI and Marine SI engines and emission controls, this EIA covers
The market interactions modeled in equipment to diesel or electric engines sold in 49 states. California
the EIM are those between producers alternatives. This is appropriate because engines are not included because
and consumers of the specified engines consumers are not likely to make these California has its own state-level
and the equipment that use those substitutions. Substitution to diesel controls for Small SI and Marine SI
engines. The EIM does not consider Small SI equipment is not a viable engines. The sole exceptions are Small
sales distribution networks or how the option for most residential consumers, SI engines used in agriculture and
regulated goods are sold to final either because diesel equipment does construction applications in California.
consumers through wholesalers and/or not exist (e.g., diesel string trimmers) or These engines are included in the
retailers. This is appropriate because the because there would be a large price control program and in this analysis
proposed regulatory program does not premium that would discourage the use because the Clean Air Act pre-empts
impose additional costs on the of diesel equipment (e.g., diesel California from setting standards for
distribution networks and those lawnmowers and diesel recreational these engines.
relationships are not expected to change marine vessels). In addition, most
as a result of the standards. In the case (5) What Are the Key Model Inputs?
households are not equipped to handle
of Small SI equipment, however, the additional fuel type and misfueling Key model inputs for the EIM are the
concerns have been raised about the would carry a high cost. Finally, the behavioral parameters, the market
potential for dominant retailers (big box lack of a large infrastructure system equilibrium quantities and prices, and
stores such as Wal-Mart, Sears and K- already in place like the one supporting the compliance cost estimates.
Mart) to affect the ability of the use of gasoline equipment for The model’s behavioral paramaters
manufacturers to pass along cost residential and recreational purposes, are the price elasticities of supply and
increases associated with new emission including refueling and maintenance, demand. These parameters reflect how
control requirements, forcing them to represents a large barrier to substitution producers and consumers of the engines
absorb the compliance costs associated from gasoline to diesel equipment. On and equipment affected by the standards
with the proposed standards. As the electric side, the impact of can be expected to change their
described in greater detail in Chapter 9 substitution to electric for Small SI behavior in response to the costs
of the RIA, dominant retailers are not equipment (there are no comparable incurred in complying with the
expected to affect market interactions in options for Marine SI) is also expected standards. More specifically, the price
ways that would offset the assumption to be negligible. Gasoline is the power elasticity of supply and demand
of perfect competition by preventing source of choice for small and (reflected in the slope of the supply and
firms from passing on increases in costs inexpensive equipment due to its low demand curves) measure the price
associated with the control program. initial cost. Gasoline equipment is also sensitivity of consumers and producers.
This is because all firms in the market inherently portable, which make them The price elasticities used in this
are expected to comply with the control more attractive to competing electric analysis are summarized in Table XII.F–
program, and all will experience an equipment that must be connected with 1 and are described in more detail in
increase in marginal costs. Profit- a power grid or use batteries that require Chapter 9 of the RIA. An ‘‘inelastic’’
maximizing manufacturers will frequent recharging. price elasticity (less than one) means
continue to follow a marginal cost The EIM is a market-level analysis that supply or demand is not very
pricing rule regardless of the that estimates the aggregate economic responsive to price changes (a one
distribution arrangements. If large retail impacts of the control program on the percent change in price leads to less
distributors attempted to prevent relevant market. It is not a firm-level than one percent change in demand).
efficient manufacturers from raising analysis and therefore the supply An ‘‘elastic’’ price elasticity (more than
prices in response to the standards, elasticity or individual compliance costs one) means that supply or demand is
manufacturers would likely respond to facing any particular manufacturer may sensitive to price changes (a one percent
a retailer’s price pressure by reducing be different from the market average. change in price leads to more than one
output. This would result in large This difference can be important, percent change in demand). A price
excess demand in the equipment market particular where the rule affects elasticity of one is unit elastic, meaning
which would ultimately have to be different firms’ costs over different there is a one-to-one correspondence
satisfied through a new higher volumes of production. However, to the between a change in price and change
equilibrium price, which in turn would extent there are differential effects on in demand.
TABLE XII. F–1.—BEHAVIORAL PARAMETERS USED IN SMALL SI/MARINE SI ECONOMIC IMPACT MODEL
Sector Market Demand elasticity Source Supply elasticity Source
Engine ........................ Small SI and Marine Derived ...................... N/A ............................ 3.8 (elastic) ............... EPA Econometric Es-
SI Engine Market. timate.

Small SI Equipment ... All handheld .............. ¥1.9 (elastic) ............ EPA Econometric Es- 3.4 (elastic) ............... EPA Econometric Es-
timate. timate.
Lawn Mowers ............ ¥0.2 (inelastic) ......... EPA Econometric Es- Same as above.
timate.
Other lawn & garden ¥0.9 (inelastic) ......... EPA Econometric Es- Same as above.
timate.
TABLE XII. F–1.—BEHAVIORAL PARAMETERS USED IN SMALL SI/MARINE SI ECONOMIC IMPACT MODEL—Continued
Sector Market Demand elasticity Source Supply elasticity Source
Gensets/welders ¥1.4 (elastic) ............ EPA Econometric Es- 3.3 (elastic) ............... EPA Econometric Es-
(class I). timate. timate.
Gensets/welders ¥1.1 (elastic) ............ EPA Econometric Es- Same as above.
(class II). timate.
All other non- ¥1.0 (unit elastic) ..... EPA Econometric Es- 3.4 (elastic) Same as
handheld. timate. above.
Marine SI Equipment .. PWC .......................... ¥2.0 (elastic) ............ EPA Econometric Es- 3.4 (elastic) ............... EPA Econometric Es-
timate. timate.
All other vessels Same as above ......... ................................... 2.3 (elastic) ............... EPA Econometric Es-
types. timate.
The estimated supply and demand This suggests that consumers are more equipment by residential consumers.
elasticities were based on best data we sensitive to price changes for handheld Similarly, the number of engines
could find. We used (1) The industry- equipment than for other Small SI produced depends on the demand for
level data published by the National equipment. In other words, they are engines (the lawnmower market) which
Bureau of Economic Research (NBER)- more likely to change their purchase depends on consumer demand for
Center for Economic Studies decision for a small change in the price equipment. Changes in conditions in
(Bartlesman, Becker, and Gray, 2000); of a string trimmer, perhaps opting for one of these markets will affect the
(2) Current Industrial Reports (CIR) trimmer shears or deciding to forego others. By designing the model to derive
series from the U.S. Census Bureau; (3) trimming altogether. the engine demand elasticities, the EIM
several data series reported in a study The estimated demand elasticity for simulates these connections between
by Air Improvement Resource Inc. and lawnmowers is very inelastic at ¥0.2. supply and demand among the product
National Economic Research Associates This suggests that consumers of this markets and replicates the economic
(AIR/NERA, 2003) for the walk-behind equipment are not very sensitive to interactions between producers and
lawnmowers; (4) the U.S. Census price changes. Most of this equipment is consumers.
Bureau historical data on household sold to individual homeowners, who are Initial market equilibrium quantities
income and housing starts (U.S. Census often required by local authorities to for these markets are simulated using
Bureau, 2002; 2004); (5) price, wage, keep their lawns trimmed. Household the same current year sales quantities
and material cost indexes from the ownership of a gasoline lawnmower is used in the engineering cost analysis.
Bureau of Labor Statistics (BLS) (BLS, often their least expensive option. The initial market equilibrium prices for
2004a,b,c,d,e); (6) the implicit gross Lawncare services are more expensive Small SI and Marine SI engines and
domestic product (GDP) price deflator since the price for these services equipment were derived from industry
reported by the U.S. Bureau of includes labor and other factors of sources and published data and are
Economic Analysis (BEA, 2004). It production. Purchasing other equipment described in Chapter 9 of the Draft RIA.
should be noted that the aggregate data may also not be attractive, since electric The compliance costs used to shock
we used to estimate elasticities include and diesel mowers are generally more the model, to simulate the application of
data on other markets as well as the expensive and often less convenient. the control program, are the same as the
Small SI or Marine SI markets. If we had Finally, the option of using landscape engineering costs described in Chapter
been able to obtain market-specific data alternatives (e.g., prairie, wildflower, or 6. However, the EIM uses an earlier
for Small SI or Marine SI only, the rock gardens) may not be attractive for version of the engineering compliance
estimated price elasticities may have homeowners who may also use their developed for this rule. The net present
been different. yards for recreational purposes. For all value of the engineering costs used in
The estimated supply elasticities for these reasons, the price sensitivity of this analysis (without taking the fuel
all of the equipment and engine markets homeowners to lawnmower prices savings into account, at a 3 percent
are elastic, ranging from 2.3 for all would be expected to be inelastic. discount rate over the period of the
recreational marine except PWC, to 3.3 All the other demand elasticities, for analysis) is $10.0 billion, which is about
for generators, 3.4 for PWCs and all gensets, welders, compressors, and ag/ $100 million less than the net present
Small SI except generators, and 3.8 for construction equipment, are about unit value of the final estimated engineering
engines. This means that quantities elastic, at ¥1.0 meaning a 1 percent costs, $10.1 billion. We do not expect
supplied are expected to be fairly change in price is expected to result in that a difference of this magnitude
sensitive to price changes (e.g., a 1% a 1 percent change in demand. would change the overall results of this
change in price yields a 3.3 percent The demand elasticities for the engine economic impact analysis, in terms of
change in quantity of generators markets are internally derived as part of market impacts and how the costs are
produced). the process of running the model. This expected to be shared among
On the demand side, the Marine SI is an important feature of the EIM, stakeholders.
equipment market estimated demand which allows it to link the engine and As explained in Section XII.F.4, the
elasticity is elastic, at ¥2.0. This is equipment components of each model EIM uses both fixed and variable
consistent with the discretionary nature and simulate how compliance costs can engineering costs to shock the initial
of purchases of recreational marine be expected to ripple through the equilibrium conditions. The fixed costs
vessels (consumers can easily decide to affected market. In actual markets, for are amortized over the first 5 years of
spend their recreational budget on other example, the quantity of lawnmowers the standards and include a 7 percent
alternatives). produced in a particular period depends cost of capital. For some elements of the
The estimated demand elasticity for on the price of engines (the Small SI program (i.e., evaporative emission
handheld equipment is elastic, at ¥1.9. engine market) and the demand for controls), fixed costs are incurred
throughout the period of analysis due to for this rule.133 Also included in 2030 illustrates the long-term impacts of
the need to replace tooling. Appendix 9H to that chapter are the program.
Additional costs that need to be sensitivity analyses for several key Market level impacts are reported for
considered in the EIM are the operating inputs. the engine and equipment markets
costs (fuel savings) associated with the The EIA consists of two parts: a separately. This is because the EIM is a
evaporative emission controls. These market analysis and a welfare analysis. two-level model that treats these
fuel savings are not included in the The market analysis looks at expected markets separately. However, changes in
market analysis for this economic changes in prices and quantities for equipment prices and quantities are due
impact analysis. This is because all affected products. The welfare analysis to impacts of both direct equipment
available evidence suggests that fuel looks at economic impacts in terms of compliance costs and indirect engine
savings do not affect consumer annual and present value changes in compliance costs that are passed
decisions with respect to the purchase social costs. through to the equipment market from
of this equipment. Unlike motor As explained in Section XII.F.4, the the engine market through higher engine
vehicles or other consumer goods, EIM is shocked by the sum of fixed and prices.
neither Small SI nor Marine SI variable costs. For the market analysis, The average market-level impacts
equipment is labeled with expected fuel this leads to a small increase in presented in this section are designed to
consumption or expected annual estimated price impacts for the years provide a broad overview of the
operating costs. Therefore, there is no 2011 through 2016, the period during expected market impacts that is useful
information available for the consumer which fixed costs are recovered. The when considering the impacts of the
to use to make this decision. Instead increase is small because, for many rule on the economy as a whole. The
consumers base their purchase decision elements of the program, annual per average price impacts are product-
on other attributes of the product for unit fixed costs are smaller than annual weighted averages of the results for the
which the manufacturer provides per unit variable costs. For the welfare individual engine and equipment
information. For lawn mowers this may analysis, applying both fixed and categories included in that sub-sector
be the horsepower of the engine, variable costs means that the burden of (e.g., the estimated Marine SI engine
whether the machine has a bag or has the social costs attributable to producers price and quantity changes are weighted
a mulching feature, its blade size, etc. and consumers remains fixed averages of the estimated results for all
For PWC it may be how many people it throughout the period of analysis. This of the Marine SI engine markets). The
can carry, its maximum speed, its is because producers pass the fixed average quantity impacts are the sum of
horsepower, etc. In many cases, costs to consumers at the same rate as the decrease in units produced units
especially for Small SI equipment, the the variable costs instead of having to across sub-markets. Price increases and
consumer may not even be aware of the absorb them internally. quantity decreases for specific types of
fuel savings when operating the engines and equipment are likely to be
equipment, especially if he or she uses (a) Market Impact Analysis different.
the same portable fuel storage container In the market analysis, we estimate Although each of the affected
to fuel several different pieces of how prices and quantities of goods equipment in this analysis generally
equipment. affected by the proposed emission requires one engine (the exception being
These fuel savings are included in the control program can be expected to Marine SI sterndrive/inboards), the
social cost analysis. This is because they change once the program goes into estimated decrease in the number of
are savings that accrue to society. These effect. The analysis relies on the initial engines produced in Table XII.F–2 is
savings are attributed to consumers of market equilibrium prices and less than the estimated decrease in the
the relevant equipment. As explained in quantities for each type of equipment number of equipment produced. At first
more detail in Section 9.3.5 of the Draft and the price elasticity of supply and glance, this result seems
RIA, the social cost analysis is based on demand. It predicts market reactions to counterintuitive because it does not
the equivalent of the pre-tax price of the increase in production costs due to reflect the approximate one-to-one
gasoline in that analysis. Although the the new compliance costs (variable and correspondence between engines and
consumer will realize a savings equal to fixed). It should be noted that this equipment. This discrepancy occurs
the pump price of gasoline (post-tax), analysis does not allow any other factors because the engine market-level analysis
part of that savings is offset by a tax loss of production to vary. In other words, it examines only output changes for
to governmental agencies and is thus a does not consider that manufacturers engines that are produced by
loss to consumers of the services may adjust their production processes independent engine manufacturers and
supported by those taxes. This tax or marketing strategies in response to subsequently sold to independent
revenue loss, considered a transfer the control program. Also, as explained equipment manufacturers. Engines
payment in this analysis, does not affect above, while the markets are shocked by produced and consumed by vertically
the benefit-cost analysis results. both fixed and variable costs, the market integrated equipment/engine
(6) What Are the Results of the shock is not offset by fuel savings. manufacturers are not explicitly
Economic Impact Modeling? A summary of the estimated market modeled. Therefore, the market-level
impacts is presented in Table XII.F–2 analysis only reflects engines sold on
Using the model and data described the ‘‘open market,’’ and estimates of
for 2013, 2018, and 2030. These years
above, we estimated the economic output changes for engines consumed
were chosen because 2013 is the year of
impacts of the proposed emission internally are not reflected in this
highest compliance; after 2018, the fixed
control program. We performed a number.134 Despite the fact that changes
costs are recovered and the market
market analysis for all years and all

impacts reflect variable costs as well as
engine and equipment types. In this 134 For example, PWC and handheld equipment
growth in equipment population; and
section we present summarized results producers generally integrate equipment and engine
for selected markets and years. More manufacturing processes and are included in the
133 Li, Chi. 2007. Memorandum to Docket EPA– EIM as one-level equipment markets. Since there is
detail can be found in the appendices to HQ–OAR–2004–0008. Detailed Results From no engine market for these engines, the EIM does
Chapter 9 of the RIA and in the docket Economic Impact Model. not include PWC and handheld engine
in consumption of internally consumed percent in 2013; this is expected to On the equipment side, the average
engines are not directly reported in the decrease to 2.1 percent in 2018. The price change reflects the direct
market-level analysis results, the costs smallest expected change in 2013 is equipment compliance costs plus the
associated with these engines are expected to be for sterndrive/inboards portion of the engine costs that are
included in the market-level analysis (as and outboard recreational vessels, passed on to the equipment purchaser
supply shift for the equipment markets). which are expected to see price (via higher engine prices). The average
In addition, the cost and welfare increases of about 0.7 percent. The price increase for all Small SI
analyses include the compliance costs market impact analysis predicts that equipment in 2013 is expected to be
associated with internally consumed with these increases in vessel prices the about 3.1 percent, or $14. By 2018, this
engines. expected average decrease in quantity
average price increase is expected to
produced in 2013 is about 2.7 percent,
Marine SI Market Analysis decline to about 2.4 percent, or $10. The
or 11,000 vessels.135 This is expected to
The average price increase for Marine decrease to about 2.0 percent in 2018, or average price increase and quantity
SI engines in 2013, the high cost year, about 8,600 vessels. The personal decrease differs by category of
is estimated to be about 2.3 percent, or watercraft category is expected to equipment. As shown in Table XII.F–2,
$257. By 2018, this average price experience the largest decline in 2013, the price increase for Class I equipment
increase is expected to decline to about about 5.6 percent (4,800 vessels). The is estimated to be about 6.9 percent
1.7 percent, or $196, and remain at that smallest percentage decrease in ($19) in 2013, decreasing to 5.5 percent
level for later years. The market impact production is expected for sterndrive/ ($15) in 2018. The market impact
analysis predicts that with these inboards at 1.4 percent (1,300 vessels); analysis predicts that with these
increases in engine prices the expected the smallest absolute decrease in increases in equipment prices the
average decrease in total sales in 2013 quantity is expected for outboard expected average decrease in the
is about 2.0 percent, or 8,800 engines. recreational vessels, at 113 vessels (1.5 quantity of Class I equipment produced
This decreases to about 1.6 percent in percent). in 2013 is about 2.2 percent, or 219,400
2018, or about 7,000 engines. units.136 This is expected to decrease to
On the vessel side, the average price Small SI Market Analysis
about 1.8 percent in 2018, or about
change reflects the direct equipment The average price increase for Small 189,700 units. For Class II equipment, a
compliance costs plus the portion of the SI engines in 2013, the high cost year, higher price increase is expected, about
engine costs that are passed on to the is estimated to be about 11.7 percent, or 3.9 percent ($41) in 2013, decreasing to
equipment purchaser (via higher engine $22. By 2018, this average price increase 2.6 percent ($25) in 2018. The expected
prices). The average price increase in is expected to decline to about 9.1 average decrease in the quantity of Class
2013 is expected to be about 1.3 percent, percent, or $17, and remain at that level
II equipment produced in 2013 is about
or $232. By 2018, this average price for later years. The market impact
4.3 percent, or 157,300 units, decreasing
increase is expected to decline to about analysis predicts that with these
1 percent, or $178. These price increases increases in engine prices the expected to 2.8 percent, or about 114,000 units,
are expected to vary across vessel average decrease in total sales in 2013 in 2018.
categories. The category with the largest is expected to be about 2.3 percent, or For the handheld equipment market,
price increase in 2013 is expected to be 371,000 engines. This is expected to prices are expected to increase about 0.3
personal watercraft engines, with an decrease to about 1.7 percent in 2018, or percent for all years, and quantities are
estimated price increase of about 2.8 about 299,000 engines. expected to decrease about 0.6 percent.
TABLE XII.F–2.—ESTIMATED MARKET IMPACTS FOR 2013, 2018, 2030

[2005$]
Change in price Change in quantity

Market
Absolute Percent Absolute Percent
2013
Marine:
Engines ..................................................................................................................... $257 2.3 ¥8,846 ¥2.0
Equipment ................................................................................................................. 232 1.3 ¥10,847 ¥2.7
SD/I .................................................................................................................... 252 0.7 ¥1,336 ¥1.4
OB Recreational ................................................................................................ 638 0.7 ¥113 ¥1.5
OB Luxury ......................................................................................................... 206 1.1 ¥4,579 ¥2.1
PWC .................................................................................................................. 237 2.8 ¥4,819 ¥5.6
Small SI:
Engines ..................................................................................................................... 22 11.7 ¥371,097 ¥2.3
Equipment ................................................................................................................. 14 3.1 ¥482,942 ¥1.9
Class I ............................................................................................................... 19 6.9 ¥219,400 ¥2.2
Class II .............................................................................................................. 41 3.9 ¥157,306 ¥4.3
HH ..................................................................................................................... 0.3 0.3 ¥106,236 ¥0.6
consumption changes in engine market-level quantity of engines represents only engines sold on 136 See previous note.
results. the open market. Reductions in engines consumed
135 It should be noted that the absolute change in internally by integrated engine/equipment
the number of engines and equipment does not manufacturers are not reflected in this number but
match. This is because the absolute change in the are captured in the social cost analysis.
TABLE XII.F–2.—ESTIMATED MARKET IMPACTS FOR 2013, 2018, 2030—Continued

[2005$]
Change in price Change in quantity

Market
Absolute Percent Absolute Percent
2018
Marine:
Engines ..................................................................................................................... 196 1.7 ¥7,002 ¥1.6
Equipment ................................................................................................................. 178 1.0 ¥8,563 ¥2.0
SD/I .................................................................................................................... 195 0.5 ¥1,072 ¥1.1
OB Recreational ................................................................................................ 496 0.6 ¥91 ¥1.1
OB Luxury ......................................................................................................... 160 0.8 ¥3,634 ¥1.6
PWC .................................................................................................................. 178 2.1 ¥3,766 ¥4.2
Small SI:
Engines ..................................................................................................................... 17 9.1 ¥298,988 ¥1.7
Equipment ................................................................................................................. 10 2.4 ¥401,025 ¥1.4
Class I ............................................................................................................... 15 5.5 ¥189,771 ¥1.8
Class II .............................................................................................................. 25 2.6 ¥113,999 ¥2.8
HH ..................................................................................................................... 0.2 0.3 ¥97,255 ¥0.5
2030
Marine:
Engines ..................................................................................................................... 195 1.7 ¥7,728 ¥1.6
Equipment ................................................................................................................. 179 1.0 ¥9,333 ¥2.0
SD/I .................................................................................................................... 195 0.5 ¥1,161 ¥1.1
OB Recreational ................................................................................................ 496 0.6 ¥98 ¥1.1
OB Luxury ......................................................................................................... 160 0.8 ¥3,998 ¥1.7
PWC .................................................................................................................. 178 2.1 ¥4,076 ¥4.2
Small SI:
Engines ..................................................................................................................... 17 9.1 ¥354,915 ¥1.7
Equipment ................................................................................................................. 10 2.4 ¥475,825 ¥1.4
Class I ............................................................................................................... 15 5.6 ¥225,168 ¥1.8
Class II .............................................................................................................. 25 2.6 ¥135,400 ¥2.8
HH ..................................................................................................................... 0.2 0.3 ¥115,257 ¥0.5
(b) Economic Welfare Analysis fuel savings to estimate the net year are slightly less than the total
In the economic welfare analysis we economic welfare impacts of the engineering costs. This is because the
look at the costs to society of the proposed program. Estimated annual net total engineering costs do not reflect the
proposed program in terms of losses to social costs for selected years are decreased sales of engines and
consumer and producer surplus. These presented in Table XII–F–3. This table equipment that are incorporated in the
surplus losses are combined with the shows that total social costs for each total social costs.
TABLE XII.F–3.—ESTIMATED ANNUAL ENGINEERING AND SOCIAL COSTS, THROUGH 2038

[2005$, $million]
Net engineer- Net social

Total engi- Total social ing costs (in- costs (includ-
Year Fuel savings
neering costs costs cluding fuel ing fuel sav-
savings) ings)
2008 ..................................................................................... $9.5 $9.5 $3.1 $6.4 $6.4

2009 ..................................................................................... 171.7 168.8 13.7 157.9 155.1
2010 ..................................................................................... 191.1 188.0 25.4 165.7 162.6
2011 ..................................................................................... 470.5 463.4 64.9 405.7 398.5
2012 ..................................................................................... 647.3 638.2 103.5 543.8 534.7
2013 ..................................................................................... 652.5 643.4 136.5 516.0 506.9
2014 ..................................................................................... 621.1 613.1 161.2 459.9 451.9
2015 ..................................................................................... 627.0 619.0 182.3 444.7 436.7
2016 ..................................................................................... 520.9 515.2 200.9 320.0 314.2
2017 ..................................................................................... 492.6 487.5 216.2 276.4 271.3
2018 ..................................................................................... 497.2 492.0 229.9 267.3 262.1
2019 ..................................................................................... 503.6 498.4 242.1 261.5 256.2
2020 ..................................................................................... 510.0 504.7 253.1 256.9 251.6

2021 ..................................................................................... 516.4 511.0 263.3 253.1 247.8
2022 ..................................................................................... 522.7 517.3 272.9 249.8 244.4
2023 ..................................................................................... 529.1 523.7 281.4 247.7 242.3
2024 ..................................................................................... 535.8 530.3 289.3 246.5 241.0
2025 ..................................................................................... 542.3 536.7 296.6 245.6 240.0
2026 ..................................................................................... 548.7 543.1 303.6 245.1 239.5
TABLE XII.F–3.—ESTIMATED ANNUAL ENGINEERING AND SOCIAL COSTS, THROUGH 2038—Continued

[2005$, $million]
Net engineer- Net social

Total engi- Total social ing costs (in- costs (includ-
Year Fuel savings
neering costs costs cluding fuel ing fuel sav-
savings) ings)
2027 ..................................................................................... 555.2 549.4 310.1 245.1 239.3

2028 ..................................................................................... 561.6 555.8 316.3 245.3 239.5
2029 ..................................................................................... 568.0 562.2 322.0 246.1 240.2
2030 ..................................................................................... 574.5 568.6 327.3 247.2 241.3
2031 ..................................................................................... 580.9 575.0 332.3 248.6 242.6
2032 ..................................................................................... 587.4 581.3 337.1 250.3 244.2
2033 ..................................................................................... 593.8 587.7 341.7 252.1 246.0
2034 ..................................................................................... 600.3 594.1 346.1 254.2 248.0
2035 ..................................................................................... 606.7 600.5 350.4 256.3 250.1
2036 ..................................................................................... 613.1 606.9 354.5 258.6 252.3
2037 ..................................................................................... 619.6 613.2 358.5 261.1 254.7
2038 ..................................................................................... 626.0 619.6 362.5 263.6 257.1
NPV at 3% a ......................................................................... 9,996.2 9,882.2 4,356.2 5,640.1 5,526.0
NPV at 7% a ......................................................................... 5,863.6 5,794.1 2,291.5 3,572.1 3,502.6
a EPA EPA presents the present value of cost and benefits estimates using both a three percent and a seven percent social discount rate. Ac-
cording to OMB Circular A–4, ‘‘the 3 percent discount rate represents the ‘‘social rate of time preference’* * * [which] means the rate at which
‘society’ discounts future consumption flows to their present value’’; ‘‘the seven percent rate is an estimate of the average before-tax rate of re-
turn to private capital in the U.S. economy* * * [that] approximates the opportunity cost of capital.’’
Table XII.F–4 shows how total social bear about 22 percent of that program, the remaining 4 percent. The estimated
costs are expected to be shared across and engine manufacturers the remaining percentage changes in surplus are the
stakeholders, for selected years. 11 percent. In the Small SI market, same for all years because the initial
According to these results, consumers in consumers are expected to bear 79 equilibrium conditions are shocked by
the Marine SI market are expected to percent of the cost of the Small SI both fixed and variable costs; producers
bear approximately 66 percent of the program. This will also be offset by the would pass the fixed costs to consumers
cost of the Marine SI program. This is fuel savings. Equipment manufacturers at the same rate as the variable costs.
expected to be offset by the fuel savings. are expected to bear about 17 percent of
Vessel manufacturers are expected to that program, and engine manufacturers
TABLE XII.F–4: SUMMARY OF ESTIMATED SOCIAL COSTS FOR 2013, 2018, 2030
[2005 $, $ million]
Absolute Percent Total change

Market change in change in Fuel savings in surplus
surplus surplus
2013
Marine SI:
Engine Manufacturers .............................................................................. ¥$21.54 11 ........................ ¥$21.54
Equipment Manufacturers ........................................................................ ¥42.23 22 ........................ ¥42.23
End User (Households) ............................................................................ ¥125.14 66 $42.27 ¥82.87
Subtotal ............................................................................................. ¥188.91 ........................ ........................ ¥146.64
Small SI:
Engine Manufacturers .............................................................................. ¥18.36 4 ........................ ¥18.36
End User (Households) ............................................................................ ¥355.95 78 94.26 ¥261.69
Subtotal ............................................................................................. ¥454.47 ........................ ........................ ¥360.21
Total ........................................................................................... ¥643.38 ........................ 136.53 ¥506.85
2018
Marine SI:
Subtotal ............................................................................................. ¥151.50 ........................ ........................ ¥64.38
Small SI:
TABLE XII.F–4: SUMMARY OF ESTIMATED SOCIAL COSTS FOR 2013, 2018, 2030—Continued
[2005 $, $ million]
Absolute Percent Total change

Market change in change in Fuel savings in surplus
surplus surplus
Subtotal ............................................................................................. ¥340.49 ........................ ........................ ¥197.71
Total ........................................................................................... ¥491.99 ........................ 229.90 ¥262.09
2030
Marine SI:
End User (Households) ............................................................................ ¥108.52 66 149.36 40.84
Subtotal ............................................................................................. ¥164.30 ........................ ........................ ¥14.94
Small SI:
Subtotal ............................................................................................. ¥404.25 ........................ ........................ ¥226.36
Total ........................................................................................... ¥568.55 ........................ 327.25 ¥241.30
Table XII.F–5 contains more detailed of the burden of the equipment costs. elasticity of demand for consumers of
information on the sources of the social Second, they would also bear part of the these vessels. On the Small SI side,
costs for 2013. This table shows that engine costs, which are passed on to equipment manufacturers can pass on
vessel and equipment manufacturers are vessel manufacturers in the form of more of the compliance costs to end
expected to bear more of the burden of higher engine prices. Vessel consumers because the price elasticity
the program than engine manufacturers. manufacturers would not be able to pass of demand in these markets is less
On the marine side, the loss of producer along a greater share of the engine and elastic.
surplus for the vessel manufacturers has vessel compliance costs to end
two sources. First, they would bear part consumers due to the elastic price
TABLE XII.F–5.—DISTRIBUTION OF ESTIMATED SURPLUS CHANGES BY MARKET AND STAKEHOLDER FOR 2013
[2005$, million$]
Engineering Producer Consumer Total Fuel Net

Scenario compliance surplus surplus surplus savings surplus
costs
Marine SI
Engine Manufacturers ...................................................... $133.2 ¥$21.5 .................... ¥$21.5 .................... ¥$21.5
Equipment Manufacturers ................................................ 59.1 ¥42.2 .................... ¥42.2 .................... ¥42.2

Engine Price Changes ..................................................... .................... ¥18.7 .................... .................... .................... ....................
Equipment Cost Changes ................................................ .................... ¥23.6 .................... .................... .................... ....................
End User (Households) ................................................... .................... .................... ¥125.1 ¥125.1 42.3 ¥82.8
Engine Price Changes ..................................................... .................... .................... ¥91.8 .................... .................... ....................
Equipment Price Changes ............................................... .................... .................... ¥33.3 .................... .................... ....................
Subtotal ..................................................................... 192.2 ¥63.8 ¥125.1 ¥188.9 42.3 ¥146.6
Small SI
Engine Manufacturers ...................................................... 371.9 ¥18.4 .................... ¥18.4 .................... ¥18.4
Equipment Manufacturers ................................................ 88.4 ¥80.2 .................... ¥80.2 .................... ¥80.2

Engine Price Changes ..................................................... .................... ¥59.0 .................... .................... .................... ....................
Equipment Cost Changes ................................................ .................... ¥21.1 .................... .................... .................... ....................
End User (Households) ................................................... .................... .................... ¥355.9 ¥355.9 94.3 ¥261.7
Engine Price Changes ..................................................... .................... .................... ¥289.8 .................... .................... ....................
Equipment Cost Changes ................................................ .................... .................... ¥66.1 .................... .................... ....................
Subtotal ..................................................................... 460.3 ¥98.5 ¥355.9 ¥454.5 94.3 ¥360.2
TABLE XII.F–5.—DISTRIBUTION OF ESTIMATED SURPLUS CHANGES BY MARKET AND STAKEHOLDER FOR 2013—
Continued
[2005$, million$]
Engineering Producer Consumer Total Fuel Net

Scenario compliance surplus surplus surplus savings surplus
costs
Total ................................................................... 652.5 ¥162.3 ¥481.1 ¥643.4 136.6 ¥506.8
The present value of net social costs billion, taking the fuel savings into value of the net social costs through
of the proposed standards through 2038 account. We also performed an analysis 2038 is estimated to be $3.5 billion,
at a 3 percent discount rate, shown in using a 7 percent social discount rate.137 including the fuel savings.
Table XII.F–6, is estimated to be $5.5 Using that discount rate, the present
TABLE XII.F–6.—ESTIMATED NET SOCIAL COSTS THROUGH 2038 BY STAKEHOLDER

[2005$, $million]
Total Percentage Fuel Net change

Market change in change in savings in surplus
surplus total surplus
Net Present Value 3%
Marine SI:
Engine Manufacturers .............................................................................................. ¥$354.4 11 .................... ¥$354.4
Equipment Manufacturers ........................................................................................ ¥688.8 22 .................... ¥688.8
End User (Households) ............................................................................................ ¥2,058.8 66 $1,831.3 ¥227.5
Subtotal ..................................................................................................................... ¥3,102.0 .................... 1,831.3 ¥1,270.7

Small SI:
Engine Manufacturers .............................................................................................. ¥275.0 4 .................... ¥275.0
Equipment Manufacturers ........................................................................................ ¥1,171.8 17 .................... ¥1,171.8
End User (Households) ............................................................................................ ¥5,333.4 79 2,524.8 ¥2,808.6
Subtotal ............................................................................................................. ¥6,780.2 .................... 2,524.8 ¥4,255.4
Total ........................................................................................................... ¥9,882.2 .................... 4,356.1 ¥5,526.1
Net Present Value 7%
Marine SI:
Engine Manufacturers .............................................................................................. ¥216.4 11 .................... ¥216.4
Equipment Manufacturers ........................................................................................ ¥417.6 22 .................... ¥417.6
End User (Households) ............................................................................................ ¥1,259.5 66 937.1 ¥322.8
Subtotal ............................................................................................................. ¥1,893.8 .................... 937.1 956.8
Small SI:
Engine Manufacturers .............................................................................................. ¥157.8 4 .................... 157.8
Equipment Manufacturers ........................................................................................ ¥680.4 17 1,354.4 680.4
End User (Households) ............................................................................................ ¥3,062.1 79 1,354.4 1,707.7
Subtotal ............................................................................................................. ¥3,900.3 .................... .................... ....................
Total ........................................................................................................... ¥5,794.2 .................... 2,291.5 ¥3,502.6
(7) What Are the Significant Limitations data gaps. In this EIA, there are three particularly baseline equilibrium price
of the Economic Impact Analysis? potential sources of uncertainty: (1) and quantities.
Uncertainty resulting from the way the Uncertainty associated with the
Every economic impact analysis EIM is designed, particularly from the economic impact model structure arises
examining the market and social welfare use of a partial equilibrium model; (2) from the use of a partial equilibrium
impacts of a regulatory program is uncertainty resulting from the values for approach, the use of the national level
limited to some extent by limitations in key model parameters, particularly the of analysis, and the assumption of
model capabilities, deficiencies in the perfect competition. These features of
price elasticity of supply and demand;
economic literatures with respect to the model mean it does not take into
and (3) uncertainty resulting from the
estimated values of key variables account impacts on secondary markets
values for key model inputs,
necessary to configure the model, and or the general economy, and it does not
137 EPA has historically presented the present percent rate represents a demand-side approach and consumption for future consumption). The 7
value of cost and benefits estimates using both a 3 reflects the time preference of consumption (the percent rate is a cost-side approach and reflects the
percent and a 7 percent social discount. The 3 rate at which society is willing to trade current shadow price of capital.
consider regional impacts. The results cross-sectional data model at either the hearing will start at 10 a.m. and
may also be biased to the extent that firm level or the plant level from the continue until testimony is complete.
firms have some control over market U.S. Census Bureau to estimate these See ADDRESSES above for location and
prices, which would result in the elasticities. We plan to use the results of phone information.
modeling over-estimating the impacts this research, provided the results are Please notify the contact person listed
on producers of affected goods and robust and they are available in time for above at least ten days before the
services. the analysis for the final rule. hearing if you would like to present
The values used for the price Finally, uncertainty in measurement testimony at a public hearing. You
elasticities of supply and demand are of data inputs can have an impact on the should estimate the time you will need
critical parameters in the EIM. The results of the analysis. This includes for your presentation and identify any
values of these parameters have an measurement of the baseline needed audio/visual equipment. We
impact on both the estimated change in equilibrium prices and quantities and suggest that you bring copies of your
price and quantity produced expected the estimation of future year sales. In statement or other material for the EPA
as a result of compliance with the addition, there may be uncertainty in panel and the audience. It would also be
proposed standards and on how the how similar engines and equipment helpful if you send us a copy of your
burden of the social costs will be shared were combined into smaller groups to statement or other materials before the
among producer and consumer groups. facilitate the analysis. There may also be hearing.
In selecting the values to use in the EIM uncertainty in the compliance cost We will conduct the hearing
it is important that they reflect the estimations. informally so technical rules of
behavioral responses of the industries To explore the effects of key sources evidence will not apply. We will
under analysis. of uncertainty, we performed a arrange for a written transcript of the
Published estimates of price sensitivity analysis in which we hearing and keep the official record of
elasticities of supply and demand from examine the results of using alternative the hearing open for 30 days to allow
the economic literature should be used values for the price elasticity of supply you to submit supplementary
whenever possible. Such estimates and demand, alternative baseline prices information. You may make
would be peer reviewed and generally for certain equipment markets, and arrangements to purchase copies of the
constitute reasonable estimates for the alternative methods in compliance costs transcript directly with the court
industries in question. In this analysis, to shock the market. The results of these reporter.
because we were unable to find analyses are contained in Appendix 9H The comment period for this rule will
published supply and demand of the Draft RIA. end on August 3, 2007.
elasticities for the Small SI and Marine Despite these uncertainties, we
SI markets, we estimated these believe this economic impact analysis XIV. Statutory and Executive Order
parameters econometrically using the provides a reasonable estimate of the Reviews
procedures described in Chapter 9 of the expected market impacts and social A. Executive Order 12866: Regulatory
Draft RIA. welfare costs of the proposed standards Planning and Review
The estimates on the supply elasticity in future. Acknowledging benefits
reflect a production function approach omissions and uncertainties, we present Under section 3(f)(1) of Executive
using data at the industry level. This a best estimate of the social costs based Order (EO) 12866 (58 FR 51735, October
method was chosen because of on our interpretation of the best 4, 1993), this action is an ‘‘economically
limitations with the available data. We available scientific literature and significant regulatory action’’ because it
were not able to obtain firm-level or methods supported by EPA’s Guidelines is likely to have an annual effect on the
plant-level production data for for Preparing Economic Analyses and economy of $100 million or more.
companies that operate in the affected the OAQPS Economic Analysis Accordingly, EPA submitted this action
sectors. However, the use of aggregate Resource Document. to the Office of Management and Budget
industry level data may not be (OMB) for review under EO 12866 and
appropriate and may not be an accurate XIII. Public Participation any changes made in response to OMB
way to estimate the price elasticity of We request comment on all aspects of recommendations have been
supply compared to firm-level or plant- this proposal. This section describes documented in the docket for this
level data. This is because, at the how you can participate in this process. action.
aggregate industry level, the size of the In 2001 we published a proposed rule In addition, EPA prepared an analysis
data sample is limited to the time series to adopt evaporative emission standards of the potential costs and benefits
of the available years and because for marine vessels powered by spark- associated with this action. This
aggregate industry data may not reveal ignition engines (67 FR 53050, August analysis is contained in the Draft
each individual firm or plant 14, 2002). We are withdrawing that Regulatory Impact Analysis, which is
production function (heterogeneity). proposal and reissuing our proposal in available in the docket for this action
There may be significant differences this notice. We received several and is summarized in Section XII.
among the firms that may be hidden in comments on that proposed rule and
B. Paperwork Reduction Act
the aggregate data but that may affect have attempted to take all those
the estimated elasticity. In addition, the comments into account in this action. The information collection
use of time series aggregate industry Commenters on the previous proposal requirements in this proposed rule have
data may introduce time trend effects who feel their concerns have not been been submitted for approval to the
that are difficult to isolate and control. addressed should send us updated Office of Management and Budget
To address these concerns, EPA comments expressing any remaining (OMB) under the Paperwork Reduction
intends to investigate estimates for the concerns. This proposal includes a Act, 44 U.S.C. 3501 et seq. The
price elasticity of supply for the affected variety of changes from the earlier Information Collection Request (ICR)
industries for which published proposal, mostly centered on testing document prepared by EPA has been
estimates are not available, using an methods and implementation dates. assigned EPA ICR number 2251.01.
alternative method and data inputs. A hearing will be held on Tuesday, The Agency proposes to collect
This research program will use the June 5, 2007 in Washington, DC. The information to ensure compliance with
the provisions in this rule. This As shown in Table XIV–1, the total acquire, install, and utilize technology
includes a variety of requirements, both annual burden associated with this and systems for the purposes of
for engine manufacturers, equipment proposal is about 131,000 hours and $18 collecting, validating, and verifying
manufacturers and manufacturers of million based on a projection of 1,100 information, processing and
fuel system components. Section 208(a) respondents. The estimated burden for maintaining information, and disclosing
of the Clean Air Act requires that engine manufacturers is a total estimate and providing information; adjust the
manufacturers provide information the for both new and existing reporting existing ways to comply with any
Administrator may reasonably require to requirements. Most information previously applicable instructions and
determine compliance with the collection is based on annual reporting. requirements; train personnel to be able
regulations; submission of the Burden means the total time, effort, or
to respond to a collection of
financial resources expended by persons
information is therefore mandatory. We information; search data sources;
to generate, maintain, retain, or disclose
will consider confidential all complete and review the collection of
or provide information to or for a
information meeting the requirements of Federal agency. This includes the time information; and transmit or otherwise
section 208(c) of the Clean Air Act. needed to review instructions; develop, disclose the information.
TABLE XIV–1.—ESTIMATED BURDEN FOR REPORTING AND RECORDKEEPING REQUIREMENTS

Annual operation
Number of re- Average burden Annual burden Annualized cap- Annual labor
Industry sector and maintenance
spondents per respondent hours ital costs costs costs
Small SI engine manufac-

turers ............................ 58 885 51,301 $5,529,000 $2,065,643 $3,100,306
Small SI equipment & fuel
system component mfr.
(evaporative) ................. 623 1,568 62,715 0 497,631 624,066
Marine SI engine manu-
facturers ........................ 40 19 11,605 0 2,677,821 8,299,569
Marine SI equipment &
fuel system component
mfr. (evaporative) ......... 380 14 5,241 0 224,871 383,024
Total .......................... 1,101 2,486 130,862 5,529,000 5,465,966 12,406,965
...................................... Total Annual Cost = 18,012,246
An agency may not conduct or Office of Management and Budget, 725 economic impact on a substantial
sponsor, and a person is not required to 17th Street, NW., Washington, DC number of small entities. Small entities
respond to a collection of information 20503, Attention: Desk Office for EPA. include small businesses, small
unless it displays a currently valid OMB Since OMB is required to make a organizations, and small governmental
control number. The OMB control decision concerning the ICR between 30 jurisdictions.
numbers for EPA’s regulations in 40 and 60 days after May 18, 2007, a For purposes of assessing the impacts
CFR are listed in 40 CFR part 9. comment to OMB is best assured of of this action on small entities, small
To comment on the Agency’s need for having its full effect if OMB receives it entity is defined as: (1) A small business
this information, the accuracy of the by June 18, 2007. The final rule will as defined by the Small Business
provided burden estimates, and any respond to any OMB or public Administration’s (SBA) regulations at 13
suggested methods for minimizing comments on the information collection CFR 121.201 (see Table XIV–2, below);
respondent burden, including the use of requirements contained in this proposal. (2) a small governmental jurisdiction
automated collection techniques, EPA C. Regulatory Flexibility Act that is a government of a city, county,
has established a public docket for this town, school district or special district
rule, which includes this ICR, under (1) Overview with a population of smaller than
Docket ID number EPA–HQ–OAR– The Regulatory Flexibility Act (RFA) 50,000; and (3) a small organization that
2004–0008. Submit any comments generally requires an agency to prepare is any not-for-profit enterprise which is
related to the ICR for this proposed rule a regulatory flexibility analysis of any independently owned and operated and
to EPA and OMB. See ADDRESSES rule subject to notice and comment is not dominant in its field. The
section at the beginning of this notice rulemaking requirements under the following table provides an overview of
for where to submit comments to EPA. Administrative Procedure Act or any the primary SBA small business
Send comments to OMB at the Office of other statute unless the agency certifies categories potentially affected by this
Information and Regulatory Affairs, that the rule will not have a significant regulation.
TABLE XIV–2.—SMALL BUSINESS DEFINITIONS FOR ENTITIES AFFECTED BY THIS RULE

Threshold defi-
nitions for
Industry NAICS a codes small busi-
ness b
(employees)
Small SI and Marine SI Engine Manufacturers ....................................................................................................... 333618 1,000
TABLE XIV–2.—SMALL BUSINESS DEFINITIONS FOR ENTITIES AFFECTED BY THIS RULE—Continued

Threshold defi-
nitions for
Industry NAICS a codes small busi-
ness b
(employees)
Equipment Manufacturers:
Farm Machinery ................................................................................................................................................ 333111 500
Lawn and Garden ............................................................................................................................................. 333112 500
Construction ...................................................................................................................................................... 333120 750
Sawmill and Woodworking ............................................................................................................................... 333210 500
Pumps ............................................................................................................................................................... 333911 500
Air and Gas Compressors ................................................................................................................................ 333912 500
Generators ........................................................................................................................................................ 335312 1,000
Boat Builders ........................................................................................................................................................... 336612 500
Fuel Tank Manufacturers:
Other Plastic Products ...................................................................................................................................... 326199 500
Metal Stamping ................................................................................................................................................. 332116 500
Metal Tank (Heavy Gauge) .............................................................................................................................. 332420 500
Fuel Line Manufacturers:
Rubber and Plastic Fuel Lines ......................................................................................................................... 326220 500
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.
Pursuant to section 603 of the RFA, appropriate consideration to cost, noise, hundred equipment manufacturers that
EPA prepared an initial regulatory energy, safety, and lead time. In qualify as a small business under the
flexibility analysis (IRFA) that examines addition to the general authority to SBA definitions. More than 90 percent
the impact of the proposed rule on small regulate nonroad engines under the of these small companies manufacture
entities along with regulatory CAA, Section 428 of 2004 Consolidated fewer than 5,000 pieces of equipment
alternatives that could reduce that Appropriations Act requires EPA to per year. The median employment level
impact. The IRFA, as summarized propose and finalize new regulations for is 65 employees for nonhandheld
below, is available for review in the nonroad spark-ignition engines below equipment manufacturers and 200
docket and Chapter 10 of the Draft RIA. 50 horsepower. employees for handheld equipment
manufacturers. The median sales
(2) Background (3) Summary of Regulated Small Entities
revenue is approximately $9 million for
Air pollution is a serious threat to the The standards being proposed for nonhandheld equipment manufacturers
health and well-being of millions of Small SI engines and equipment will and $20 million for handheld
Americans and imposes a large burden affect manufacturers of both handheld equipment manufacturers.
on the U.S. economy. Ground-level equipment and nonhandheld EPA has identified 25 manufacturers
ozone and carbon monoxide are linked equipment. Based on EPA certification that produce fuel tanks for the Small SI
to potentially serious respiratory health records, the Small SI nonhandheld equipment market that meet the SBA
problems, especially respiratory effects engine industry is made up primarily of definition of a small business. Fuel tank
and environmental degradation, large manufacturers including Briggs manufacturers rely on three different
including visibility impairment in and and Stratton, Tecumseh, Honda, Kohler processes for manufacturing plastic
around our national parks. (Section II of and Kawasaki. The Small SI handheld tanks—rotational molding, blow
this preamble and Chapter 2 of the Draft engine industry is also made up molding and injection molding. EPA has
RIA for this rule describe these primarily of large manufacturers identified small business fuel tank
pollutants and their health effects.) Over including Electrolux Home Products, manufacturers using the rotational
the past quarter century, state and MTD, Homelite, Stihl and Husqvarna. molding and blow molding processes
federal representatives have established EPA has identified 10 Small SI engine but has not identified any small
emission control programs that manufacturers that qualify as a small business manufacturers using injection
significantly reduce emissions from business under SBA definitions. Half of molding. In addition, EPA has identified
individual sources. Many of these these small manufacturers certify two manufacturers that produce fuel
sources now pollute at only a small gasoline engines and the other half lines for the Small SI equipment market
fraction of their pre-control rates. certify liquefied petroleum gas (LPG) that meet the SBA definition of a small
This proposal includes standards that engines. business. The majority of fuel line in the
would require manufacturers to The Small SI equipment market is Small SI market is made by large
substantially reduce exhaust emissions dominated by a few large businesses manufacturers including Avon
and evaporative emissions from Marine including Toro, John Deere, MTD, Automotive and Dana Corporation.
SI engines and vessels and from Small Briggs and Stratton, and Electrolux The standards being proposed for
SI engines and equipment. We are Home Products. While the Small SI Marine SI engines and vessels will affect
proposing the standards under section equipment market may be dominated by manufacturers in the OB/PWC market
213(a)(3) of the CAA which directs EPA just a handful of companies, there are and the SD/I market. Based on EPA
to set emission standards that ‘‘achieve many small businesses in the market; certification records, the OB/PWC
the greatest degree of emission however these small businesses account market is made up primarily of large
reduction achievable through the for less than 10 percent of equipment manufacturers including, Brunswick
application of technology’’ giving sales. We have identified over three (Mercury), Bombardier Recreational
Products, Yamaha, Honda, Kawasaki, than 1,000 of these companies produce fuel line requirements will not apply to
Polaris, Briggs & Stratton, Nissan, and boats using gasoline marine engines. the fill neck), we have not included this
Tohatsu. One company that qualifies as According to the National Marine manufacturer in our analysis. The
a small business under the SBA Manufacturers Association (NMMA), majority of fuel line in the Marine SI
definitions has certified their product as most of these boat builders are small market is made by large manufacturers
a PWC. This company is Surfango who businesses. These small businesses including Goodyear and Parker-
makes a small number of motorized range from individuals building one Hannifin.
surfboards. boat per year to businesses near the SBA
The SD/I market is made up mostly of small business threshold of 500 To gauge the impact of the proposed
small businesses; however, these employees. standards on small businesses, EPA
businesses account for less than 20 We have identified 15 marine fuel employed a cost-to-sales ratio test to
percent of engine sales. Two large tank manufacturers in the United States estimate the number of small businesses
manufacturers, Brunswick (Mercruiser) that qualify as small businesses under that would be impacted by less than one
and Volvo Penta, dominate the market. the SBA definition. These percent, between one and three percent,
We have identified 28 small entities manufacturers include five rotational and above three percent. For this
manufacturing SD/I marine engines. The molders, three blow molders, six analysis, EPA assumed that the costs of
third largest company is Indmar, which aluminum fuel tank manufacturers, and complying with the proposed standards
has much fewer than the SBA threshold one specialty fuel tank manufacturer. are completely absorbed by the
of 1,000 employees. Based on sales The small rotational molders average regulated entity. Overall, EPA projects
estimates, number of employees fewer than 50 employees while the that 60 small businesses will be
reported by Thomas Register, and small blow-molders average over 100 impacted by one to three percent, 18
typical engine prices, we estimate that employees. Moeller qualifies as a large small businesses will be impacted by
the average revenue for the larger small business because they are owned by over three percent, and the remaining
SD/I manufacturers is about $50–60 Moore; however, their rotational companies (over 1,000 small businesses)
million per year. However, the vast molding business is a small part of the
will be impacted by less than one
majority of the SD/I engine company and operates similar to the
percent. Table XIV–3 summarizes the
manufacturers produce low production smaller businesses. Other blow-molders
volumes of engines and typically have are in the same situation such as impacts on small businesses from the
fewer than 50 employees. Attwood which is owned by Brunswick. proposed exhaust and evaporative
The two largest boat building We have only identified one small emission standards for Small SI engines
companies are Brunswick and Genmar. fuel line manufacturer that produces for and equipment and Marine SI engines
Brunswick owns approximately 25 boat the Marine SI market. Novaflex and vessels. A more detailed description
companies and Genmar owns primarily distributes fuel lines made by of the inputs used for each affected
approximately 12 boat companies. other manufacturers but does produce industry sector and the methodology
Based on a manufacturer list maintained its own filler necks. Because we expect used to develop the estimated impact on
by the U.S. Coast Guard, there are over vessel manufacturers will design their small businesses in each industry sector
1,600 boat builders in the United States. fuel systems such that there will not be is included in the IRFA as presented in
We estimate that, based on standing liquid fuel in the fill neck (and Chapter 10 of the Draft RIA for this
manufacturer identification codes, more therefore the proposed low-permeation rulemaking.
TABLE XIV–3.—SUMMARY OF IMPACTS ON SMALL BUSINESSES

1–3 per- > 3 per-
Industry sector 0–1 percent cent cent
Manufacturers of Marine OB/PWC engines .................................................................................. 1 ................................... 0 0

Manufacturers of Marine SD/I engines < 373 kW ......................................................................... 4 ................................... 5 0
Manufacturers of Marine SD/I engines ≥ 373 kW (high-performance) ......................................... 2 ................................... 17 0
Boat Builders ................................................................................................................................. >1,000 ......................... 0 0
Manufacturers of Fuel Lines and Fuel Tanks for Marine SI Vessels ........................................... 15 ................................. 0 0
Small SI engines and equipment .................................................................................................. 314 ............................... 38 18
Manufacturers of Fuel Lines and Fuel Tanks for Small SI Applications ....................................... 27 ................................. 0 0
Total ........................................................................................................................................ 363 + >1,000 boat 60 18

builders.
(4) Potential Reporting, Recordkeeping, this proposal may include testing, subject to EPA regulation, EPA is
and Compliance reporting, and recordkeeping proposing to apply similar reporting,
requirements for manufacturers of recordkeeping, and compliance
For any emission control program, engines, equipment, vessels, and fuel requirements to those for OB/PWC
EPA must have assurances that the system components including fuel engine manufacturers. Testing
regulated products will meet the tanks, fuel lines, and fuel caps. requirements for engine manufacturers
standards. Historically, EPA’s programs For Small SI engine manufacturers would include certification emission
for Small SI engines and Marine SI and OB/PWC engine manufacturers, (including deterioration factor) testing
engines have included provisions EPA is proposing to continue the same and production-line testing. Reporting
requiring that engine manufacturers be reporting, recordkeeping, and requirements would include emission
responsible for providing these compliance requirements prescribed in test data and technical data on the
assurances. The program that EPA is the current regulations. For SD/I engine engines. Manufacturers would also need
considering for manufacturers subject to manufacturers, which are not currently to keep records of this information.
Because of the proposed evaporative the Phase 3 standards. For engine • Hardship provisions (for economic
emission requirements, there would be manufacturers, the potential flexibilities reasons or under unusual
new reporting, recordkeeping and considered included extra time before circumstances).
compliance requirements for Small SI the Phase 3 requirements would apply • Limited temporary exemptions for
equipment manufacturers. Small SI and reduced testing burden, such as small boat builders.
equipment manufacturers participating assigned deterioration factors for On May 3, 2001, we convened a SBAR
in the proposed transition program certification purposes and exemption Panel to address potential small entity
would also be subject to reporting, from the production-line testing issues for a number of emission
recordkeeping and compliance requirements. For equipment programs under consideration. One of
requirements. There may also be new manufacturers, the potential flexibilities the programs was evaporative emission
reporting, recordkeeping and considered included extra time before standards for boats using gasoline
compliance requirements for fuel tank having to use Phase 3 engines and the engines. With input from SERs, the 2001
manufacturers, fuel line manufacturers, ability to request extra time for a variety Panel drafted a report providing
fuel cap manufacturers and marine of reasons, including technical findings and recommendations to us on
vessel manufacturers. Testing hardship, economic hardship, and how to reduce potential burden on
requirements for these manufacturers unusual circumstances. For fuel tank small businesses that may occur as a
could include certification emission and fuel line manufacturers, EPA has result of this proposed rule. The
testing. Reporting requirements could tried to develop the timing of the flexibility approaches recommended by
include emission test data and technical proposal to accommodate all the 2001 Panel included the following:
data on the designs. Manufacturers manufacturers, including small • Broad definition of emission
would also need to keep records of this businesses. We also considered offering families for certification.
information. manufacturers the ability to request • Design-based certification (as an
extra time for a variety of reasons, option to emission testing).
(5) Relevant Federal Rules • Use of emission credits.
including economic hardship and
For Small SI engines and equipment, unusual circumstances. • Delay of the implementation date of
the primary federal rules that are related For Marine SI engines and vessels, the standards.
to the rule under consideration are EPA previously convened two Small • Hardship provisions (for economic
EPA’s Phase 1 rule for Small SI engines Business Advocacy Review Panel reasons or under unusual
(60 FR 34582, July 3, 1995), EPA’s Phase (SBAR Panel, or the Panel) to obtain circumstances).
2 rule for Small SI nonhandheld engines advice and recommendation of In the time since the 1999 and 2001
(64 FR 15208, March 30, 2004), and representatives of the small entities that SBAR Panels were completed, a great
EPA’s Phase 2 rule for Small SI potentially would be subject to the deal of development has been
handheld engines (65 FR 24268, April requirements under consideration at the performed on exhaust and evaporative
25, 2000). For Marine SI engines and time. The Panels took place in 1999 and emission control technology. We
vessels, the primary federal rule that is 2001 and addressed small business considered the flexibilities
related to the rule under consideration issues related to exhaust and recommended by the 1999 and 2001
is EPA’s October 1996 final rule (61 FR evaporative emission standards similar Panels (as noted above) in the context of
52088, October 4, 1996). to those described in this proposal. this new information.
Three other federal agencies have Nineteen small entities that sell in the (7) Panel Process and Panel Outreach
regulations that relate to the equipment Marine SI engine and vessel sectors
and vessels under consideration. These participated as Small Entity As required by section 609(b) of the
agencies are the Consumer Product Representatives (SERs) in the two RFA, as amended by SBREFA, EPA also
Safety Commission (CPSC), United previous Panels. has conducted outreach to small entities
States Department of Agriculture On June 7, 1999, we convened a and convened a SBAR Panel to obtain
(USDA), and the United States Coast SBAR Panel to address small entity advice and recommendation of
Guard (USCG). CPSC has safety issues related to anticipated exhaust representatives of the small entities that
requirements that apply to walk-behind emission standards for SD/I marine potentially would be subject to the
lawnmowers to protect operators of engines. As part of that Panel, we requirements of this rule. On August 17,
such equipment. USDA has design considered a range of regulatory 2006 EPA’s Small Business Advocacy
requirements intended to reduce the options, including standards that would Chairperson convened a Panel under
potential fire threat of Small SI be expected to require the use of section 609(b) of the RFA. In addition to
equipment. The USCG has safety catalytic control. With input from the the Chair, the Panel consisted of the
regulations for marine engine and fuel SERs, the 1999 Panel drafted a report Division Director the Assessment and
system designs. The USCG safety providing findings and Standards Division within EPA’s Office
regulations include standards for recommendations to us on how to of Air and Radiation, the Chief Counsel
exhaust system temperature, fuel tank reduce potential burden on small for Advocacy of the Small Business
durability and fuel line designs, businesses that may occur as a result of Administration, and the Administrator
including specific requirements related this proposed rule. Small business of the Office of Information and
to system survivability in a fire. flexibility approaches recommended by Regulatory Affairs within the Office of
Manufacturers will need to consider the 1999 Panel included the following: Management and Budget.
both EPA and other federal standards • Broad definition of engine families As part of the SBAR Panel process we
when certifying their products. for certification. conducted outreach with
• Minimizing compliance testing representatives from 25 various small
(6) Significant Alternatives entities that would be affected by this

requirements.
For Small SI engines and equipment, • Design-based certification (as an rule. The SERs included engine,
EPA looked at the existing Phase 2 rule option to emission testing). equipment, fuel tank and fuel line
for small engines, as well as other recent • Use of emission credits. manufacturers for the Small SI market
EPA rules, to provide potential • Delay of the implementation date of and engine, vessel, fuel tank and fuel
flexibilities which might be offered with the standards. line manufacturers for the Marine SI
market. We met with these SERs to propose two additional years of lead during the first two years that the Phase
discuss the potential rulemaking time before the Phase 3 standards take 3 standards take effect. (For equipment
approaches and potential options to effect for small business engine using Class I engines, the provision
decrease the impact of the rulemaking manufacturers. For Class I engines, the would apply in 2012 and 2013. For
on their industries. We distributed effective date for small business engine equipment using Class II engines, the
outreach materials to the SERs; these manufacturers would be 2014. For Class provision would apply in 2011 and
materials included background on the II engines, the effective date for small 2012.) The Panel also recommended
rulemaking, possible regulatory business engine manufacturers would that EPA propose to allow small
approaches, and possible rulemaking be 2013. business equipment manufacturers to
alternatives (as noted earlier). The Panel Assigned Deterioration Factors—The use Phase 3 engines without the catalyst
met with SERs from the industries that Panel recommended EPA propose that during this initial two-year period
will be impacted directly by this rule on small business engine manufacturers be provided the engine manufacturer has
September 12, 2006 to discuss the allowed the option to use EPA- demonstrated that the engine without
outreach materials and receive feedback developed assigned deterioration factors the catalyst would comply with the
on the approaches and alternatives in demonstrating compliance with the Phase 2 exhaust emission standards and
detailed in the outreach packet. (EPA Phase 3 exhaust emission standards. labels it appropriately.
also met with SERs on July 11, 2006 for Production-Line Testing Exemption— Eligibility for the Small Business
an initial outreach meeting.) The Panel The Panel recommended EPA propose Flexibilities—For purposes of
received written comments from the that small business engine determining which engine and
SERs following the meeting in response manufacturers be exempted from the equipment manufacturers are eligible
to discussions at the meeting and the production line testing requirements for for the small business flexibilities
questions posed to the SERs by the the Phase 3 exhaust emission standards. described above, EPA is proposing
Agency. The SERs were specifically Broader Definition of Engine Family— criteria based on a production cut-off of
asked to provide comment on regulatory The Panel recommended that EPA 10,000 nonhandheld engines per year
alternatives that could help to minimize propose allowing small business engine for engine manufacturers and 5,000
the rule’s impact on small businesses. manufacturers to group all of their pieces of nonhandheld equipment per
Small SI engines into a single engine year for equipment manufacturers. The
(8) Panel Recommendations for Small family for certification by engine class Panel recommended that EPA propose
Business Flexibilities and useful life category, subject to good to allow engine and equipment
The Panel recommended that EPA engineering judgment. manufacturers which exceed the
consider and seek comment on a wide Simplified Engine Certification for production cut-off levels noted above
range of regulatory alternatives to Equipment Manufacturers—Generally, but meet the SBA definitions for a small
mitigate the impacts of the rulemaking it has been engine manufacturers who business (i.e., fewer than 1,000
on small businesses, including those certify with EPA for the exhaust employees for engine manufacturers or
flexibility options described below. The emission standards since the standards fewer than 500 employees for most
following section summarizes the SBAR are engine-based standards. However, a types of equipment manufacturers) to
Panel recommendations. EPA has number of equipment manufacturers, request treatment as a small business.
proposed provisions consistent with especially those that make low-volume
models, believe it may be necessary for (b) Manufacturer Flexibilities for SD/I
each of the Panel’s recommendations.
Consistent with the RFA/SBREFA equipment manufacturers to certify their Marine Exhaust Standards
requirements, the Panel evaluated the own unique engine/muffler designs The Panel’s recommendations for the
assembled materials and small-entity with EPA (but using the same catalyst exhaust emission standards for SD/I
comments on issues related to elements substrate already used in a muffler marine engines are summarized below.
of the IRFA. A copy of the Final Panel certified by the engine manufacturer). A complete discussion of the proposed
Report (including all comments The Panel recommended that EPA small business provisions in response to
received from SERs in response to the propose a simplified engine certification each of the Panel recommendations
Panel’s outreach meeting (Appendix D) process for small business equipment noted below can be found in Section
as well as summaries of both outreach manufacturers in such situations. Under III.F of this preamble.
meetings that were held with the SERs such a simplified certification process, Additional Lead Time for SD/I Engine
(Appendices B and C)) is included in the equipment manufacturer would Manufacturers—The Panel
the docket for this proposed rule. A need to demonstrate that it is using the recommended that EPA propose an
summary of the Panel recommendations same catalyst substrate as the approved implementation date of 2011 for SD/I
is detailed below. As noted above, this engine manufacturer’s family, provide engines below 373 kW produced by
proposal includes proposed provisions information on the differences between small business marine engine
for each of the Panel recommendations. their engine/exhaust system and the manufacturers and an implementation
engine/exhaust system certified by the date of 2013 for small business
(a) Manufacturer Flexibilities for Small engine manufacturer, and explain why manufacturers of high performance SD/
SI Engine Exhaust Standards the deterioration data generated by the I marine engines (at or above 373 kW).
The Panel’s recommendations for the engine manufacturer would be Based on the proposed 2009
Phase 3 exhaust emission standards for representative for the equipment implementation date for the remaining
nonhandheld engines are summarized manufacturer’s configuration. SD/I engine manufacturers (i.e., the
below. A complete discussion of the Additional Lead Time for Small SI large businesses), these dates would
proposed small business provisions in Equipment Manufacturers—The Panel provide small business SD/I engine
response to each of the Panel recommended that EPA propose a manufacturers with two years additional
recommendations noted below can be transition program that would allow lead time for SD/I engines below 373
found in Section V.F of this preamble. small business equipment kW and four years additional lead time
Additional Lead Time for manufacturers to continue using Phase for SD/I engines at or above 373 kW.
Nonhandheld Engine Manufacturers— 2 engine designs (i.e., engines meeting Exhaust Emission ABT—EPA is
The Panel recommended that EPA the Phase 2 exhaust emission standards) proposing an averaging, banking and
trading (ABT) program for the SD/I difficult to hold the engine at idle or tanks would give manufacturers time to
engine standards. Because EPA is high power within the tolerances address issues that are specific to the
proposing an ABT program for SD/I currently specified in existing EPA test marine industry.
engines, the Panel recommended that procedures. The Panel recommended With regard to diurnal emissions
EPA request comment on the that EPA propose less restrictive control, SERs commented that they
desirability of credit trading between specifications and tolerances for small would like additional time to install
high performance and other SD/I marine businesses testing high performance SD/ carbon canisters in their vessels because
engines and the impact it could have on I engines, which would allow the use of of deck and hull changes that might be
small business. portable emission measurement needed to accommodate the carbon
Early Credit Generation for ABT— equipment. canisters. SERs commented that they
EPA is proposing an early banking Eligibility for the Small Business would consider asking EPA to allow the
program for SD/I marine engines. Under Flexibilities—For purposes of use of low-permeation fuel lines prior to
the early banking provisions, determining which engine 2009 as a method of creating an
manufacturers can generate ‘‘bonus’’ manufacturers are eligible for the small emission neutral flexibility option for
credits for the early introduction of business flexibilities described above for providing extra time for canisters. The
engines meeting the proposed emission SD/I engine manufacturers, EPA is Panel recommended that EPA continue
standards. The Panel supports EPA proposing criteria based on a production discussions with the marine industry
proposing an early banking program and cut-off of 5,000 SD/I engines per year. and request comment on
believes that bonus credits will provide The Panel recommended EPA propose environmentally neutral approaches to
greater incentive for more small to allow engine manufacturers that provide more flexibility in meeting the
business engine manufacturers to exceed the production cut-off level potential diurnal emission standards.
introduce advanced technology earlier noted above but meet the SBA Fuel Tank ABT and Early Incentive
than would otherwise occur. definitions for a small business (i.e., Program—The Panel recommended that
Assigned Emission Rates for High fewer than 1,000 employees for engine EPA propose an ABT program for fuel
Performance SD/I Engines—The Panel manufacturers), to request treatment as tank permeation. The Panel also
recommended that EPA propose to a small business. recommended that EPA request
allow the use of default emission rates comment on including service tanks
that could be used by small business (c) Manufacturer Flexibilities for Small (i.e., replacement tanks) in the ABT
high performance SD/I engine SI and Marine SI Evaporative Standards program. Finally, the Panel
manufacturers as part of their The Panel’s recommendations for the recommended that EPA request
certification. Based on currently evaporative emission standards for comment on an early incentive program
available test data, the proposed default Small SI engines and equipment and for tank permeation.
baseline emission levels for high SD/I marine engines and vessels are Broad Definition of Evaporative
performance engines are 30 g/kW-hr summarized below. SERs raised many of Emission Family for Fuel Tanks—The
HC+NOX and 350 g/kW-hr CO. the same issues regarding evaporative Panel recommended that EPA propose a
Alternative Standards for High emission standards for both Small SI broad emission family definition for
Performance SD/I Engines—SERs and marine applications. In fact, many Small SI fuel tanks and for Marine SI
expressed concern that that catalysts of the SERs supply fuel system fuel tanks similar to that in the
have not been demonstrated on high components to both industries. For regulations for recreational vehicles.
performance engines and that they may these reasons, the Panel’s Under the recreation vehicle
not be practicable for this application. recommendations on regulatory evaporative emission regulations, EPA
While EPA is proposing a standard flexibility discussed below would apply specifies that fuel tank permeation
based on the use of catalysts, EPA is to Small SI equipment and to SD/I emission families be based on type of
requesting comment on a standard for marine vessels except where noted. material (including additives such as
high performance SD/I marine engines Because the majority of fuel tanks pigments, plasticizers, and ultraviolet
that could be met without the use of a produced for the Small SI equipment (UV) inhibitors), emission control
catalyst. (Based on available data, levels and the SD/I marine vessel market are strategy, and production methods. Fuel
of 16 g/kW-hr HC+NOX and 350 g/kW- made by small businesses, the details of tanks of different sizes, shapes, and wall
hr CO were discussed with the SERs). the evaporative emissions program thicknesses may be grouped into the
The Panel recommended EPA request under consideration and the flexibility same emission family.
comment on a non-catalyst based provisions shared by EPA with the SERs Compliance Progress Review for
standard for high performance marine were noted as being available to all fuel Marine Fuel Tanks—While there is
engines. tank manufacturers. Therefore, the clearly a difference of opinion among
EPA is proposing to not apply the not- Panel recommendations on regulatory the SERs involved in tank
to-exceed (NTE) standards to high flexibility for fuel tank manufacturers manufacturing, some SERs expressed
performance SD/I engines. The Panel discussed below are being proposed to concern that there is not an established
supports excluding high performance apply to all fuel tank manufacturers. A low-permeation technology available for
SD/I engines from NTE requirements. complete discussion of the proposed rotationally molded marine fuel tanks.
Broad Engine Families for High provisions in response to each of the These SERs stated that they are working
Performance SD/I Engines—The Panel Panel recommendations noted below on developing such technology but do
recommended that EPA propose can be found in Section VI.G of this not have in-use experience to
allowing small businesses to group all of preamble. demonstrate the durability of low-
their high performance SD/I engines Consideration of Appropriate Lead permeation rotationally molded fuel
into a single engine family for Time—The Panel recommended that tanks. The Panel recommended that if a
certification, subject to good engineering EPA propose to implement the fuel tank rule is implemented, EPA undertake a
judgment. permeation standards in 2011 with an ‘‘compliance progress review’’
Simplified Test Procedures for High additional year (2012) for rotationally assessment with the manufacturers. In
Performance SD/I Engines—For high molded marine fuel tanks. The extra this effort, EPA should continue to
performance SD/I engines, it may be year for rotationally molded marine engage on a technical level with
rotationally-molded marine fuel tank provisions can be found in Sections Before EPA establishes any regulatory
manufacturers and material suppliers to VIII.C.8, VIII.C.9, and VIII.C.10. requirements that may significantly or
assess the progress of low-permeation Unusual Circumstances Hardship— uniquely affect small governments,
fuel tank development and compliance. The Panel recommended that EPA including tribal governments, it must
Design-Based Certification—The propose a provision allowing for have developed under section 203 of the
Panel recommended that EPA propose a hardship relief under unusual UMRA a small government agency plan.
design-based certification for carbon circumstances for manufacturers The plan must provide for notifying
canisters and fuel tanks. For the carbon affected by this rule. Manufacturers potentially affected small governments,
canisters, the design requirement would would be able to apply for hardship enabling officials of affected small
call for a ratio of carbon volume (liters) relief if circumstances outside their governments to have meaningful and
to fuel tank capacity (gallons) of 0.04 control cause the failure to comply and timely input in the development of EPA
liter/gallon for boats less than 26 feet in if failure to sell the subject engines or regulatory proposals with significant
length, and 0.016 liter/gallon for larger equipment would jeopardize the federal intergovernmental mandates,
boats. The different canister sizes are company’s solvency. An example of an and informing, educating, and advising
intended to account for the differences unusual circumstance outside a small governments on compliance with
between boats normally trailered to the manufacturer’s control may be an ‘‘Act the regulatory requirements.
water for use versus boats normally of God,’’ a fire at the manufacturing This rule contains no federal
stored in the water between uses. For plant, or the unforeseen shut down of a mandates for state, local, or tribal
fuel tanks, the Panel recommended that supplier with no alternative available. governments as defined by the
EPA propose to allow design-based Economic Hardship—The Panel provisions of Title II of the UMRA. The
certification for metal tanks and plastic recommended that EPA propose rule imposes no enforceable duties on
fuel tanks with a continuous EVOH economic hardship provisions for small any of these governmental entities.
barrier. businesses affected by this rule. Small Nothing in the rule would significantly
SERs commented that the American manufacturers would be able to petition or uniquely affect small governments.
Boat and Yacht Council (ABYC) and the EPA for limited additional lead time to EPA has determined that this rule
Society of Automotive Engineers (SAE) comply with the standards. A contains federal mandates that may
have industry recommended practices manufacturer would have to make the result in expenditures of more than
for boat designs that must be met as a case that it has taken all possible $100 million to the private sector in any
condition of membership in the business, technical, and economic steps single year. EPA believes that the
National Marine Manufacturers to comply but the burden of compliance proposal represents the least costly,
Association (NMMA). NMMA is costs would have a significant impact most cost-effective approach to achieve
working to update these recommended on the company’s solvency. the air quality goals of the rule. The
practices to include carbon canister We invite comments on all aspects of costs and benefits associated with the
installation specifications and a low- the proposal and its impacts on small proposal are discussed above and in the
permeation fuel line designation. The entities. Draft Regulatory Impact Analysis as
Panel recommended that EPA propose D. Unfunded Mandates Reform Act required by the UMRA.
to accept data used for meeting the
Title II of the Unfunded Mandates E. Executive Order 13132: Federalism
voluntary requirements as part of the
EPA certification. Reform Act of 1995 (UMRA), Public Executive Order 13132, entitled
Additional Lead Time for Small SI Law 104–4, establishes requirements for ‘‘Federalism’’ (64 FR 43255, August 10,
Fuel Line Requirement—EPA is federal agencies to assess the effects of 1999), requires EPA to develop an
proposing to apply the fuel line their regulatory actions on state, local, accountable process to ensure
permeation requirements beginning and tribal governments and the private ‘‘meaningful and timely input by State
with the 2008 model year for Small SI sector. Under section 202 of the UMRA, and local officials in the development of
nonhandheld equipment. Given the EPA generally must prepare a written regulatory policies that have federalism
short lead time before 2008, small statement, including a cost-benefit implications.’’ ‘‘Policies that have
business equipment manufacturers may analysis, for proposed and final rules federalism implications’’ is defined in
not be ready for such a requirement. The with ‘‘federal mandates’’ that may result the Executive Order to include
Panel recommended EPA propose a in expenditures to state, local, and tribal regulations that have ‘‘substantial direct
2009 implementation date for low- governments, in the aggregate, or to the effects on the States, on the relationship
permeation fuel line for small business private sector, of $100 million or more between the national government and
equipment manufacturers producing in any one year. Before promulgating an the States, or on the distribution of
Small SI nonhandheld equipment. EPA rule for which a written statement power and responsibilities among the
is needed, section 205 of the UMRA various levels of government.’’
(d) Manufacturer Hardship Provisions generally requires that EPA identify and Under section 6 of Executive Order
The Panel recommended that EPA consider a reasonable number of 13132, EPA may not issue a regulation
propose hardship programs for affected regulatory alternatives and adopt the that has federalism implications, that
manufacturers. EPA has adopted least costly, most cost-effective, or least imposes substantial direct compliance
hardship provisions in a number of burdensome alternative that achieves costs, and that is not required by statute,
previous rules. The following section the objectives of the rule. The unless the Federal government provides
summarizes the hardship provisions provisions of section 205 do not apply the funds necessary to pay the direct
recommended by the Panel which when they are inconsistent with compliance costs incurred by State and
would be available to engine applicable law. Moreover, section 205 local governments, or EPA consults with
manufacturers, equipment allows EPA to adopt an alternative other State and local officials early in the
manufacturers, vessel manufacturers, than the least costly, most cost-effective, process of developing the proposed
and fuel system component or least burdensome alternative if the regulation. EPA also may not issue a
manufacturers (i.e., fuel tank, fuel line, Administrator publishes with the final regulation that has federalism
and fuel cap manufacturers). A rule an explanation of why that implications and that preempts State
discussion of the proposed hardship alternative was not adopted. law, unless the Agency consults with
State and local officials early in the Public Law 108–199 limiting the states The effects of ozone on children’s
process of developing the proposed ability to adopt the California standards health were addressed in detail in EPA’s
regulation. for nonroad spark-ignition engines rulemaking to establish the NAAQS for
Section 4 of the Executive Order under 50 horsepower and urged EPA to these pollutants, and EPA is not
contains additional requirements for move expeditiously in adopting new revisiting those issues here. EPA
rules that preempt State or local law, Federal emission standards for this believes, however, that the emission
even if those rules do not have category. reductions from the strategies proposed
federalism implications (i.e., the rules In the spirit of Executive Order 13132, in this rulemaking will further reduce
will not have substantial direct effects and consistent with EPA policy to air toxic emissions and the related
on the States, on the relationship promote communications between EPA adverse impacts on children’s health.
between the national government and and State and local governments, EPA
the states, or on the distribution of H. Executive Order 12898: Federal
specifically solicits comment on this Actions to Address Environmental
power and responsibilities among the proposed rule from State and local
various levels of government). Those Justice in Minority Populations and
officials. Low-Income Populations.
requirements include providing all
affected State and local officials notice F. Executive Order 13175: Consultation Executive Order (EO) 12898 (59 FR
and an opportunity for appropriate and Coordination With Indian Tribal 7629 (Feb. 16, 1994)) establishes federal
participation in the development of the Governments executive policy on environmental
regulation. If the preemption is not Executive Order 13175, entitled justice. Its main provision directs
based on express or implied statutory ‘‘Consultation and Coordination with federal agencies, to the greatest extent
authority, EPA also must consult, to the Indian Tribal Governments’’ (65 FR practicable and permitted by law, to
extent practicable, with appropriate 67249, November 9, 2000), requires EPA make environmental justice part of their
State and local officials regarding the to develop an accountable process to mission by identifying and addressing,
conflict between State law and ensure ‘‘meaningful and timely input by as appropriate, disproportionately high
Federally protected interests within the tribal officials in the development of and adverse human health or
agency’s area of regulatory regulatory policies that have tribal environmental effects of their programs,
responsibility. implications.’’ policies, and activities on minority
This proposed rule does have populations and low-income
federalism implications. It does not This proposed rule does not have
populations in the United States.
propose any significant revisions from tribal implications as specified in
EPA has determined that this
current statutory and regulatory Executive Order 13175. This rule will be
proposed rule will not have
requirements, but it proposes to codify implemented at the Federal level and
disproportionately high and adverse
existing statutory requirements. Prior to impose compliance costs only on engine
human health or environmental effects
the passage of Public Law 108–199, the and equipment manufacturers. Tribal
on minority or low-income populations
various states could adopt and enforce governments will be affected only to the
because it increases the level of
nonroad emission control standards extent they purchase and use equipment
environmental protection for all affected
previously adopted by the state of with regulated engines. Thus, Executive
populations without having any
California under section 209(e) of the Order 13175 does not apply to this rule.
disproportionately high and adverse
Clean Air Act, once California had EPA specifically solicits additional
human health or environmental effects
received authorization from EPA to comment on this proposed rule from
on any population, including any
enforce such standards. As part of tribal officials.
minority or low-income population.
directing EPA to undertake this G. Executive Order 13045: Protection of This proposed rule will reduce air
rulemaking, section 428 of Public Law Children From Environmental Health pollution from mobile sources in
108–199 has taken away the authority of and Safety Risks general and thus decrease the amount of
states to adopt California standards for such emissions to which all affected
any nonroad spark-ignition engine Executive Order 13045, ‘‘Protection of
populations are exposed.
under 50 horsepower that they had not Children from Environmental Health
already adopted by September 1, 2003. Risks and Safety Risks’’ (62 FR 19885, I. Executive Order 13211: Actions That
No state had done so by that date. No April 23, 1997) applies to any rule that Significantly Affect Energy Supply,
current state law is affected by the (1) Is determined to be ‘‘economically Distribution, or Use
provisions of Public Law 108–199 significant’’ as defined under Executive This rule is not a ‘‘significant energy
mentioned above. Today’s action Order 12866, and (2) concerns an action’’ as defined in Executive Order
proposes to codify the statutory environmental health or safety risk that 13211, ‘‘Actions Concerning Regulations
provision prohibiting other states from EPA has reason to believe may have a That Significantly Affect Energy Supply,
adopting California standards for disproportionate effect on children. If Distribution, or Use’’ (66 FR 28355, May
nonroad spark-ignition engines under the regulatory action meets both criteria, 22, 2001), because it is not likely to have
50 horsepower. It does not affect the section 5–501 of the Order directs the a significant adverse effect on the
independent authority of California. Agency to evaluate the environmental supply, distribution, or use of energy. If
EPA did consult with representatives health or safety effects of the planned promulgated, this proposed rule is
of various State and local governments rule on children, and explain why the expected to result in the use of emission
in developing this rule. EPA has also planned regulation is preferable to other control technologies that are estimated
consulted representatives from the potentially effective and reasonably to reduce nationwide fuel consumption
National Association of Clean Air feasible alternatives considered by the by around 100 million gallons per year
Agencies (NACAA), which represents Agency. by 2020.

state and local air pollution officials. This proposed rule is not subject to
These officials participated in two EPA the Executive Order because it does not J. National Technology Transfer
workshops regarding the Small SI safety involve decisions on environmental Advancement Act
study in which they expressed concern health or safety risks that may Section 12(d) of the National
about the language of section 428 of disproportionately affect children. Technology Transfer and Advancement
Act of 1995 (‘‘NTTAA’’), Public Law 40 CFR Part 63 40 CFR Part 1065
104–113, section 12(d) (15 U.S.C. 272 Environmental protection,
note) directs EPA to use voluntary Administrative practice and
procedure, Air pollution control, Administrative practice and procedure,
consensus standards in its regulatory Incorporation by reference, Reporting
activities unless doing so would be Hazardous substances, Incorporation by
reference, Intergovernmental relations, and recordkeeping requirements,
inconsistent with applicable law or Research.
otherwise impractical. Voluntary Reporting and recordkeeping
consensus standards are technical requirements. 40 CFR Part 1068
standards (e.g., materials specifications, 40 CFR Part 85 Environmental protection,
test methods, sampling procedures, and Administrative practice and procedure,
business practices) that are developed or Confidential business information, Confidential business information,
adopted by voluntary consensus Imports, Labeling, Motor vehicle Imports, Motor vehicle pollution,
standards bodies. NTTAA directs EPA pollution, Reporting and recordkeeping Penalties, Reporting and recordkeeping
to provide Congress, through OMB, requirements, Research, Warranties. requirements, Warranties.
explanations when the Agency decides 40 CFR Part 89 40 CFR Part 1074
not to use available and applicable
voluntary consensus standards. Environmental protection, Environmental protection,
This proposed rulemaking involves Administrative practice and procedure, Administrative practice and procedure,
Confidential business information, Motor vehicle pollution.
technical standards. EPA proposes to
use the test procedures specified in 40 Imports, Labeling, Motor vehicle Dated: April 17, 2007.
CFR part 1065, as described in Section pollution, Reporting and recordkeeping Stephen L. Johnson,
IX. While the Agency identified the test requirements, Research, Vessels, Administrator.
Warranty.
procedures specified by the For the reasons set out in the
International Organization for 40 CFR Part 90 preamble, title 40, chapter I of the Code
Standardization (ISO 8178) as being of Federal Regulations is proposed to be
potentially applicable, we do not Environmental protection, amended as set forth below.
propose to use it in this rulemaking. The Administrative practice and procedure,
use of this voluntary consensus Confidential business information, PART 60—STANDARDS OF
standard would be impractical because Imports, Labeling, Reporting and PERFORMANCE FOR NEW
we have been working with engine recordkeeping requirements, Research, STATIONARY SOURCES
manufacturers and other interested Warranty.
1. The authority citation for part 60
parties in comprehensive improvements 40 CFR Part 91 continues to read as follows:
to test procedures for measuring engine
Environmental protection, Authority: 42 U.S.C. 7401, et seq.
emissions, as reflected by the provisions
in part 1065. We expect these Administrative practice and procedure,
Subpart JJJJ—[Amended]
procedures to form the basis for Air pollution control, Confidential
internationally harmonized test business information, Imports, Labeling, 2. Section 60.4231 as proposed on
procedures that will be adopted by ISO, Penalties, Reporting and recordkeeping June 12, 2006 (71 FR 33804) is proposed
other testing organizations, and other requirements, Warranties. to be further amended by revising the
national governments. section heading and paragraphs (a), (b),
40 CFR Part 1027
and (c) and adding paragraph (e) to read
EPA welcomes comments on this
Environmental protection, as follows:
aspect of the proposed rulemaking and,
specifically, invites the public to Administrative practice and procedure, § 60.4231 What emission standards must I
identify potentially applicable voluntary Air pollution control, Imports, meet if I am a manufacturer of stationary SI
consensus standards and to explain why Reporting and recordkeeping internal combustion engines or equipment
such standards should be used in this requirements. containing such engines?
regulation. 40 CFR Parts 1045, 1048, 1051, 1054, (a) Stationary SI internal combustion
and 1060 engine manufacturers must certify their
List of Subjects stationary SI ICE with a maximum
40 CFR Part 60 Environmental protection, engine power less than or equal to 19
Administrative practice and procedure, KW (25 HP) manufactured on or after
Administrative practice and Air pollution control, Confidential January 1, 2008 to the certification
procedure, Air pollution control, business information, Imports, emission standards and other
Incorporation by reference, Incorporation by Reference, Labeling, requirements for new nonroad SI
Intergovernmental relations, Reporting Penalties, Reporting and recordkeeping engines in 40 CFR part 90 or 1054, as
and recordkeeping requirements. requirements, Warranties. follows:
the engine must meet emission standards and

If engine displacement is . . . and manufacturing dates are . . . related requirements for nonhandheld engines
under . . .
(1) below 225 cc ................................................ January 1, 2008 to December 31, 2011 .......... 40 CFR part 90.
(2) below 225 cc ................................................ January 1, 2012 or later ................................... 40 CFR part 1054.
(3) at or above 225 cc ....................................... January 1, 2008 to December 31, 2010 .......... 40 CFR part 90.
(4) at or above 225 cc ....................................... January 1, 2011 or later ................................... 40 CFR part 1054.
(b) Stationary SI internal combustion stationary SI internal combustion 90 or 40 CFR part 1054 must certify
engine manufacturers must certify their engines meeting the provisions of 40 their stationary SI ICE using the
stationary SI ICE with a maximum CFR part 1054 must meet the provisions certification procedures required in 40
engine power greater than 19 KW (25 of 40 CFR part 1060, subpart C, to the CFR part 90, subpart B, or 40 CFR part
HP) that use gasoline and that are extent they apply to equipment 1054, subpart C, as applicable, and must
manufactured on or after the applicable manufacturers. test their engines as specified in those
date in § 60.4230(a)(2) to the 4. Section 60.4239 as proposed on parts. Manufacturers of equipment
certification emission standards and June 12, 2006 (71 FR 33804) is revised containing stationary SI internal
other requirements for new nonroad SI to read as follows: combustion engines meeting the
engines in 40 CFR part 1048. Stationary provisions of 40 CFR part 1054 must
§ 60.4239 What are my compliance
SI internal combustion engine requirements if I am a manufacturer of meet the provisions of 40 CFR part
manufacturers may certify their stationary SI internal combustion engines 1060, subpart C, to the extent they apply
stationary SI ICE with a maximum >19 KW (25 HP) that use gasoline or a to equipment manufacturers.
engine power less than or equal to 30 manufacturer of equipment containing such 6. Section 60.4242 as proposed on
KW (40 HP) with a total displacement engines? June 12, 2006 (71 FR 33804) is amended
less than or equal to 1,000 cubic Stationary SI internal combustion by revising paragraphs (a) and (b) to
centimeters (cc) to the certification engine manufacturers who are subject to read as follows:
emission standards and other the emission standards specified in
§ 60.4242 What other requirements must I
requirements for new nonroad SI § 60.4231(b) must certify their stationary meet if I am a manufacturer of stationary SI
engines in 40 CFR part 90 or 1054, as SI ICE using the certification procedures internal combustion engines or equipment
appropriate. required in 40 CFR part 1048, subpart C, containing stationary SI internal
(c) Stationary SI internal combustion and must test their engines as specified combustion engines or a manufacturer of
engine manufacturers must certify their in that part. Stationary SI internal equipment containing such engines?
stationary SI ICE with a maximum combustion engine manufacturers who (a) Stationary SI internal combustion
engine power greater than 19 KW (25 certify their stationary SI ICE with a engine manufacturers must meet the
HP) that are rich burn engines that use maximum engine power less than or provisions of 40 CFR part 90, 40 CFR
LPG and that are manufactured on or equal to 30 KW (40 HP) with a total part 1048, or 40 CFR part 1054, as
after the applicable date in displacement less than or equal to 1,000 applicable, as well as 40 CFR part 1068
§ 60.4230(a)(2) to the certification cc to the certification emission for engines that are certified to the
emission standards and other standards and other requirements for emission standards in 40 CFR part 1048
requirements for new nonroad SI new nonroad SI engines in 40 CFR part or 1054, except that engines certified
engines in 40 CFR part 1048. Stationary 90 or 40 CFR part 1054 must certify pursuant to the voluntary certification
SI internal combustion engine their stationary SI ICE using the procedures in § 60.4241 are permitted to
manufacturers may certify their certification procedures required in 40 provide instructions to owners and
stationary SI ICE with a maximum CFR part 90, subpart B, or 40 CFR part operators allowing for deviations from
engine power less than or equal to 30 1054, subpart C, as applicable, and must certified configurations, if such
KW (40 HP) with a total displacement test their engines as specified in those deviations are consistent with the
less than or equal to 1,000 cc to the parts. Manufacturers of equipment provisions of paragraphs § 60.4241(c)
certification emission standards and containing stationary SI internal through (f). Manufacturers of equipment
other requirements for new nonroad SI combustion engines meeting the containing stationary SI internal
engines in 40 CFR part 90 or 1054, as provisions of 40 CFR part 1054 must combustion engines meeting the
appropriate. meet the provisions of 40 CFR part provisions of 40 CFR part 1054 must
* * * * * 1060, subpart C, to the extent they apply meet the provisions of 40 CFR part
(e) Manufacturers of equipment to equipment manufacturers. 1060, as applicable. Labels on engines
containing stationary SI internal 5. Section 60.4240 as proposed on certified to 40 CFR part 1048 must refer
combustion engines meeting the June 12, 2006 (71 FR 33804) is revised to stationary engines, rather than or in
provisions of 40 CFR part 1054 must to read as follows: addition to nonroad engines, as
meet the provisions of 40 CFR part appropriate.
§ 60.4240 What are my compliance
1060, to the extent they apply to requirements if I am a manufacturer of (b) An engine manufacturer certifying
equipment manufacturers. stationary SI internal combustion engines an engine family or families to
3. Section 60.4238 as proposed on >19 KW (25 HP) that are rich burn engines standards under this subpart that are
June 12, 2006 (71 FR 33804) is revised that use LPG? identical to standards applicable under
to read as follows: Stationary SI internal combustion 40 CFR part 90, 40 CFR part 1048, or 40
§ 60.4238 What are my compliance engine manufacturers who are subject to CFR part 1054 for that model year may
requirements if I am a manufacturer of the emission standards specified in certify any such family that contains
stationary SI internal combustion engines § 60.4231(c) must certify their stationary both nonroad and stationary engines as
≤19 KW (25 HP) or a manufacturer of SI ICE using the certification procedures a single engine family and/or may
equipment containing such engines? required in 40 CFR part 1048, subpart C, include any such family containing
Stationary SI internal combustion and must test their engines as specified stationary engines in the averaging,
engine manufacturers who are subject to in that part. Stationary SI internal banking and trading provisions
the emission standards specified in combustion engine manufacturers who applicable for such engines under those
§ 60.4231(a) must certify their stationary certify their stationary SI ICE with a parts. This provision also applies to
SI ICE using the certification procedures maximum engine power less than or equipment or component manufacturers
required in 40 CFR part 90, subpart B, equal to 30 KW (40 HP) with a total certifying to standards under 40 CFR
or 40 CFR part 1054, subpart C, as displacement less than or equal to 1,000 part 1060.
applicable, and must test their engines cc to the certification emission * * * * *
as specified in those parts. standards and other requirements for 7. Section 60.4243 as proposed on
Manufacturers of equipment containing new nonroad SI engines in 40 CFR part June 12, 2006 (71 FR 33804) is amended
by revising paragraph (a) to read as § 60.4246 What definitions apply to this Subpart A—[Amended]
follows: subpart?
* * * * * 12. Section 63.6675 as proposed to be
§ 60.4243 What are my compliance amended on June 12, 2006 (71 FR
requirements if I am an owner or operator Certified stationary internal 33804) is amended by revising the
of a stationary SI internal combustion combustion engine means an engine that definitions for ‘‘Certified stationary
engine? belongs to an engine family that has a RICE’’ and ‘‘Useful life’’ to read as
(a) If you are an owner or operator, certificate of conformity that complies follows:
you must operate and maintain the with the emission standards and
stationary SI internal combustion engine requirements in this part, or of 40 CFR § 63.6675 What definitions apply to this
part 90, 40 CFR part 1048, or 40 CFR subpart?
and control device according to the
manufacturer’s written instructions or part 1054, as appropriate. * * * * *
procedures developed by the owner or * * * * * Certified stationary RICE means an
operator that are approved by the engine Useful life means the period during engine that belongs to an engine family
manufacturer. In addition, owners and which the engine is designed to that has a certificate of conformity that
operators of certified engines may only properly function in terms of reliability complies with the emission standards
change those settings that are allowed and fuel consumption, without being and requirements in this part, or in 40
by the manufacturer to ensure remanufactured, specified as a number CFR parts 89, 90, 1039, 1048, or 1054,
compliance with the applicable of hours of operation or calendar years, as appropriate.
emission standards. If you own or whichever comes first. The values for * * * * *
operate a stationary SI internal useful life for stationary SI ICE with a Useful life means the period during
combustion engine that is certified to 40 maximum engine power less than or which the engine is designed to
CFR part 90, 1048, 1054, or 1060, you equal to 19 KW (25 HP) are given in 40 properly function in terms of reliability
must also meet the requirements of 40 CFR 90.105, 40 CFR 1054.107, and 40 and fuel consumption, without being
CFR parts 90, 1048, 1054, 1060, and/or CFR 1060.101, as appropriate. The remanufactured, specified as a number
part 1068, as they apply to you. values for useful life for stationary SI of hours of operation or calendar years,
* * * * * ICE with a maximum engine power whichever comes first. The values for
greater than 19 KW (25 HP) certified to useful life for stationary CI ICE with a
8. Section 60.4245 as proposed on
40 CFR part 1048 are given in 40 CFR displacement of less than 10 liters per
June 12, 2006 (71 FR 33804) is amended
1048.101(g). The useful life for cylinder are given in 40 CFR 1039.101.
by revising the introductory text and
stationary SI ICE with a maximum The values for useful life for stationary
paragraph (a) to read as follows:
engine power greater than 19 KW (25 CI ICE with a displacement of greater
§ 60.4245 What are my notification, HP) certified under the voluntary than or equal to 10 liters per cylinder
reporting, and recordkeeping requirements manufacturer certification program of and less than 30 liters per cylinder are
if I am an owner or operator of a stationary this subpart is 8,000 hours or 10 years, given in 40 CFR 94.9. The values for
SI internal combustion engine? useful life for stationary SI ICE with a
whichever comes first.
Owners or operators of stationary SI * * * * * maximum engine power less than or
ICE must meet the following equal to 25 HP are given in 40 CFR
notification, reporting and 10. Table 1 to subpart JJJJ of part 60 90.105, 40 CFR 1054.107, or 40 CFR
recordkeeping requirements. as proposed on June 12, 2006 (71 FR 1060.101, as appropriate. The values for
33804) is amended by revising footnote useful life for stationary SI ICE with a
(a) Owners and operators of all a to read as follows:
stationary SI ICE must keep records of maximum engine power greater than 25
the information in paragraphs (a)(1) Table 1 to Subpart JJJJ of Part 60—NOX, HP certified to 40 CFR part 1048 are
through (4) of this section. NMHC, and CO Emission Standards in given in 40 CFR 1048.101 and 1048.105.
g/HP-hr for Stationary SI Engines >25 The useful life for stationary SI ICE with
(1) All notifications submitted to a maximum engine power greater than
comply with this subpart and all HP (except Gasoline and Rich Burn
LPG Engines) 25 HP certified under the voluntary
documentation supporting any manufacturer certification program 40
notification. * * * * * CFR part 60, subpart JJJJ, is 8,000 hours
a Stationary
SI natural gas and lean burn
(2) Maintenance conducted on the or 10 years, whichever comes first.
engine. LPG engines between 25 and 50 HP may
comply with the requirements of 40 CFR part
(3) If the stationary SI internal PART 85—CONTROL OF AIR
1048, instead of this table. Stationary SI
combustion engine is a certified engine, internal combustion engine manufacturers
POLLUTION FROM MOBILE SOURCES
documentation from the manufacturer may certify their stationary SI ICE with a 13. The authority citation for part 85
that the engine is certified to meet the maximum engine power less than or equal to continues to read as follows:
emission standards and information as 30 KW (40 HP) with a total displacement less
required in 40 CFR parts 90, 1048, 1054, than or equal to 1,000 cc to the certification Authority: 42 U.S.C. 7401–7671q.
and 1060, as applicable. emission standards and other requirements
for new nonroad SI engines in 40 CFR part Subpart Q—[Removed]
(4) If the stationary SI internal 90 or 1054, as appropriate.
combustion engine is not a certified 14. Subpart Q is removed.
engine, documentation that the engine PART 63—NATIONAL EMISSION
meets the emission standards. STANDARDS FOR HAZARDOUS AIR Subpart R—[Amended]
* * * * * POLLUTANTS FOR SOURCE 15. Section 85.1713 is amended as

9. Section 60.4246 as proposed on CATEGORIES follows:
June 12, 2006 (71 FR 33804) is amended a. By revising the introductory text
by revising the definitions for ‘‘Certified 11. The authority citation for part 63 and paragraphs (a), (c)(3)(iv), and (d)
stationary internal combustion engine’’ continues to read as follows: through (k).
and ‘‘Useful life’’ to read as follows: Authority: 42 U.S.C. 7401 et seq. b. By adding paragraph (l).
c. By removing and reserving after installation in the vehicle, or if you § 90.1 Applicability.
paragraph (c)(3)(v). fail to comply with the requirements of * * * * *
this section. If we suspend or revoke the (d) * * *
§ 85.1713 Delegated-assembly exemption. exemption for any of your engine (1) Engines that are certified to meet
The provisions of this section apply families under this paragraph (g), this the requirements of 40 CFR part 1051,
with respect to heavy-duty highway exemption will not apply for future or are otherwise subject to 40 CFR part
engines. This section is addressed to certificates unless you demonstrate that 1051 (for example, engines used in
engine manufacturers unless specified the factors causing the nonconformity snowmobiles and all-terrain vehicles).
otherwise. do not apply to the other engine This part nevertheless applies to
(a) Shipping an engine separately families. We may suspend or revoke the engines used in recreational vehicles if
from an aftertreatment component that exemption for shipments to a single the manufacturer uses the provisions of
you have specified as part of its certified facility where final assembly occurs. 40 CFR 1051.145(a)(3) to exempt them
configuration will not be a violation of (2) We may void your exemption for from the requirements of 40 CFR part
the prohibitions in Clean Air Act the entire engine family if you 1051. Compliance with the provisions of
section 203 (42 U.S.C. 7522) if you intentionally submit false or incomplete this part is a required condition of that
follow the provisions of paragraph (b), information or fail to keep and provide exemption.
(c), or (d) of this section. to EPA the records required by this * * * * *
* * * * * section. (5) Engines certified to meet the
(c) * * * (i) You are liable for the in-use requirements of 40 CFR part 1048, or are
(3) * * * compliance of any engine that is exempt otherwise subject to 40 CFR part 1048,
(iv) Audits must involve the under this section. subject to the provisions of § 90.913.
assembling companies’ facilities, (j) It is a violation of the Act for any * * * * *
procedures, and production records to person to introduce into U.S. commerce (8) Engines that are subject to
monitor their compliance with your a previously exempted engine, emission standards under 40 CFR part
instructions, must include investigation including as part of a vehicle, without 1054. See 40 CFR 1054.1 to determine
of some assembled engines, and must complying fully with the installation when part 1054 applies. Note that
confirm that the number of instructions. certain requirements and prohibitions
aftertreatment devices shipped were (k) [Reserved] apply to engines built on or after
sufficient for the number of engines (l) You may ask us to provide a January 1, 2009 if they are installed in
produced. temporary exemption to allow you to equipment that will be used solely for
* * * * * complete production of your engines at competition, as described in 40 CFR
(d) If you manufacture engines and different facilities, as long as you 1054.1 and 40 CFR 1068.1; those
install them in equipment you also maintain control of the engines until provisions apply instead of the
produce, you must take steps to ensure they are in their certified configuration. provisions of this part 90.
that your facilities, procedures, and We may require you to take specific * * * * *
production records are set up to ensure steps to ensure that such engines are in (h) Although the definition of
that equipment and engines are their certified configuration before nonroad engine in § 90.3 excludes
assembled in their proper certified reaching the ultimate purchaser. You certain engines used in stationary
configurations. You may demonstrate may request an exemption under this applications, stationary engines
compliance with the requirements of paragraph (l) in your application for manufactured after January 1, 2008 are
this section by maintaining a database certification, or in a separate required under 40 CFR part 60 to
showing how you pair aftertreatment submission. comply with this part.
components with the appropriate 16. Subpart Y is revised to read as 19. Section 90.2 is amended by
engines. follows: adding paragraph (d) to read as follows:
(e) The engine’s model year does not § 90.2 Effective dates.
change based on the date the vehicle Subpart Y—Fees for the Motor Vehicle
manufacturer adds the aftertreatment and Engine Compliance Program * * * * *
(d) Engines used in emergency and
device.
§ 85.2401 Assessment of fees. rescue equipment as described in
(f) Once the vehicle manufacturer
See 40 CFR part 1027 for the § 90.1(d)(7) are subject to the provisions
takes possession of an engine exempted
applicable fees associated with of this part through December 31, 2009.
under this section and the engine
certifying engines, vehicles, and Starting January 1, 2010 the provisions
reaches the point of final vehicle
equipment under this chapter. in 40 CFR 1054.660 apply instead of
assembly, the exemption expires and
those in § 90.1(d)(7).
the engine is subject to all the
PART 90—CONTROL OF EMISSIONS 20. Section 90.3 is amended by
prohibitions in Clean Air Act section
FROM NONROAD SPARK-IGNITION adding a definition for ‘‘Fuel line’’ in
203 (42 U.S.C. 7522).
ENGINES AT OR BELOW 19 alphabetical order to read as follows:
(g) You must notify us within 15 days
if you find from an audit or another KILOWATTS § 90.3 Definitions.
source that a vehicle manufacturer has 17. The authority citation for part 90 * * * * *
failed to meet its obligations under this continues to read as follows: Fuel line has the meaning given in 40
section. CFR 1054.801.
Authority: 42 U.S.C. 7401—7671q.
(h) We may suspend, revoke, or void
* * * * *
an exemption under this section, as Subpart A—[Amended] 21. Section 90.7 is amended by
follows: adding paragraph (b)(3) to read as
(1) We may suspend or revoke your 18. Section 90.1 is amended by follows:
exemption for the entire engine family revising paragraphs (d)(1) and (d)(5) and
if we determine that any of the engines adding paragraphs (d)(8) and (h) to read § 90.7 Reference materials.
are not in their certified configuration as follows: * * * * *
(b) * * * incorporated by reference. The first reference it. Anyone may get copies of
(3) California Air Resources Board column lists the number and name of these materials from the California Air
material. The following table lists the material. The second column lists Resources Board, 9528 Telstar Ave., El
material from the California Air the sections of this part where we Monte, California 91731.
Resources Board that we have
Part 90
Document number and name reference
‘‘Tier 3 standards for Small Off-Road Engines,’’ Mobile Source Division, California Air Resources Board ...................................... § 90.127
Subpart B—[Amended] enforcement audit, as specified in as an alternate test procedure without

subpart F of this part. getting advance approval by the
22. Section 90.101 is revised to read * * * * * Administrator or meeting the other
as follows: 24. Section 90.114 is amended by conditions of paragraph (b)(1) of this
§ 90.101 Applicability. adding paragraph (g) to read as follows: section. The manufacturer must identify
in its application for certification that
(a) The requirements of this subpart B § 90.114 Requirement of certification— the engines were tested using the
are applicable to all nonroad engines engine information label. procedures in 40 CFR part 1065. For any
and vehicles subject to the provisions of * * * * * EPA testing with Phase 1 or Phase 2
subpart A of this part. (g) Manufacturers may add engines, EPA will use the
(b) In a given model year, you may ask appropriate features to prevent manufacturer’s selected procedures for
us to approve the use of procedures for counterfeit labels. For example, mapping engines, generating duty
certification, labeling, reporting, and manufacturers may include the engine’s cycles, and applying cycle-validation
recordkeeping specified in 40 CFR part unique identification number on the criteria. For any other parameters, EPA
1054 or 1068 instead of the comparable label. may conduct testing using either of the
procedures specified in this part 90. We 25. Section 90.116 is amended as specified procedures.
may approve the request as long as it follows: * * * * *
does not prevent us from ensuring that a. By revising paragraphs (a) 27. A new § 90.127 is added to
you fully comply with the intent of this introductory text and (d)(5). subpart B to read as follows:
part. b. By removing and reserving
23. Section 90.107 is amended by paragraph (e)(1). § 90.127 Fuel line permeation from
revising paragraph (d)(11)(ii) and adding c. By adding paragraph (g). nonhandheld engines and equipment.
paragraphs (d)(12), (d)(13), (d)(14), and The following permeation standards
(d)(15) to read as follows: § 90.116 Certification procedure— apply to new nonhandheld engines and
determining engine displacement, engine equipment with respect to fuel lines:
§ 90.107 Application for certification. class, and engine families.
(a) Emission standards and related
* * * * * (a) Except as specified in paragraph requirements. New nonhandheld
(d) * * * (g) of this section, engine displacement engines and equipment that run on a
(11) * * * must be calculated using nominal volatile liquid fuel (such as gasoline)
engine values and rounded to the must meet the emission standards
(ii) Provide the applicable useful life
nearest whole cubic centimeter in specified in paragraph (a)(1) or (a)(2) of
as determined under § 90.105;
accordance with ASTM E29–93a. This this section starting in the 2009 model
(12) Describe in your application for procedure has been incorporated by
certification how you comply with the year for small-volume engine
reference. See § 90.7. manufacturers and small-volume
requirements of §§ 90.127 and 90.129, if
applicable. * * * * * equipment manufacturers (as defined in
(d) * * * 40 CFR 1054.801), and in the 2008
(13) A statement indicating whether
(5) The engine class. In addition, model year for all other engines and
the engine family contains only nonroad
engines of different displacements that equipment, as follows:
engines, only stationary engines, or
are within 15 percent of the largest (1) New nonhandheld engines and
both;
displacement may be included within equipment must use only fuel lines that
(14) Identification of an agent for meet a permeation emission standard of
the same engine family as long as all the
service located in the United States. 15 g/m2/day when measured according
engines are in the same class;
Service on this agent constitutes service to the test procedure described in 40
on you or any of your officers or * * * * *
(g) Each engine produced under the CFR 1060.515. This standard applies to
employees for any action by EPA or any fuel line that is exposed to liquid
otherwise by the United States related to provisions of § 90.1(b) must have a total
displacement at or below 1000.0 cc after fuel during normal operation.
the requirements of this part; and (2) Alternatively, new nonhandheld
(15) For imported engines, rounding to the nearest 0.1 cc.
26. Section 90.120 is amended by engines and equipment must use only
identification of the following: fuel lines that meet standards that apply
adding paragraph (b)(3) to read as
(i) The port(s) at which the for these engines in California for the
follows:
manufacturer will import the engines. same model year (the California
(ii) The names and addresses of the § 90.120 Certification procedure—use of standards are incorporated by reference
agents authorized to import the engines. special test procedures. in § 90.7). This may involve SHED-
(iii) The location of test facilities in * * * * * based measurements for equipment or
the United States where the (b) * * * testing with fuel lines alone. If this
manufacturer can test engines if EPA (3) A manufacturer may elect to use involves SHED-based measurements, all
selects them for testing under a selective the test procedures in 40 CFR part 1065 elements of the emission-control system
must remain in place for fully (iii) Category 1 specifications in SAE and equipment that run on a volatile
assembled engines and equipment. J2260 (incorporated by reference in liquid fuel (such as gasoline) and have
(3) The emission standards in this § 90.7). been certified to meet applicable fuel
section apply with respect to discrete (iv) Emission data demonstrating tank permeation standards in California
fuel line segments of any length. compliance with the fuel line must meet one of the following emission
Compliance may also be demonstrated permeation standards in 40 CFR standards starting in the 2009 model
using aggregated systems that include 1051.110. year, as follows:
multiple sections of fuel line with (c) Prohibitions. (1) Except as (i) Engines and equipment must use
connectors, and fittings. The standard specified in paragraph (c)(2) of this only fuel tanks that meet a permeation
applies with respect to the total section, introducing engines or emission standard of 2.0 g/m2/day when
permeation emissions divided by the equipment into U.S. commerce without measured according to the applicable
wetted internal surface area of the meeting all the requirements of this test procedure specified by the
assembly. Where it is not practical to section violates § 90.1003(a)(1). California Air Resources Board.
determine the wetted internal surface (2) It is not a violation to introduce (ii) Engines and equipment must use
area of the assembly, the internal your engines into U.S. commerce if only fuel tanks that meet the fuel tank
surface area per unit length of the other companies add fuel lines when permeation standards in 40 CFR
assembly may be assumed to be equal to installing your engines in their 1060.103.
the ratio of internal surface area per unit equipment. However, you must give (iii) Engines and equipment must use
length of the hose section of the equipment manufacturers any only fuel tanks that meet standards that
assembly. appropriate instructions so that fully apply for these engines in California for
assembled equipment will meet all the the same model year. This may involve
(4) The emission standards in this
requirements in this section, as SHED-based measurements for
section apply over a useful life of five
described in § 90.128. equipment or testing with fuel tanks
years. 28. A new § 90.128 is added to
(5) Fuel lines must be labeled in a alone. If this involves SHED-based
subpart B to read as follows: measurements, all elements of the
permanent and legible manner with one
of the following approaches: § 90.128 Installation instructions. emission-control system must remain in
(i) By meeting the labeling (a) If you sell an engine for someone place for fully assembled engines and
requirements that apply for these else to install in a piece of nonroad equipment.
engines in California. (2) Engine and equipment
equipment, give the engine installer
(ii) By identifying the certificate manufacturers may generate or use
instructions for installing it consistent
holder’s corporate name or trademark, emission credits to show compliance
with the requirements of this part.
or the fuel line manufacturer’s corporate with the requirements of this section
Include all information necessary to
name or trademark, and the fuel line’s ensure that an engine will be installed under the averaging program as
permeation level. For example, the fuel in its certified configuration. In described in 40 CFR part 1054, subpart
line may identify the emission standard particular, describe the steps needed to H.
(3) The emission standards in this
from this section, the applicable SAE control evaporative emissions, as
section apply over a useful life of two
classification, or the family number described in § 90.127. This may include
years.
identifying compliance with California information related to the delayed (4) Equipment must be labeled in a
standards. A continuous stripe or other requirements for small-volume
permanent and legible manner with one
pattern may be added to help identify equipment manufacturers.
of the following approaches:
the particular type or grade of fuel line. (b) You do not need installation
(i) By meeting the labeling
(6) The requirements of this section instructions for engines you install in
requirements that apply for equipment
do not apply to auxiliary marine your own equipment.
(c) Provide instructions in writing or in California.
engines. (ii) By identifying the certificate
(b) Certification requirements. To in an equivalent format. For example,
holder’s corporate name or trademark,
certify that you meet the standards of you may post instructions on a publicly
or the fuel tank manufacturer’s
this section, you must have emission available website for downloading or
corporate name or trademark. Also
data from your testing or from the fuel printing. If you do not provide the
identify the family number identifying
line manufacturer using the appropriate instructions in writing, explain in your
compliance with California standards or
procedures that demonstrate application for certification how you
state: ‘‘THIS FUEL TANK COMPLIES
compliance with the standard, will ensure that each installer is
WITH U.S. EPA STANDARDS.’’ This
including any of the following: informed of the installation
label may be applied to the fuel tank or
(1) Emission data demonstrating requirements.
(d) Equipment manufacturers failing it may be combined with the emission
compliance with fuel line permeation control information label required in
requirements for model year 2008 to follow the engine manufacturer’s
emission-related installation § 90.114. If the label information is not
equipment sold in California. You may on the fuel tank, the label must include
satisfy this requirement by presenting instructions will be considered in
violation of § 90.1003(a)(3). a part identification number that is also
an approved Executive Order from the permanently applied to the fuel tank.
29. A new § 90.129 is added to
California Air Resources Board showing (5) The requirements of this section
subpart B to read as follows:
that the fuel lines meet the applicable do not apply to engines or equipment
standards in California. § 90.129 Fuel tank permeation from with structurally integrated nylon fuel
(2) Emission data demonstrating a handheld engines and equipment. tanks (as defined in 40 CFR 1054.801).
level of permeation control that meets The following permeation standards (b) Certification requirements. To
any of the following industry standards: apply to certain new handheld engines certify that you meet the standards of
(i) R11A specifications in SAE J30 and equipment with respect to fuel this section, you must have emission
(incorporated by reference in § 90.7). tanks: data from your testing or from the fuel
(ii) R12 specifications in SAE J30 (a) Emission standards and related tank manufacturer using the appropriate
(incorporated by reference in § 90.7). requirements. (1) New handheld engines procedures that demonstrate
compliance with the standard. You may www.epa.gov/OTAQ/imports/ or by enforcement, or recall actions under the
satisfy this requirement by presenting phone at 734–214–4100. Importers must Clean Air Act.
an approved Executive Order from the keep the forms for five years and make
California Air Resources Board showing them available promptly upon request. Subpart L—[Amended]
that the fuel tanks meet the applicable 33. A new § 90.616 is added to 37. Section 90.1103 is amended by
standards in California. subpart G to read as follows: adding paragraph (e) to read as follows:
(c) Prohibitions. Introducing
§ 90.616 Model year restrictions related to § 90.1103 Emission warranty, warranty
equipment into U.S. commerce without imported engines and equipment.
meeting all the requirements of this period.
The provisions of 40 CFR 1054.695
section violates § 90.1003(a)(1). * * * * *
apply starting January 1, 2009. These (e) Starting with the 2009 model year,
Subpart C—[Amended] provisions limit the importation of you must meet the conditions specified
engines or equipment after new in 40 CFR 1054.120(f) to ensure that
30. Section 90.201 is revised to read emission standards have started to owners will be able to promptly obtain
as follows: apply where the engines or equipment warranty repairs. Describe in your
were built before the emission standards application for certification how you
§ 90.201 Applicability.
took effect. will meet these conditions.
(a) The requirements of this subpart C
are applicable to all Phase 2 spark- Subpart J—[Amended] PART 91— CONTROL OF EMISSIONS
ignition engines subject to the
34. Section 90.910 is amended by FROM MARINE SPARK-IGNITION
provisions of subpart A of this part
adding paragraph (c) to read as follows: ENGINES
except as provided in § 90.103(a). These
provisions are not applicable to any § 90.910 Granting of exemptions. 38. The authority citation for part 91
Phase 1 engines. Participation in the continues to read as follows:
* * * * *
averaging, banking and trading program (c) Manufacturers may ask EPA to Authority: 42 U.S.C. 7401—7671q.
is voluntary, but if a manufacturer elects apply the provisions of 40 CFR
to participate, it must do so in 1068.201(i) to engines exempted or Subpart A—[Amended]
compliance with the regulations set excluded under this subpart.
forth in this subpart. The provisions of 39. Section 91.1 is amended by
this subpart are applicable for HC+NOX adding paragraph (d) to read as follows:
Subpart K—[Amended]
(NMHC+NOX) emissions but not for CO § 91.1 Applicability.
emissions. 35. Section 90.1003 is amended by
revising paragraph (b)(3) to read as * * * * *
(b) See 40 CFR 1054.740 for special (d) This part does not apply to
provisions for using emission credits follows:
engines that are subject to emission
generated under this part 90 from Phase § 90.1003 Prohibited acts. standards under 40 CFR part 1045. See
2 engines to demonstrate compliance 40 CFR 1045.1 to determine when that
* * * * *
with engines certified under 40 CFR part 1045 applies. Note that certain
(b) * * *
part 1054. (3) The following provisions apply for requirements and prohibitions apply to
31. Section 90.210 is amended by converting nonroad engine to use engines built on or after January 1, 2009
adding paragraph (i) to read as follows: alternative fuels: if they are installed in equipment that
§ 90.210 End-of-year and final reports. (i) Until December 31, 2009, will be used solely for competition, as
converting an engine to use a clean described in 40 CFR 1045.1 and 40 CFR
* * * * *
alternative fuel (as defined in Title II of 1068.1; those provisions apply instead
(i) For 2007 and later model years,
the Act) is not considered a prohibited of the provisions of this part 91.
include in your end-of-year and final
act under § 90.1003(a) if the vehicle or
reports an accounting to show a separate Subpart B—[Amended]
equipment complies with the applicable
balance of emission credits for handheld
standard when operating on the 40. Section 91.101 is revised to read
and nonhandheld engines. Use your
alternative fuel, and the device or as follows:
best judgment to differentiate your
element is replaced upon completion of
current balance of banked credits for
the conversion procedure. Also, in the § 91.101 Applicability.
handheld and nonhandheld engines.
case of engines converted to dual fuel or (a) The requirements of this subpart B
You may exchange handheld and
flexible use, the action must result in are applicable to all engines subject to
nonhandheld credits to demonstrate
the proper functioning of the device or the provisions of subpart A of this part.
compliance with the requirements of
element when the nonroad engine (b) In a given model year, you may ask
this part 90. However, emission credits
operates on conventional fuel. us to approve the use of procedures for
you generate for banking under this part (ii) The provisions of 40 CFR certification, labeling, reporting, and
90 will be restricted for engines subject 1054.635 apply starting January 1, 2010. recordkeeping specified in 40 CFR part
to the requirements of 40 CFR part 1054.
* * * * * 1045 or 1068 instead of the comparable
Subpart G—[Amended] 36. A new § 90.1007 is added to procedures specified in this part 91. We
subpart K to read as follows: may approve the request as long as it
32. Section 90.601 is amended by does not prevent us from ensuring that
adding paragraph (c) to read as follows: § 90.1007 Bonding requirements related to you fully comply with the intent of this
recall and compliance assurance.
part.
§ 90.601 Applicability. The provisions of 40 CFR 1054. 685 41. Section 91.107 is amended by
* * * * * and 1054.690 apply starting with the adding paragraph (d)(12) to read as
(c) Importers must complete the 2009 model year. These provisions follows:
appropriate EPA declaration form before include measures to ensure that
importing an engine. These forms are certifying manufacturers are able to § 91.107 Application for certification.
available on the Internet at http:// cover any potential compliance, * * * * *
(d) * * * PART 1027—FEES FOR ENGINE, regulate under 40 CFR part 90, 1054, or
(12) Identification of an agent for VEHICLE, AND EQUIPMENT 1060. We refer to these as Small SI
service located in the United States. COMPLIANCE PROGRAMS engines.
Service on this agent constitutes service (3) The following stationary internal
Sec. combustion engines:
on you or any of your officers or 1027.101 To whom do these requirements
employees for any action by EPA or (i) Stationary compression-ignition
apply?
otherwise by the United States related to 1027.105 How much are the fees? engines we certify under 40 CFR part
the requirements of this part. 1027.110 What special provisions apply for 60, subpart IIII.
certification related to motor vehicles? (ii) Stationary spark-ignition engines
* * * * *
1027.115 What special provisions apply for we certify under 40 CFR part 60, subpart
42. Section 91.119 is amended by certification related to nonroad and JJJJ.
adding paragraph (b)(3) to read as stationary engines? (b) This part applies to applications
follows: 1027.120 Can I qualify for reduced fees? for certification that we receive on or
1027.125 Can I get a refund?
§ 91.119 Certification procedure—use of
after [EFFECTIVE DATE FOR FINAL
1027.130 How do I make a fee payment?
special test procedures. 1027.135 What provisions apply to a RULE]. Earlier applications are subject
deficient filing? to the provisions of 40 CFR part 85,
* * * * *
1027.140 What reporting and recordkeeping subpart Y, as that provision read prior
(b) * * * requirements apply under this part? to [EFFECTIVE DATE FOR FINAL
(3) A manufacturer may elect to use 1027.150 What definitions apply to this RULE].
the test procedures in 40 CFR part 1065 subpart? (c) Nothing in this part limits our
1027.155 What abbreviations apply to this authority to conduct testing or to require
as an alternate test procedure without subpart?
getting advance approval by the you to conduct testing as provided in
Administrator or meeting the other Authority: 42 U.S.C. 7401—7671q. the Act, including our authority to
conditions of paragraph (b)(1) of this require you to conduct in-use testing
§ 1027.101 To whom do these
section. The manufacturer must identify requirements apply?
under section 208 of the Act (42 U.S.C.
in its application for certification that 7542).
(a) This part prescribes fees
the engines were tested using the (d) Paragraph (a) of this section
manufacturers must pay for activities
procedures in 40 CFR part 1065. For any identifies the parts of the CFR that
related to EPA’s engine, vehicle, and
EPA testing with engines subject to define emission standards and other
equipment compliance program
standards under this part, EPA will use requirements for particular types of
(EVECP). This includes activities related
the manufacturer’s selected procedures engines and vehicles. This part 1027
to approving certificates of conformity
for mapping engines, generating duty refers to each of these other parts
and performing tests and taking other
cycles, and applying cycle-validation generically as the ‘‘standard-setting
steps to verify compliance with
criteria. For any other parameters, EPA part.’’ For example, 40 CFR part 1051 is
emission standards. You must pay fees
may conduct testing using either of the always the standard-setting part for
as described in this part if you are a
specified procedures. recreational vehicles. For some nonroad
manufacturer of any of the following
* * * * * engines, we allow for certification
products:
(1) Motor vehicles and motor vehicle related to evaporative emissions
Subpart K—[Amended] engines we regulate under 40 CFR part separate from exhaust emissions. In this
86. This includes light-duty vehicles, case, 40 CFR part 1060 is the standard-
43. Section 91.1010 is amended by light-duty trucks, medium-duty setting part for the equipment or fuel
adding paragraph (c) to read as follows: passenger vehicles, highway system components you produce.
§ 91.1010 Granting of exemptions. motorcycles, and heavy-duty highway § 1027.105 How much are the fees?
* * * * * engines and vehicles. (a) Fees are determined based on the
(2) The following nonroad engines date we receive a complete application
(c) Manufacturers may ask EPA to and equipment:
apply the provisions of 40 CFR for certification. Each reference to a year
(i) Locomotives and locomotive
1068.201(i) to engines exempted or in this subpart refers to the calendar
engines we regulate under 40 CFR part
excluded under this subpart. year, unless otherwise specified.
92 or 1033.
(ii) Nonroad compression-ignition Paragraph (b) of this section specifies
44. A new § 91.1013 is added to baseline fees, which applied for
subpart K to read as follows: engines we regulate under 40 CFR part
89 or 1039. certificates received in 2005. For engine
§ 91.1013 Exemption for certified Small SI (iii) Marine compression-ignition and vehicles not yet subject to standards
engines. engines we regulate under 40 CFR part in 2005, these values represent the fees
94 or 1042. that apply initially based on available
The provisions of 40 CFR 1045.605 information to characterize what the
(iv) Marine spark-ignition engines and
apply for engines subject to the fees would have been in 2005. See
vessels we regulate under 40 CFR part
standards of this part 91. This generally paragraph (c) of this section for
91, 1045, or 1060. We refer to these as
allows manufacturers to use marine provisions describing how we calculate
Marine SI engines.
engines that have been certified to fees for future years.
(v) Nonroad spark-ignition engines
emission standards for nonroad spark- (b) The following baseline fees for
above 19 kW we regulate under 40 CFR
ignition engines below 19 kW without each application for certification:
part 1048. We refer to these as Large SI
recertifying those engines under this (1) Except as specified in paragraph

engines.
part 91. (vi) Recreational vehicles we regulate (b)(2) of this section for Independent
45. A new part 1027 is added to under 40 CFR part 1051. Commercial Importers, the following
subchapter U of chapter I to read as (vii) Nonroad spark-ignition engines fees apply for motor vehicles and motor
follows: and equipment at or below 19 kW we vehicle engines:
Category Certificate type Fee
(i) Light-duty vehicles and trucks ................................................................................. Federal ...................................................... $33,883

(ii) Light-duty vehicles and trucks ................................................................................ California-only ........................................... 16,944
(iii) Medium-duty passenger vehicles ........................................................................... Federal ...................................................... 33,883
(iv) Medium-duty passenger vehicles .......................................................................... California-only ........................................... 16,944
(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 vehicles ............................................................... Federal ...................................................... 33,883
(ix) Complete heavy-duty highway vehicles ................................................................. California-only ........................................... 16,944
(x) Heavy-duty vehicle .................................................................................................. Evap .......................................................... 826
(2) A fee of $8,387 applies for (i) Light-duty vehicles and light-duty (3) The following fees apply for
Independent Commercial Importers trucks. nonroad and stationary engines,
with respect to the following motor (ii) Medium-duty passenger vehicles. vehicles, equipment, and components:
vehicles: (iii) Complete heavy-duty highway
vehicles.
Category Certificate type Fee
(i) Locomotives and locomotive engines ...................................................................... All .............................................................. $826

(ii) Marine compression-ignition engines and stationary compression-ignition en- All, including Annex VI .............................. 826
gines with per-cylinder displacement at or above 10 liters.
(iii) Other nonroad compression-ignition engines and stationary compression-igni- All .............................................................. 1,822
tion engines with per-cylinder displacement below 10 liters.
(iv) Large SI engines .................................................................................................... All .............................................................. 826
(v) Marine SI engines and Small SI engines ............................................................... Exhaust only ............................................. 826
(vi) Recreational vehicles ............................................................................................. Exhaust (or combined exhaust and evap) 826
(vii) Stationary spark-ignition engines .......................................................................... Exhaust (or combined exhaust and evap) 826
(viii) Equipment and fuel system components associated with nonroad and sta- Evap (where separate certification is re- 241
tionary spark-ignition engines. quired).
(c) We will calculate adjusted fees for Op = operating costs are all of EPA’s (ii) Use the following equation for all
later years based on changes in the nonlabor costs for each category’s other certificates for 2006 and later:
Consumer Price Index and the number compliance program, including any fixed Certificate FeeCY = [Op + L · (CPICY-2/
of certificates. We will announce costs associated with EPA’s testing CPI2002)] · 1.169/[(cert#MY-2 +
laboratory, as described in paragraph
adjusted fees for a given year by January cert#MY-3) · 0.5]
(d)(1) of this section.
31 of the preceding year. L = the labor costs, to be adjusted by the Where:
(1) We will adjust the values specified Consumer Price Index, as described in CPI2002 = 180.9. This is based on the
in paragraph (b) of this section for later paragraph (d)(1) of this section. December 2002 value of the Consumer
years as follows: CPICY-2 = the Consumer Price Index for the Price Index as described in paragraph
month of November two years before the (d)(2) of this section.
(i) Use the fee identified in applicable calendar year, as described in
§ 1027.105(b)(3) through 2014 for paragraph (d)(2) of this section. (2) The fee for any year will remain
certification related to evaporative CPI2006 = 201.8. This is based on the October at the previous year’s amount until the
emissions from nonroad and stationary 2006 value of the Consumer Price Index. value calculated in paragraph (c)(1) of
engines when a separate fee applies for OH = 1.169. This is based on EPA overhead, this section differs by at least $50 from
certification to evaporative emission which is applied to all costs. the amount specified for the previous
standards. Use the following equation cert#MY-2 = the total number of certificates year.
starting with 2015: issued for a fee category in the model (d) Except as specified in
year two years before the calendar year § 1027.110(a) for motor vehicles and
Certificate FeeCY = [(Op + L) · (CPICY-2/ for the applicable fees as described in motor vehicle engines, we will use the
CPI2006)] · 1.169/[(cert#MY-2 + paragraph (d)(3) of this section.
following values to determine adjusted
cert#MY-3) · 0.5] cert#MY-3 = the total number of certificates
issued for a fee category in the model fees using the equation in paragraph (c)
Where: year three years before the calendar year of this section:
Certificate FeeCY = Fee per certificate for a for the applicable fees as described in (1) The following values apply for
given year. paragraph (d)(3) of this section. operating costs and labor costs:
Engine or vehicle category Op L
(i) Light-duty, medium-duty passenger, and complete heavy-duty highway vehicle certification ........................... $3,322,039 $2,548,110
(ii) Light-duty, medium-duty passenger, and complete heavy-duty highway vehicle in-use testing ....................... 2,858,223 2,184,331
(iii) Independent Commercial Importers identified in § 1027.105(b)(2) ................................................................... 344,824 264,980

(iv) Highway motorcycles ......................................................................................................................................... 225,726 172,829
(v) Heavy-duty highway engines ............................................................................................................................. 1,106,224 1,625,680
(vi) Nonroad compression-ignition engines ............................................................................................................. 486,401 545,160
(vii) Evaporative certificates related to nonroad and stationary engines ................................................................ 5,039 236,670
(viii) All other ............................................................................................................................................................ 177,425 548,081
(2) The applicable Consumer Price number of certificates issued will be the for exhaust and evaporative emissions
Index is based on the values published total number of federal light-duty, for each respective fee category.
by the Bureau of Labor Statistics for all medium-duty passenger, and complete (c) For manufacturers certifying other
U.S. cities using the ‘‘U.S. city average’’ heavy-duty highway vehicle certificates spark-ignition engines or equipment
area, ‘‘all items,’’ and ‘‘not seasonally issued during the appropriate model with respect to exhaust and evaporative
adjusted’’ numbers (see ftp://ftp.bls.gov/ years. emission standards, a separate fee from
pub/special.requests/cpi/cpiai.txt). For (iii) Add the certification and in-use the appropriate fee category applies for
example, we calculated the 2006 fees testing portions determined in each unique family. A single engine or
using the Consumer Price Index for paragraphs (a)(2)(i) and (ii) of this piece of equipment may involve
November 2004, which is 191.0. section to determine the total light-duty, separate emission families and
(3) Fee categories for counting the medium-duty passenger, and complete certification fees for exhaust and
number of certificates issued are based heavy-duty highway vehicle fee for each evaporative emissions. Also, the number
on the grouping shown in paragraph federal certificate. of certificates issued as specified in
(d)(1) of this section. (b) For light-duty vehicles, light-duty § 1027.105(d)(3) is based on a separate
(e) The following example for trucks, medium-duty passenger count of emission families for exhaust
calculating the 2006 complete federal vehicles, highway motorcycles, and and evaporative emissions for each
heavy duty highway vehicle fee complete heavy-duty highway vehicles respective fee category.
illustrates the fee adjustment: subject to exhaust emission standards, (d) For any certification related to
the number of certificates issued as evaporative emissions from engines,
Op = $1,106,224
specified in § 1027.105(d)(3) is based equipment, or components not covered
L = $1,625,680
CPI2002 = 180.9 only on engine families with respect to by paragraph (a) through (c) of this
CPI2004 = 191.0 exhaust emissions. A separate fee section, the fee applies for each certified
cert#2004 = 131 applies for each evaporative family for product independent of certification for
cert#2003 = 95 heavy-duty engines. exhaust emissions, as illustrated in the
Fee06 = [$1,106,224 + $1,625,680 · (c) If you manufacture a heavy-duty following examples:
(191.0/180.9)] · 1.169/[(131+95) · vehicle that another company has (1) A fuel tank certified to meet
0.5] = $29,200.88 certified as an incomplete vehicle such permeation and diurnal emission
Assessed Fee = $29,201 that you exceed the maximum fuel tank standards would count as a single
size specified by the original family for assessing the certification fee
§ 1027.110 What special provisions apply and for calculating fee amounts for
manufacturer in the applicable
for certification related to motor vehicles? future years.
certificate of conformity, you must
(a) We will adjust fees for 2006 and submit a new application for (2) If an equipment manufacturer
later years for light-duty, medium-duty certification and certification fee for the applies for certification to generate or
passenger, and complete heavy-duty vehicle. use emission credits for fuel, tanks and
highway vehicles as follows: fuel lines, each affected fuel-tank and
(1) California-only certificates. § 1027.115 What special provisions apply fuel-line family would count as a single
Calculate adjusted fees for California- for certification related to nonroad and family for assessing the certification fee
only certificates by applying the light- stationary engines? and for calculating fee amounts for
duty, medium-duty passenger, and (a) For nonroad spark-ignition engines future years. This fee applies whether or
complete heavy-duty highway vehicle above 19 kW that we regulate under 40 not the equipment manufacturer is
certification Op and L values to the CFR part 1048 and for all compression- applying for certification to demonstrate
equation in § 1027.105(c). The total ignition engines, the applicable fee is compliance with another emission
number of certificates issued will be the based only on engine families with standard, such as running losses.
total number of California-only and respect to exhaust emissions. (e) If you certify fuel system
federal light-duty, medium-duty (b) For manufacturers certifying components under 40 CFR part 1060, a
passenger, and complete heavy-duty recreational vehicles with respect to single fee applies for each emission
highway vehicle certificates issued both exhaust and evaporative emission family even if those components are
during the appropriate model years. standards, fees are determined using used with different types of nonroad or
(2) Federal certificates. Calculate one of the following approaches: stationary engines.
adjusted fees for federal certificates with (1) If your engine family includes (f) If your application for certification
the following three steps: demonstration of compliance with both relates to emission standards that apply
(i) Apply the light-duty, medium-duty exhaust and evaporative emission only in California, you must pay the
passenger, and complete heavy-duty standards, the applicable fee is based on same fee identified for meeting EPA
highway vehicle certification Op and L certification related to the combined standards.
values to the equation in § 1027.105(c) family. No separate fee applies for (g) For marine compression-ignition
to determine the certification portion of certification with respect to evaporative engines, if you apply for a federal
the light-duty fee. The total number of emission standards. These are all certificate and an Annex VI certificate
certificates issued will be the total considered engine families complying for the same engine family, a single fee
number of California-only and federal with exhaust emissions for determining applies for the engine family (see 40
light-duty, medium-duty passenger and the number of certificates for calculating CFR parts 94 and 1042).
complete heavy-duty highway vehicle fees for later years. (h) If you produce engines for
certificates issued during the (2) If you have separate families for multiple categories in a single engine
appropriate model years. demonstrating compliance with exhaust family, a single fee applies for the
(ii) Apply the light-duty, medium- and evaporative emission standards, a engine family. For example, 40 CFR
duty passenger, and complete heavy- separate fee from the appropriate fee 60.4210 allows you to produce
duty highway vehicle in-use testing Op category applies for each unique family. stationary and nonroad compression-
and L values to the equation in Also, the number of certificates issued ignition engines in a single engine
§ 1027.105(c) to determine the in-use as specified in § 1027.105(d)(3) is based family. If the certification fee for the
testing portion of the fee. The total on a separate count of emission families different types of engines is different,
the fee that applies for these engines is of the number of vehicles or engines to revised such additional vehicles or
based on the emission standards to be covered by the certificate and their engines are not covered by a certificate
which you certify the engine family. For projected retail selling price must be of conformity.
example, if you certify marine diesel based on the latest information available (d) Final reduced fee calculation and
engines to the standards that apply to at the time of the fee payment. adjustment. (1) If the initial fee payment
land-based nonroad diesel engines (5) A manufacturer may submit a is less than the final reduced fee, then
under 40 CFR 94.912, the certification reduced fee as described in this section the manufacturer shall pay the
fee is based on the rate that applies for if it is accompanied by a calculation of difference between the initial reduced
land-based nonroad diesel engines. the fee based on the number of vehicles fee and the final reduced fee using the
covered and the projected aggregate provisions of § 1027.130. The final
§ 1027.120 Can I qualify for reduced fees? retail sales price as specified on the fee reduced fee shall be calculated using the
(a) Eligibility requirements. To be filing form. The reduced fee calculation procedures of paragraph (c) of this
eligible for a reduced fee, the following shall be deemed approved unless EPA section but using actual production
conditions must be satisfied: determines that the criteria of this figures rather than projections and
(1) The certificate is to be used for section have not been met. The Agency actual retail sales value rather than
sale of vehicles or engines within the may make such a determination either projected retail sales value.
United States; and before or after EPA issues a certificate of
(2) The full fee for an application for (2) This payment shall be paid within
conformity. If the Agency determines 45 days of the end of the model year.
certification for a model year exceeds that the requirements of this section
1.0% of the aggregate projected retail The total fees paid for a certificate shall
have not been met, EPA may deny not exceed the applicable full fee of
sales price of all vehicles or engines future reduced fee applications and
covered by that certificate. § 1027.105. If a manufacturer fails to
require submission of the full fee make complete payment with 45 days
(b) Initial reduced fee calculation. (1) payment until such time as the
If the requirements of paragraph (a) of then the Agency may void ab initio the
manufacturer demonstrates to the applicable certificate. EPA may also
this section are satisfied, the initial fee satisfaction of the Administrator that its
paid shall be $750 or 1.0% of the refuse to grant reduced fee requests
reduced fee submissions are based on submitted under paragraph (b)(5) of this
aggregate projected retail sales price of accurate data and that final fee
all the vehicles or engines to be covered section.
payments are made within 45 days of
by the certification application, (3) If the initial fee payment exceeds
the end of the model year.
whichever is greater. (6) If the reduced fee is denied by the the final reduced fee then the
(2) For vehicles or engines that are Administrator, the applicant will have manufacturer may request a refund
converted to operate on an alternative 30 days from the date of notification of using the procedures of § 1027.125.
fuel, using as the basis for the the denial to submit the appropriate fee (e) Records retention. Manufacturers
conversion a vehicle or engine which is to EPA. are subject to the applicable
covered by an existing certificate of (c) Revision of the number of vehicles maintenance of records requirements of
conformity, the cost basis used in this or engines covered by the certificate. (1) 40 CFR part 86, subpart A. If a
section must be the aggregate projected If after the original certificate, including manufacturer fails to maintain the
retail value-added to the vehicle or a certificate under which modification records or provide such records to EPA
engine by the conversion rather than the and test vehicles are imported under 40 as required then EPA may void the
full cost of the vehicle or engine. To CFR 85.1509 and 89.609, is issued, the certificate for which such records shall
qualify for this provision, the existing number of vehicles or engines to be be kept. Manufacturers must retain in
certificate must cover the same sales produced or imported under the their records the basis used to calculate
area and model year as the requested certificate exceeds the number indicated the projected sales and fair retail market
certificate for the converted vehicle or on the certificate, the manufacturer or value and the actual sales and retail
engine. importer shall— price for the vehicles and engines
(3) For ICI certification applications, (i) Request that EPA revise the covered by each certificate that is issued
the cost basis of this section shall be the certificate with a number that indicates under the reduced fee provisions of this
aggregate projected retail cost of the the new projection of the vehicles or section. This information must be
entire vehicle(s) or engine(s), not just engines to be covered by the certificate. retained for a period of at least three
the value added by the conversion. If The revised certificate must be applied years after the issuance of the certificate
the vehicles/engines covered by an ICI for, revised and issued before the and must be provided to the Agency
certificate are not being offered for sale, vehicles or engines are sold or finally within 30 days of request.
the manufacturer shall use the fair retail imported into the United States; and
§ 1027.125 Can I get a refund?
market value of the vehicles/engines as (ii) Submit payment of 1.0% of the
the retail sale price required in this aggregate projected retail sales price of (a) We will refund the total fee
section. For an ICI application for all the vehicles or engines above the imposed under this part if you ask for
certification, the retail sales price (or number of vehicles or engines listed on a refund after failing to get a certificate
fair retail market value) must be based the certificate to be covered by the for any reason.
on the applicable National Automobile application for certification. (b) If your actual sales or the actual
Dealer’s Association (NADA) appraisal (2) A manufacturer must receive a retail prices in a given year are less than
guide and/or other evidence of the revised certificate prior to the sale or you projected for calculating a reduced
actual market value. final importation of any vehicles or fee under § 1027.120, we will refund the
(4) The aggregate cost used in this engines, including modification and test appropriate portion of the fee. We will
section must be based on the total vehicles, that are not originally included also refund a portion of the initial
projected sales of all vehicles and in the certificate issued under paragraph payment if it exceeds the final fee for
engines under a certificate, including (b) of this section, or as indicated in a the engines, vehicles, or equipment
vehicles and engines modified under revised certificate issued under covered by the certificate application.
the modification and test option in 40 paragraph (c)(1) of this section. In the (1) You are eligible for a partial refund
CFR 85.1509 and 89.609. The projection event that a certificate is not timely related to a certificate only if you sold
engines, vehicles, or equipment under completed fee filing form and full which fees have been paid. This term is
that certificate in the United States. payment of the appropriate fee. not intended to represent multiple
(2) Include all the following in your (b) A deficient filing will be rejected certificates that are issued within a
request for a partial refund of reduced unless the completed form and full single family or test group.
fee payments: payment are submitted within a time Void has the meaning given in 40 CFR
(i) State that you sold engines, limit we specify. We will not process an 1068.30.
vehicles, or equipment under the application for certification if the We (us, our) means the Administrator
applicable certificate in the United associated filing is deficient. of the Environmental Protection Agency
States. and any authorized representatives.
§ 1027.140 What reporting and
(ii) Identify the number of engines, recordkeeping requirements apply under § 1027.155 What abbreviations apply to
vehicles, or equipment you produced or this part? this subpart?
imported under the certificate, and Under the Paperwork Reduction Act The following symbols, acronyms,
whether the engines, vehicles, or (44 U.S.C. 3501 et seq.), the Office of and abbreviations apply to this part:
equipment have been sold. Management and Budget approves the
(iii) Identify the reduced fee that you CFR Code of Federal Regulations
reporting and recordkeeping specified EPA U.S. Environmental Protection
paid under the applicable certificate. in the applicable regulations. The
(iv) Identify the actual retail sales Agency
following items illustrate the kind of Evap Evaporative Emissions
price for the engines, vehicles, or reporting and recordkeeping we require ICI Independent Commercial Importer
equipment produced or imported under for engines, vehicles, and equipment 46. A new part 1045 is added to
the certificate. regulated under this part: subchapter U of chapter I to read as
(v) Calculate the final value of the (a) Filling out fee filing forms under follows:
reduced fee using actual production § 1027.130.
figures and retail prices. (b) Retaining fee records, including PART 1045 CONTROL OF EMISSIONS
(vi) Calculate the refund amount. reduced fee documentation, under FROM SPARK-IGNITION PROPULSION
(c) We will approve your request to § 1027.120. MARINE ENGINES
correct errors in the amount of the fee.
(d) All refunds must be applied for § 1027.150 What definitions apply to this Subpart A Overview and Applicability
within six months of the end of the subpart? Sec.
model year. The definitions in this section apply 1045.1 Does this part apply for my
(e) Send refund and correction to this part. As used in this part, all products?
requests to the Fee Program Specialist, undefined terms have the meaning the 1045.2 Who is responsible for compliance?
1045.5 Which engines are excluded from
U.S. Environmental Protection Agency, Act or the standard-setting part gives to this part’s requirements?
Vehicle Programs and Compliance them. The definitions follow: 1045.10 How is this part organized?
Division, 2000 Traverwood Dr., Ann Annex VI means MARPOL Annex VI, 1045.15 Do any other regulation parts apply
Arbor, MI 48105, online at which is an annex to the International to me?
www.Pay.gov., or as specified in Convention on the Prevention of 1045.20 What requirements apply to my
guidance by the Administrator. Pollution from Ships, 1973, as modified vessels?
(e) You may request to have refund by the protocol of 1978 relating thereto. 1045.25 How do the requirements related to
This is an international treaty regulating evaporative emissions apply to engines
amounts applied to the amount due on and their fuel systems?
another application for certification. disposal of waste products from marine
vessels. Subpart B Emission Standards and
§ 1027.130 How do I make a fee payment? Application for Certification means a Related Requirements
(a) Pay fees to the order of the manufacturer’s submission of an 1045.101 What exhaust emission standards
Environmental Protection Agency in application for certification. and requirements must my engines
U.S. dollars using any of the following California-only certificate is a meet?
methods: money order, bank draft, certificate of conformity issued by EPA 1045.103 What exhaust emission standards
certified check, corporate check, showing compliance with emission must my outboard and personal
watercraft engines meet?
electronic funds transfer, any method standards established by California. 1045.105 What exhaust emission standards
available for payment online at Federal certificate is a certificate of must my sterndrive/inboard engines
www.Pay.gov, or as specified in EPA conformity issued by EPA showing meet?
guidance compliance with EPA emission 1045.107 What are the standards for
(b) Send a completed fee filing form standards specified in one of the evaporative emissions?
to the address designated on the form standard-setting parts specified in 1045.110 How must my engines diagnose
for each fee payment or electronically at § 1027.101(a). malfunctions?
Light-duty means relating to light- 1045.115 What other requirements apply?
www.Pay.gov, or as provided in EPA
duty vehicles and light-duty trucks. 1045.120 What emission-related warranty
guidance. These forms are available on requirements apply to me?
the Internet at http://www.epa.gov/otaq/ Manufacturer has the meaning given
1045.125 What maintenance instructions
guidance.htm. in section 216(1) of the Act. In general, must I give to buyers?
(c) You must pay the fee amount due this term includes any person who 1045.130 What installation instructions
before we will start to process an manufactures an engine, vehicle, vessel, must I give to vessel manufacturers?
application for certification. or piece of equipment for sale in the 1045.135 How must I label and identify the
(d) If we deny a reduced fee, you must United States or otherwise introduces a engines I produce?
new engine, vehicle, vessel, or piece of 1045.140 What is my engine’s maximum
pay the proper fee within 30 days after engine power?

we notify you of our decision. equipment into commerce in the United
1045.145 Are there interim provisions that
States. This includes importers who
§ 1027.135 What provisions apply to a apply only for a limited time?
import such products for resale, but not
deficient filing? dealers. Subpart C—Certifying Engine Families
(a) Any filing under this part is Total number of certificates issued 1045.201 What are the general requirements
deficient if it is not accompanied by a means the number of certificates for for obtaining a certificate of conformity?
1045.205 What must I include in my Subpart G—Special Compliance Provisions engines beginning with the 2009 model
application? 1045.601 What compliance provisions year.
1045.210 May I get preliminary approval apply to these engines? (2) The requirements of this part
before I complete my application? 1045.605 What provisions apply to engines related to evaporative emissions apply
1045.220 How do I amend the maintenance already certified under the motor-vehicle to fuel lines and fuel tanks used with
instructions in my application? program or other nonroad spark-ignition marine engines that use a volatile liquid
1045.225 How do I amend my application engine programs? fuel (such as gasoline) beginning with
for certification to include new or 1045.620 What are the provisions for
modified engines or change an FEL?
the 2009 model year as specified in 40
exempting engines used solely for
1045.230 How do I select engine families? CFR part 1045.107. This includes fuel
competition?
1045.235 What emission testing must I 1045.630 What is the personal-use lines and fuel tanks used with auxiliary
perform for my application for a exemption? marine engines. This also includes
certificate of conformity? 1045.635 What special provisions apply for portable marine fuel tanks and
1045.240 How do I demonstrate that my small-volume engine manufacturers? associated fuel lines.
engine family complies with exhaust 1045.640 What special provisions apply to (b) We specify optional standards for
emission standards? branded engines? certifying sterndrive/inboard engines
1045.245 How do I determine deterioration 1045.645 What special provisions apply for before the 2009 model year in
factors from exhaust durability testing? converting an engine to use an alternate § 1045.145(a). Engines certified to these
1045.250 What records must I keep and fuel? standards are subject to all the
what reports must I send to EPA? 1045.650 Do the provisions of 40 CFR requirements of this part as if these
1045.255 What decisions may EPA make 1068.260 apply for marine engines?
1045.660 How do I certify outboard or
optional standards were mandatory.
regarding my certificate of conformity? (c) See 40 CFR part 91 for
personal watercraft engines for use in jet
Subpart D—Testing Production-line boats? requirements that apply to outboard and
Engines personal watercraft engines not yet
Subpart H—Averaging, Banking, and subject to the requirements of this part
1045.301 When must I test my production-
Trading for Certification 1045.
line engines?
1045.305 How must I prepare and test my 1045.701 General provisions. (d) The provisions of §§ 1045.620 and
production-line engines? 1045.705 How do I generate and calculate 1045.801 apply for new engines used
1045.310 How must I select engines for exhaust emission credits? solely for competition beginning
production-line testing? 1045.706 How do I generate and calculate January 1, 2009.
1045.315 How do I know when my engine evaporative emission credits?
family fails the production-line testing 1045.710 How do I average emission § 1045.2 Who is responsible for
requirements? credits? compliance?
1045.320 What happens if one of my 1045.715 How do I bank emission credits? The requirements and prohibitions of
production-line engines fails to meet 1045.720 How do I trade emission credits?
1045.725 What must I include in my
this part apply to manufacturers of
emission standards? engines and fuel-system components as
1045.325 What happens if an engine family application for certification?
1045.730 What ABT reports must I send to described in § 1045.1. The requirements
fails the production-line testing of this part are generally addressed to
requirements? EPA?
1045.330 May I sell engines from an engine 1045.735 What records must I keep? manufacturers subject to this part’s
family with a suspended certificate of 1045.745 What can happen if I do not requirements. The term ‘‘you’’ generally
conformity? comply with the provisions of this means the certifying manufacturer. For
subpart? provisions related to exhaust emissions,
1045.335 How do I ask EPA to reinstate my
suspended certificate? Subpart I—Definitions and Other Reference this generally means the engine
1045.340 When may EPA revoke my Information manufacturer, especially for issues
certificate under this subpart and how 1045.801 What definitions apply to this related to certification (including
may I sell these engines again? part? production-line testing, reporting, etc.).
1045.345 What production-line testing 1045.805 What symbols, acronyms, and For provisions related to certification
records must I send to EPA? abbreviations does this part use? with respect to evaporative emissions,
1045.350 What records must I keep? 1045.810 What materials does this part this generally means the manufacturer
Subpart E—In-use Testing reference? of fuel-system components. Vessel
1045.815 What provisions apply to manufacturers must meet applicable
1045.401 What testing requirements apply
confidential information?
to my engines that have gone into 1045.820 How do I request a hearing?
requirements as described in § 1045.20.
service? 1045.825 What reporting and recordkeeping
1045.405 How does this program work? § 1045.5 Which engines are excluded from
requirements apply under this part? this part’s requirements?
1045.410 How must I select, prepare, and Appendix I to Part 1045—Summary of
test my in-use engines? Previous Emission Standards
(a) Auxiliary engines. The exhaust
1045.415 What happens if in-use engines Appendix II to Part 1045—Duty Cycles for emission standards of this part do not
do not meet requirements? Propulsion Marine Engines apply to auxiliary marine engines. See
1045.420 What in-use testing information 40 CFR part 90, 1048, or 1054 for the
must I report to EPA? Authority: 42 U.S.C. 7401—7671q.
exhaust emission standards that apply.
1045.425 What records must I keep? (b) Hobby engines and vessels. This
Subpart A—Overview and Applicability
Subpart F—Test Procedures part does not apply with respect to
1045.501 How do I run a valid emission § 1045.1 Does this part apply for my reduced-scale models of vessels that are
test? products? not capable of transporting a person.
1045.505 How do I test engines using (a) Except as provided in § 1045.5, the § 1045.10 How is this part organized?
discrete-mode or ramped-modal duty regulations in this part 1045 apply as
cycles? This part 1045 is divided into the
follows: following subparts:
1045.515 What are the test procedures
related to not-to-exceed standards? (1) The requirements of this part (a) Subpart A of this part defines the
1045.520 What testing must I perform to related to exhaust emissions apply to applicability of this part 1045 and gives
establish deterioration factors? new, spark-ignition propulsion marine an overview of regulatory requirements.
(b) Subpart B of this part describes the powered by these engines. Part 1068 of (b) Engines sold with attached fuel
emission standards and other this chapter describes general lines or installed fuel tanks must be
requirements that must be met to certify provisions, including these seven areas: covered by the appropriate certificates
engines under this part. Note that (1) Prohibited acts and penalties for of conformity issued under 40 CFR part
§ 1045.145 discusses certain interim engine manufacturers, vessel 1060.
requirements and compliance manufacturers, and others. (c) Fuel lines intended to be used
provisions that apply only for a limited (2) Rebuilding and other aftermarket with new engines and new portable fuel
time. changes. tanks must be certified to the applicable
(c) Subpart C of this part describes (3) Exclusions and exemptions for
requirements of 40 CFR part 1060.
how to apply for a certificate of certain engines.
(4) Importing engines. (d) All persons installing engines
conformity. certified under this part 1045 must
(d) Subpart D of this part describes (5) Selective enforcement audits of
your production. follow the certifying manufacturer’s
general provisions for testing
(6) Defect reporting and recall. emission-related installation
production-line engines.
(e) Subpart E of this part describes (7) Procedures for hearings. instructions (see § 1045.130 and 40 CFR
(d) Other parts of this chapter apply 1068.105).
general provisions for testing in-use
if referenced in this part.
engines. Subpart B—Emission Standards and
(f) Subpart F of this part describes § 1045.20 What requirements apply to my Related Requirements
how to test your engines (including vessels?
references to other parts of the Code of (a) If you manufacture vessels with § 1045.101 What exhaust emission
Federal Regulations). engines certified to the exhaust standards and requirements must my
(g) Subpart G of this part and 40 CFR emission standards in this part, your engines meet?
part 1068 describe requirements, vessels must meet all emission (a) You must show that your engines
prohibitions, and other provisions that standards with the engine and fuel meet the following requirements:
apply to engine manufacturers, vessel system installed. (1) Outboard and personal watercraft
manufacturers, owners, operators, (b) You may need to certify your engines must meet the exhaust emission
rebuilders, and all others. vessels or fuel systems as described in
(h) Subpart H of this part describes standards in § 1045.103.
40 CFR 1060.1 and 1060.601. If you
how you may generate and use exhaust (2) Sterndrive/inboard engines must
produce vessels subject to this part
and evaporative emission credits to meet the exhaust emission standards in
without obtaining a certificate, you must
certify your engines and vessels. still meet the requirements of 40 CFR § 1045.105. Sterndrive/inboard engines
(i) Subpart I of this part contains 1060.101(e) and (f) and keep records as may also meet the optional standards in
definitions and other reference described in 40 CFR 1060.210. § 1045.145.
information. (c) You must identify and label (3) Sterndrive/inboard engines must
vessels you produce under this section meet the engine-diagnostic requirements
§ 1045.15 Do any other regulation parts
consistent with the requirements of in § 1045.110.
apply to me?
§ 1045.135 and 40 CFR part 1060. (4) All engines must meet the
(a) Part 1060 of this chapter describes
(d) You must follow all emission- requirements in § 1045.115.
standards and procedures that apply for related installation instructions from the
evaporative emissions from engines (b) It is important that you read
certifying manufacturers as described in § 1045.145 to determine if there are
fueled by gasoline or other volatile § 1045.130 and 40 CFR 1068.105. If you
liquid fuels and the associated fuel other interim requirements or interim
do not follow the installation compliance provisions that apply for a
systems. See § 1045.107 for information instructions, we may consider your
about how that part applies. limited time.
vessel to be not covered by the
(b) Part 1065 of this chapter describes
certificates of conformity. Introduction § 1045.103 What exhaust emission
procedures and equipment standards must my outboard and personal
of such vessels into U.S. commerce
specifications for testing engines. watercraft engines meet?
violates 40 CFR 1068.101.
Subpart F of this part 1045 describes
how to apply the provisions of part 1065 § 1045.25 How do the requirements related
(a) Emission standards. Starting in the
of this chapter to determine whether to evaporative emissions apply to engines 2009 model year, exhaust emissions
engines meet the emission standards in and their fuel systems? from your outboard and personal
this part. (a) Engine manufacturers must watercraft engines may not exceed
(c) The requirements and prohibitions provide the installation instructions emission standards as follows:
of part 1068 of this chapter apply to required by § 1045.130 to the ultimate (1) Measure emissions using the
everyone, including anyone who purchasers of the engine. These applicable steady-state test procedures
manufactures, imports, installs, owns, instructions may be combined with the described in subpart F of this part.
operates, or rebuilds any of the engines maintenance instructions required by (2) The exhaust emission standards
subject to this part 1045, or vessels § 1045.125. from the following table apply:
TABLE 1 TO § 1045.103—EMISSION STANDARDS FOR OUTBOARD AND PERSONAL WATERCRAFT ENGINES (G/KW-HR)
Maximum Engine HC+NOX CO
Power (P)
P ≤ 40 kW .......................................................................................................................................................... 28 ¥ 0.3 × P .... 500 ¥ 5.0 × P

P > 40 kW .......................................................................................................................................................... 16.0 .................. 300
(3) For engines with maximum engine standard, as long as you show that the FELmax,CO = 650 ¥ 5.0 × P
power at or below 40 kW, round the whole averaging set of applicable engine (c) Not-to-exceed standards. Exhaust
calculated HC+NOX emission standard families meets the emission standards emissions may not exceed the not-to-
to the nearest 0.1 g/kW-hr; round the using emission credits and the engines exceed standards, as follows:
calculated CO emission standard to the within the family meet the family (1) Measure emissions using the not-
nearest g/kW-hr. emission limit. The following are the to-exceed procedures in subpart F of
(b) Averaging, banking, and trading. maximum values you may specify for this part:
You may generate or use emission family emission limits: (2) Determine the not-to-exceed
credits under the averaging, banking, (1) For engines with maximum engine standard, rounded to the same number
and trading (ABT) program described in power at or below 4.3 kW, the of decimal places as the emission
subpart H of this part for demonstrating maximum value of the family emission standard in Table 1 of this section, from
compliance with HC+NOX emission limit for HC+NOX is 81.0 g/kW-hr. For the following equation:
standards. For CO emissions, you may all other engines, the maximum value of
generate or use emission credits for Not-to-exceed standard = (STD) × (M)
the family emission limit for HC+NOX is
averaging as described in subpart H of defined by the following formula, with Where:
this part, but not for banking or trading. results rounded to the nearest 0.1 g/kW- STD = The standard specified in paragraph
To generate or use emission credits, you hr: (a) of this section if you certify without
must specify a family emission limit for using ABT for that pollutant; or the FEL
each pollutant you include in the ABT FELmax,HC∂NOX= 0.25(151 + 557/P0.9) + for that pollutant if you certify using
program for each engine family. These 6.0. ABT.
family emission limits serve as the (2) For engines with maximum engine M = The NTE multiplier for that pollutant,
emission standards for the engine family power above 40 kW, the maximum as defined in paragraph (c)(3) of this
section.
with respect to all required testing value of the family emission limit for
instead of the standards specified in this CO is 450 g/kW-hr. For all other (3) Use one of the two sets of NTE
section. An engine family meets engines, the maximum value is defined multipliers from the following table
emission standards even if its family by the following formula, with results across the applicable zone specified in
emission limit is higher than the rounded to the nearest g/kW-hr: § 1045.515:
TABLE 2 TO § 1045.103—NTE MULTIPLIERS FOR OUTBOARD AND PERSONAL WATERCRAFT ENGINES

Approach Pollutant Subzone 1 Subzone 2 Subzone 3 Subzone 4
Primary ................................................................................. HC+NOX 1.20 1.20 1.20 1.60

CO 1.50 1.50 1.50 1.50
Alternative 1 ......................................................................... HC+NOX 2.00 0.80 0.80 2.00
CO 3.00 1.50 1.00 1.00
Alternative 2 ......................................................................... HC+NOX 1.00 1.00 1.00 3.00
CO 1.50 1.00 1.00 2.00
(d) Fuel types. The exhaust emission (3) You must specify a longer useful Survey data is allowed but not required
standards in this section apply for life in terms of hours for the engine to make this showing.
engines using the fuel type on which the family if the average service life of your (f) Applicability for testing. The duty-
engines in the engine family are vehicles is longer than the minimum cycle emission standards in this subpart
designed to operate. You must meet the value, as follows:
apply to all testing performed according
numerical emission standards for (i) Except as allowed by paragraph to the procedures in § 1045.505,
hydrocarbons in this section based on (e)(3)(ii) of this section, your useful life
the following types of hydrocarbon including certification, production-line,
(in hours) may not be less than either of and in-use testing. The not-to-exceed
emissions for engines powered by the the following:
following fuels: standards apply for all testing
(1) Alcohol-fueled engines: THCE (A) Your projected operating life from performed according to the procedures
emissions. advertisements or other marketing of subpart F of this part.
(2) Natural gas-fueled engines: NMHC materials for any engines in the engine
§ 1045.105 What exhaust emission
emissions. family.
standards must my sterndrive/inboard
(3) Other engines: THC emissions. (B) Your basic mechanical warranty engines meet?
(e) Useful life. Your engines must for any engines in the engine family.
(a) Emission standards. Starting in the
meet the exhaust emission standards in (ii) Your useful life may be based on 2009 model year, exhaust emissions
paragraphs (a) through (c) of this section the average service life of vehicles in the from your sterndrive/inboard engines
over the full useful life as follows: engine family if you show that the may not exceed emission standards as
(1) For outboard engines, the average service life is less than the follows:
minimum useful life is 350 hours of useful life required by paragraph
engine operation or 10 years, whichever (e)(3)(i) of this section, but more than (1) Measure emissions using the
comes first. the minimum useful life (350 hours of applicable steady-state test procedures
(2) For personal watercraft engines, engine operation). In determining the described in subpart F of this part.
the minimum useful life is 350 hours of actual average service life of vehicles in (2) The exhaust emission standards
engine operation or 5 years, whichever an engine family, we will consider all from the following table apply:
comes first. available information and analyses.
TABLE 1 TO § 1045.105—EMISSION STANDARDS FOR STERNDRIVE/INBOARD ENGINES (G/KW-HR)

Engine type HC+NOX CO
Primary standard for sterndrive/inboard engines .................................................................................................... 5.0 75.0

Alternate standards for high-performance engines ................................................................................................. 5.0 350
(b) Averaging, banking, and trading. set of applicable engine families meets (2) Determine the not-to-exceed
You may generate or use emission the emission standards using emission standard, rounded to the same number
credits under the averaging, banking, credits and the engines within the of decimal places as the emission
and trading (ABT) program described in family meet the family emission limit. standard in Table 1 of this section from
subpart H of this part for demonstrating The following are the maximum values the following equation:
compliance with HC+NOX and CO you may specify for family emission
limits: Not-to-exceed standard = (STD) (M)
emission standards. To generate or use
emission credits, you must specify a (1) For high-performance engines, Where:
family emission limit for each pollutant 30.0 g/kW-hr for HC+NOX and 350 g/ STD = The standard specified in paragraph
you include in the ABT program for kW-hr for CO. (a) of this section if you certify without
(2) For other engines, 16.0 g/kW-hr for using ABT for that pollutant; or the FEL
each engine family. These family
HC+NOX and 150 g/kW-hr for CO. for that pollutant if you certify using
emission limits serve as the emission (c) Not-to-exceed standards. Exhaust
standards for the engine family with ABT.
emissions may not exceed the not-to-
respect to all required testing instead of M = The NTE multiplier for that pollutant,
exceed standards for all sterndrive/
the standards specified in this section. as defined in paragraph (c)(3) of this
inboard engines except high-
An engine family meets emission section.
performance engines, as follows:
standards even if its family emission (3) Use the NTE multipliers from the
(1) Measure emissions using the not-
following table across the applicable
limit is higher than the standard, as long to-exceed procedures in subpart F of
zone specified in § 1045.515:
as you show that the whole averaging this part:
TABLE 2 TO § 1045.105—NTE MULTIPLIERS FOR STERNDRIVE/INBOARD ENGINES

Pollutant Subzone 1 Subzone 2 Subzone 3 Subzone 4
HC+NOX ...... 1.50 1.00 1.00 1.50

CO. .............. 3.50 1.00 1.00 1.00
(d) Fuel types. The exhaust emission application for certification that we (iii) Your mechanical warranty for the
standards in this section apply for approve a shorter useful life for an engine.
engines using the fuel type on which the engine family. We may approve a (3) You must specify a longer useful
engines in the engine family are shorter useful life, in hours of engine life in terms of hours for the engine
designed to operate. You must meet the operation but not in years, if we family if the average service life of your
numerical emission standards for determine that these engines will rarely vehicles is longer than the minimum
hydrocarbons in this section based on operate longer than the shorter useful value, as follows:
the following types of hydrocarbon life. If engines identical to those in the (i) Except as allowed by paragraph
emissions for engines powered by the engine family have already been (e)(3)(ii) of this section, your useful life
following fuels: produced and are in use, your (in hours) may not be less than either of
(1) Alcohol-fueled engines: THCE demonstration must include the following:
emissions. documentation from such in-use (A) Your projected operating life from
(2) Natural gas-fueled engines: NMHC engines. In other cases, your advertisements or other marketing
emissions. demonstration must include an materials for any engines in the engine
(3) Other engines: THC emissions. engineering analysis of information family.
(e) Useful life. Your engines must equivalent to such in-use data, such as (B) Your basic mechanical warranty
meet the exhaust emission standards in data from research engines or similar for any engines in the engine family.
paragraphs (a) through (c) of this section engine models that are already in (ii) Your useful life may be based on
over their full useful life, as follows: production. Your demonstration must the average service life of vehicles in the
(1) For high-performance engines with also include any overhaul interval that engine family if you show that the
maximum engine power above 485 kW, you recommend, any mechanical average service life is less than the
the minimum useful life is 50 hours of warranty that you offer for the engine or useful life required by paragraph
operation or 1 year, whichever comes its components, and any relevant (e)(3)(i) of this section, but more than
first. For high-performance engines with customer design specifications. Your the minimum useful life (480 hours of
maximum engine power at or below 485 demonstration may include any other engine operation). In determining the
kW, the minimum useful life is 150 actual average service life of vehicles in
relevant information. The useful life

hours of operation or 3 years, whichever value may not be shorter than any of the an engine family, we will consider all
comes first. following: available information and analyses.
(2) For all other engines, the Survey data is allowed but not required
minimum useful life is 480 hours of (i) 150 hours of operation. to make this showing.
operation or ten years, whichever comes (ii) Your recommended overhaul (f) Applicability for testing. The duty-
first. However, you may request in your interval. cycle emission standards in this section
apply to all testing performed according (e) Other requirements. The system is evaluated and found to be
to the procedures in § 1045.505, requirements of 40 CFR 1060.101(e) and working properly, the MIL may stay off
including certification, production-line, (f) apply to vessel manufacturers even if during later engine operation.
and in-use testing. The not-to-exceed they do not obtain a certificate. (d) Store trouble codes in computer
standards apply for all testing memory. Record and store in computer
performed according to the procedures § 1045.110 How must my engines memory any diagnostic trouble codes
diagnose malfunctions?
of subpart F of this part. showing a malfunction that should
The following engine-diagnostic illuminate the MIL. The stored codes
§ 1045.107 What are the standards for requirements apply to sterndrive/ must identify the malfunctioning system
evaporative emissions? inboard engines only: or component as uniquely as possible.
Fuel systems must meet the (a) Equip your engines with a Make these codes available through the
evaporative emission requirements of 40 diagnostic system. Equip each engine data link connector as described in
CFR part 1060 as specified in this with a diagnostic system that will detect paragraph (g) of this section. You may
section. The useful life of these significant malfunctions in its emission store codes for conditions that do not
standards is five years for personal control system using one of the turn on the MIL. The system must store
watercraft and ten years for all other following protocols: a separate code to show when the
vessels. (1) If your emission control strategy diagnostic system is disabled (from
(a) Fuel line permeation. Nonmetal depends on maintaining air-fuel ratios malfunction or tampering).
fuel lines must meet the permeation at stoichiometry, an acceptable (e) Make data, access codes, and
requirements specified in 40 CFR diagnostic design would identify devices accessible. Make all required
1060.102 for EPA NR fuel lines starting malfunction whenever the air-fuel ratio data accessible to us without any access
in the 2009 model year. Metal fuel lines does not cross stoichiometry for one codes or devices that only you can
are not subject to emission standards. minute of intended closed-loop supply. Ensure that anyone servicing
(b) Tank permeation. Fuel tanks must operation. You may use other diagnostic your engine can read and understand
meet the permeation requirements strategies if we approve them in the diagnostic trouble codes stored in
specified in 40 CFR 1060.103. Portable advance. the onboard computer with generic tools
fuel tanks and fuel tanks for personal (2) If the protocol described in and information.
watercraft must meet permeation paragraph (a)(1) of this section does not (f) Consider exceptions for certain
standards starting in the 2011 model apply to your engine, you must use an conditions. Your diagnostic systems
year. Other installed fuel tanks must alternative approach that we approve in may disregard trouble codes for the first
meet permeation standards starting in advance. Your alternative approach three minutes after engine starting. You
the 2012 model year. Vessel must generally detect when the may ask us to approve diagnostic-
manufacturers may generate or use emission control system is not system designs that disregard trouble
emission credits to show compliance functioning properly. codes under other conditions that
with the requirements of this paragraph (3) Diagnostic systems approved by would produce an unreliable reading,
under the averaging, banking, and the California Air Resources Board for damage systems or components, or
trading (ABT) program, as described in use with sterndrive/inboard engines cause other safety risks.
subpart H of this part. Starting in the fully satisfy the requirements of this (g) Follow standard references for
2014 model year for personal watercraft section. formats, codes, and connections. Follow
and in the 2015 model year for other (b) Use a malfunction-indicator light conventions defined in the following
installed fuel tanks, family emission (MIL). The MIL must be readily visible documents (incorporated by reference in
limits may not exceed 5.0 g/m2/day if to the operator; it may be any color § 1045.810) or ask us to approve using
testing occurs at a nominal temperature except red. When the MIL goes on, it updated versions of (or variations from)
of 28° C, or 8.3 g/m2/day if testing must display ‘‘Check Engine,’’ ‘‘Service these documents:
occurs at a nominal temperature of Engine Soon,’’ or a similar message that (1) ISO 9141–2 Road vehicles—
40°C. Portable fuel tank manufacturers we approve. You may use sound in Diagnostic systems—Part 2: CARB
may not generate or use emission credits addition to the light signal. The MIL requirements for interchange of digital
under subpart H of this part. See must go on under each of these information, February 1994.
§ 1045.145(e) for special provisions circumstances: (2) ISO 14230–4 Road vehicles—
related to the timing of these (1) When a malfunction occurs, as Diagnostic systems—Keyword Protocol
requirements. described in paragraph (a) of this 2000—Part 4: Requirements for
(c) Running loss. The running loss section. emission-related systems, June 2000.
requirements specified in 40 CFR part (2) When the diagnostic system
1060 do not apply. cannot send signals to meet the § 1045.115 What other requirements
(d) Diurnal emissions. Installed fuel requirement of paragraph (b)(1) of this apply?
tanks must meet the diurnal emission section. The following requirements apply
requirements specified in 40 CFR (3) When the engine’s ignition is in with respect to engines that are required
1060.105. Fuel tanks for personal the ‘‘key-on’’ position before starting or to meet the emission standards of this
watercraft must meet diurnal emission cranking. The MIL should go out after part:
standards starting in the 2009 model engine starting if the system detects no (a) Crankcase emissions. Crankcase
year. Other installed fuel tanks must malfunction. emissions may not be discharged
meet diurnal emission standards (c) Control when the MIL can go out. directly into the ambient atmosphere
starting in the 2010 model year. Fuel If the MIL goes on to show a from any engine throughout its useful
tanks meeting the definition of portable malfunction, it must remain on during life.
marine fuel tank in § 1045.801 must all later engine operation until servicing (b) Torque broadcasting.
comply with the diurnal requirements corrects the malfunction. If the engine is Electronically controlled engines must
for portable nonroad fuel tanks in 40 not serviced, but the malfunction does broadcast their speed and output shaft
CFR part 1060 starting in the 2009 not recur for three consecutive engine torque (in newton-meters). Engines may
model year. starts during which the malfunctioning alternatively broadcast a surrogate value
for determining torque. Engines must (f) Prohibited controls. You may not emission control system, meets two
broadcast engine parameters such that design your engines with emission- conditions:
they can be read with a remote device, control devices, systems, or elements of (1) It is designed, built, and equipped
or broadcast them directly to their design that cause or contribute to an so it conforms at the time of sale to the
controller area networks. This unreasonable risk to public health, ultimate purchaser with the
information is necessary for testing welfare, or safety while operating. For requirements of this part.
engines in the field (see 40 CFR part example, this would apply if the engine
(2) It is free from defects in materials
1065, subpart J). Small-volume engine emits a noxious or toxic substance it
and workmanship that may keep it from
manufacturers may omit this would otherwise not emit that
meeting these requirements.
requirement. contributes to such an unreasonable
(c) EPA access to broadcast risk. (b) Warranty period. Your emission-
information. If we request it, you must (g) Defeat devices. You may not equip related warranty must be valid during
provide us any hardware or tools we your engines with a defeat device. A the periods specified in this paragraph
would need to readily read, interpret, defeat device is an auxiliary emission (b). You may offer an emission-related
and record all information broadcast by control device that reduces the warranty more generous than we
an engine’s on-board computers and effectiveness of emission controls under require. The emission-related warranty
electronic control modules. If you conditions that the engine may for the engine may not be shorter than
broadcast a surrogate parameter for reasonably be expected to encounter any published warranty you offer
torque values, you must provide us during normal operation and use. This without charge for the engine. Similarly,
what we need to convert these into does not apply to auxiliary emission the emission-related warranty for any
torque units. We will not ask for control devices you identify in your component may not be shorter than any
hardware or tools if they are readily certification application if any of the published warranty you offer without
available commercially. following is true: charge for that component. If an engine
(d) [Reserved] (1) The conditions of concern were has no hour meter, we base the warranty
(e) Adjustable parameters. Engines substantially included in the applicable periods in this paragraph (b) only on the
that have adjustable parameters must duty-cycle test procedures described in engine’s age (in years). The warranty
meet all the requirements of this part for subpart F of this part. period begins when the engine is placed
(2) You show your design is necessary into service.
any adjustment in the physically
to prevent engine (or vessel) damage or (1) The minimum warranty period for
adjustable range. An operating
accidents. outboard engines is 175 hours of engine
parameter is not considered adjustable if (3) The reduced effectiveness applies
you permanently seal it or if it is not operation or 5 years, whichever comes
only to starting the engine. first. The minimum warranty period for
normally accessible using ordinary
tools. We may require that you set § 1045.120 What emission-related warranty personal watercraft engines is 175 hours
adjustable parameters to any requirements apply to me? of engine operation or 30 months,
specification within the adjustable range (a) General requirements. You must whichever comes first.
during any testing, including warrant to the ultimate purchaser and (2) The minimum warranty period for
certification testing, production-line each subsequent purchaser that the new sterndrive/inboard engines is shown in
testing, or in-use testing. engine, including all parts of its the following table:
TABLE 1 TO § 1045.120—WARRANTY PERIODS FOR STERNDRIVE/INBOARD ENGINES 1

Electronic compo- Mechanical compo-
Maximum engine power nents nents
P < 373 kW ...................................................................................................................................... 3 years/480 hours ..... 3 years/480 hours.

373 ≤ P < 485 kW ........................................................................................................................... 3 years/480 hours ..... 3 years/150 hours.
P ≥ 485 kW ...................................................................................................................................... 3 years/480 hours ..... 1 year/50 hours.
1 The warranty period expires after the specified time period or number of operating hours, whichever comes first.
(c) Components covered. The (e) Owners manual. Describe in the cleaning, repair, or replacement of
emission-related warranty covers all owners manual the emission-related critical emission-related components.
components whose failure would warranty provisions from this section This may also include additional
increase an engine’s emissions of any that apply to the engine. emission-related maintenance that you
pollutant, including those listed in 40 determine is critical if we approve it in
CFR part 1068, Appendix I, and those § 1045.125 What maintenance instructions
must I give to buyers?
advance. You may schedule critical
from any other system you develop to emission-related maintenance on these
control emissions. The emission-related Give the ultimate purchaser of each components if you meet the following
warranty covers these components even new engine written instructions for conditions:
if another company produces the properly maintaining and using the
engine, including the emission control (1) You demonstrate that the
component. Your emission-related
system as described in this section. The maintenance is reasonably likely to be
warranty does not cover components
maintenance instructions also apply to done at the recommended intervals on
whose failure would not increase an
service accumulation on your emission- in-use engines. We will accept

engine’s emissions of any pollutant.
(d) Limited applicability. You may data engines as described in § 1045.245 scheduled maintenance as reasonably
deny warranty claims under this section and in 40 CFR part 1065. likely to occur if you satisfy any of the
if the operator caused the problem (a) Critical emission-related following conditions:
through improper maintenance or use, maintenance. Critical emission-related (i) You present data showing that any
as described in 40 CFR 1068.115. maintenance includes any adjustment, lack of maintenance that increases
emissions also unacceptably degrades take these inspection or maintenance (4) Failure to perform the
the engine’s performance. steps during service accumulation on maintenance would not cause clear
(ii) You present survey data showing your emission-data engines. problems that would significantly
that at least 80 percent of engines in the (e) Maintenance that is not emission- degrade the engine’s performance.
field get the maintenance you specify at related. For maintenance unrelated to (h) Owners manual. Explain the
the recommended intervals. emission controls, you may schedule owner’s responsibility for proper
(iii) You provide the maintenance free any amount of inspection or maintenance in the owners manual.
of charge and clearly say so in maintenance. You may also take these
maintenance instructions for the § 1045.130 What installation instructions
inspection or maintenance steps during must I give to vessel manufacturers?
customer. service accumulation on your emission-
(iv) You otherwise show us that the data engines, as long as they are (a) If you sell an engine for someone
maintenance is reasonably likely to be reasonable and technologically else to install in a vessel, give the engine
done at the recommended intervals. necessary. This might include adding installer instructions for installing it
(2) You may not schedule critical engine oil, changing air, fuel, or oil consistent with the requirements of this
emission-related maintenance within filters, servicing engine-cooling systems, part. Include all information necessary
the useful life period for aftertreatment to ensure that an engine will be
and adjusting idle speed, governor,
devices, pulse-air valves, fuel injectors, installed in its certified configuration.
engine bolt torque, valve lash, or
oxygen sensors, electronic control units, (b) Make sure these instructions have
injector lash. You may perform this
superchargers, or turbochargers, except the following information:
nonemission-related maintenance on
as specified in paragraph (b) or (c) of (1) Include the heading: ‘‘Emission-
emission-data engines at the least
this section. related installation instructions’’.
(b) Recommended additional frequent intervals that you recommend
(2) State: ‘‘Failing to follow these
maintenance. You may recommend any to the ultimate purchaser (but not the
instructions when installing a certified
additional amount of maintenance on intervals recommended for severe
engine in a vessel violates federal law
the components listed in paragraph (a) service).
(40 CFR 1068.105(b)), subject to fines or
of this section, as long as you state (f) Source of parts and repairs. State other penalties as described in the Clean
clearly that these maintenance steps are clearly on the first page of your written Air Act.’’.
not necessary to keep the emission- maintenance instructions that a repair (3) Describe the instructions needed
related warranty valid. If operators do shop or person of the owner’s choosing to properly install the exhaust system
the maintenance specified in paragraph may maintain, replace, or repair and any other components. Include
(a) of this section, but not the emission control devices and systems. instructions consistent with the
recommended additional maintenance, Your instructions may not require requirements of § 1045.205(t).
this does not allow you to disqualify components or service identified by (4) Describe the steps needed to
those engines from in-use testing or brand, trade, or corporate name. Also, control evaporative emissions as
deny a warranty claim. Do not take do not directly or indirectly condition described in § 1045.107. This will
these maintenance steps during service your warranty on a requirement that the generally require notification that the
accumulation on your emission-data engine be serviced by your franchised installer and/or vessel manufacturer
engines. dealers or any other service must meet the requirements of
(c) Special maintenance. You may establishments with which you have a § 1045.107 and 40 CFR part 1060.
specify more frequent maintenance to commercial relationship. You may (5) Describe any necessary steps for
address problems related to special disregard the requirements in this installing the diagnostic system
situations, such as atypical engine paragraph (f) if you do one of two described in § 1045.110.
operation. You must clearly state that things: (6) Describe any limits on the range of
this additional maintenance is (1) Provide a component or service applications needed to ensure that the
associated with the special situation you without charge under the purchase engine operates consistently with your
are addressing. agreement. application for certification. For
(d) Noncritical emission-related (2) Get us to waive this prohibition in example, if your engines are certified
maintenance. Subject to the provisions the public’s interest by convincing us only for personal watercraft, tell vessel
of this paragraph (d), you may schedule the engine will work properly only with manufacturers not to install the engines
any amount of emission-related the identified component or service. in vessels longer than 4.0 meters.
inspection or maintenance that is not (g) Payment for scheduled (7) Describe any other instructions to
covered by paragraph (a) of this section maintenance. Owners are responsible make sure the installed engine will
(i.e., maintenance that is neither for properly maintaining their engines. operate according to design
explicitly identified as critical emission- This generally includes paying for specifications in your application for
related maintenance, nor that we scheduled maintenance. However, certification. For example, this may
approve as critical emission-related manufacturers must pay for scheduled include specified limits for catalyst
maintenance). Noncritical emission- maintenance during the useful life if it systems, such as exhaust backpressure,
related maintenance generally includes meets all the following criteria: catalyst location, and temperature
changing spark plugs, re-seating valves, (1) Each affected component was not profiles during engine operation.
or any other emission-related in general use on similar engines before (8) State: ‘‘If you install the engine in
maintenance on the components we the applicable dates shown in paragraph a way that makes the engine’s emission
specify in 40 CFR part 1068, Appendix (5) of the definition of new propulsion control information label hard to read
I. You must state in the owners manual marine engine in § 1045.801. during normal engine maintenance, you
that these steps are not necessary to (2) The primary function of each must place a duplicate label on the
keep the emission-related warranty affected component is to reduce vessel, as described in 40 CFR
valid. If operators fail to do this emissions. 1068.105.’’.
maintenance, this does not allow you to (3) The cost of the scheduled (c) You do not need installation
disqualify those engines from in-use maintenance is more than 2 percent of instructions for engines you install in
testing or deny a warranty claim. Do not the price of the engine. your own vessels.
(d) Provide instructions in writing or omit this information from the label if information may also be expressed by a
in an equivalent format. For example, there is not enough room for it and you torque curve that relates maximum
you may post instructions on a publicly put it in the owners manual instead. available engine torque with engine
available website for downloading or (9) Identify the fuel type and any speed.
printing. If you do not provide the requirements for fuel and lubricants; (c) The nominal power curve must be
instructions in writing, explain in your however, you may omit this information within the range of the actual power
application for certification how you from the label if there is not enough curves of production engines
will ensure that each installer is room for it and you put it in the owners considering normal production
informed of the installation manual instead. variability. If after production begins it
requirements. (10) State: ‘‘THIS ENGINE COMPLIES is determined that your nominal power
WITH U.S. EPA REGULATIONS FOR curve does not represent production
§ 1045.135 How must I label and identify
[MODEL YEAR] SPARK–IGNITION engines, we may require you to amend
the engines I produce?
MARINE ENGINES.’’. your application for certification under
The provisions of this section apply to (11) If your durability demonstration
engine manufacturers. § 1045.225.
for sterndrive/inboard engines is limited
(a) Assign each engine a unique to fresh water, state: ‘‘THIS ENGINE IS § 1045.145 Are there interim provisions
identification number and permanently NOT INTENDED FOR USE IN that apply only for a limited time?
affix, engrave, or stamp it on the engine The provisions in this section apply
SALTWATER.’’.
in a legible way. (d) You may add information to the instead of other provisions in this part.
(b) At the time of manufacture, affix
emission control information label to This section describes when these
a permanent and legible label
identify other emission standards that interim provisions apply.
identifying each engine. The label must
the engine meets or does not meet (such (a) Small-volume engine
be—
(1) Attached in one piece so it is not as California standards). You may also manufacturers. Special provisions apply
removable without being destroyed or add other information to ensure that the to you for sterndrive/inboard engines if
defaced. However, you may use two- engine will be properly maintained and you are a small-volume engine
piece labels for engines below 19 kW if used. manufacturer subject to the
there is not enough space on the engine (e) You may ask us to approve requirements of this part. Contact us
to apply a one-piece label. modified labeling requirements in this before 2009 if you intend to use any of
(2) Secured to a part of the engine part 1045 if you show that it is the following provisions:
needed for normal operation and not necessary or appropriate. We will (1) You may delay complying with
normally requiring replacement. approve your request if your alternate otherwise emission standards and other
(3) Durable and readable for the label is consistent with the requirements requirements that would otherwise
engine’s entire life. of this part. apply until the 2013 model year for
(4) Written in English. (f) If you obscure the engine label high-performance engines and until the
(c) The label must— while installing the engine in the vessel 2011 model year for other sterndrive/
(1) Include the heading ‘‘EMISSION such that the label cannot be read inboard engines. Add a permanent label
CONTROL INFORMATION’’. during normal maintenance, you must to a readily visible part of each engine
(2) Include your full corporate name place a duplicate label on the vessel. If exempted under this paragraph (a)(1).
and trademark. You may identify others install your engine in their This label must include at least the
another company and use its trademark vessels in a way that obscures the following items:
instead of yours if you comply with the engine label, we require them to add a (i) The label heading ‘‘EMISSION
provisions of § 1045.640. duplicate label on the vessel (see 40 CONTROL INFORMATION’’.
(3) Include EPA’s standardized CFR 1068.105); in that case, give them (ii) Your corporate name and
designation for the engine family (and the number of duplicate labels they trademark.
subfamily, where applicable). request and keep the following records (iii) Engine displacement (in liters),
(4) State the engine’s displacement (in for at least five years: rated power, and model year of the
liters) and maximum engine power; (1) Written documentation of the engine or whom to contact for further
however, you may omit the request from the vessel manufacturer. information.
displacement from the label if all the (2) The number of duplicate labels
engines in the engine family have the (iv) The following statement: ‘‘THIS
you send for each engine family and the
same per-cylinder displacement and ENGINE IS EXEMPT UNDER 40 CFR
date you sent them.
total displacement. 1045.145(a)(1) FROM EMISSION
(5) State the date of manufacture § 1045.140 What is my engine’s maximum STANDARDS AND RELATED
[MONTH and YEAR]; however, you may engine power? REQUIREMENTS.’’.
omit this from the label if you stamp or (a) An engine configuration’s (2) You may use the provisions of 40
engrave it on the engine. maximum engine power is the CFR 1068.250 to further delay
(6) State the FELs to which the maximum brake power point on the compliance with emission standards;
engines are certified (in g/kW-hr) if nominal power curve for the engine however, you must use a base engine
certification depends on the ABT configuration, as defined in this section. that has been certified if such an engine
provisions of subpart H of this part. Round the power value to the nearest is available.
(7) Identify the emission control whole kilowatt. (b) Early banking. You may generate
system. Use terms and abbreviations (b) The nominal power curve of an emission credits for sterndrive/inboard
consistent with SAE J1930 (incorporated engine configuration is the relationship engines before the 2009 model year (or
by reference in § 1045.810). You may between maximum available engine before the 2011 model year for small-
omit this information from the label if brake power and engine speed for an volume engine manufacturers), as
there is not enough room for it and you engine, using the mapping procedures follows:
put it in the owners manual instead. of 40 CFR part 1065, based on the (1) You must begin actual production
(8) List specifications and adjustments manufacturer’s design and production of early-compliant engines by
for engine tuneups; however, you may specifications for the engine. This September 1, 2008 (or before September
1, 2010 for small-volume engine statement: ‘‘EXEMPT FROM EMISSION (d) You must use good engineering
manufacturers). STANDARDS UNDER 40 CFR judgment for all decisions related to
(2) You may not generate emission 1045.145(c)’’. your application (see 40 CFR 1068.5).
credits under this paragraph (b) with (3) Evaporative allowances you earn (e) An authorized representative of
engines you produce after December 31, under this paragraph (c) from portable your company must approve and sign
2008 (or December 31, 2010 for small- fuel tanks may be used only for other the application.
volume engine manufacturers). portable fuel tanks. Similarly, (f) See § 1045.255 for provisions
(3) Early-compliant engines must be evaporative allowances from personal describing how we will process your
certified to the standards and watercraft fuel tanks may be used only application.
requirements for sterndrive/inboard for personal watercraft fuel tanks and (g) We may require you to deliver
engines under this part 1045, with evaporative allowances from other your test engines to a facility we
family emission limits at or below the installed fuel tanks may be used only for designate for our testing (see
emission standards in § 1045.105. other installed fuel tanks. § 1045.235(c)).
(4) You must calculate emission (4) You may not use the allowances
credits by comparing the engine’s family § 1045.205 What must I include in my
you generate under this paragraph (c) application?
emission limits with assigned baseline for portable fuel tanks and personal
levels of 16 g/kW-hr for HC+NOX and This section specifies the information
watercraft fuel tanks in 2014 or later
150 g/kW-hr for CO. that must be in your application, unless
model years. Similarly, you may not use
(5) Calculate emission credits using a we ask you to include less information
the allowances you generate under this
multiplier based on the number of under § 1045.201(c). We may require
paragraph (c) for other installed fuel
model years before the standards start to you to provide additional information to
tanks in 2015 or later model years.
apply. The multipliers are 1.25 for one (d) Useful life for evaporative evaluate your application.
year early, 1.5 for two years early, and (a) Describe the engine family’s
emission standards. A useful life period
2.0 for three or more years early. For specifications and other basic
of two years applies for fuel tanks
example, multiply your calculated parameters of the engine’s design and
certified to meet the permeation
emission credits generated from emission controls. List the fuel type on
emission standards in § 1045.110(b) in
compliant 2008 model year engines by which your engines are designed to
2013 and earlier model years. However,
1.25 or, if emission standards are operate (for example, all-season
for fuel tanks with a family emission
delayed for your engines until 2011 gasoline). List each distinguishable
limit above or below the otherwise
under paragraph (a)(1) of this section, engine configuration in the engine
applicable standard, calculate emission
multiply those calculated emission family. For each engine configuration,
credits under § 1054.706 based on the
credits by 2.0. list the maximum engine power and the
useful life values specified in
(6) You may not use the provisions of range of values for maximum engine
§ 1045.107.
this paragraph (b) to generate emission power resulting from production
credits for engines whose point of first Subpart C—Certifying Engine Families tolerances, as described in § 1045.140.
retail sale is in California. (b) Explain how the emission control
(7) HC+NOX or CO credits you § 1045.201 What are the general systems operate. Describe in detail all
generate under this paragraph (b) may requirements for obtaining a certificate of system components for controlling
be banked for up to three model years conformity? exhaust emissions, including all
after the model year in which the Engine manufacturers must certify auxiliary emission control devices
emission standards start to apply. their engines with respect to the exhaust (AECDs) and all fuel-system
(c) Early compliance with evaporative emission standards in this part. components you will install on any
emission standards. You may fuel tanks Manufacturers of engines, equipment, or production or test engine. Identify the
that do not meet the otherwise fuel-system components may need to part number of each component you
applicable permeation standards certify their products with respect to describe. For this paragraph (b), treat as
without violating the prohibition in 40 evaporative emission standards as separate AECDs any devices that
CFR 1068.101(a)(1) if you earn described in 40 CFR 1060.1 and modulate or activate differently from
evaporative allowances, as follows: 1060.601. The following general each other. Include sufficient detail to
(1) You may earn an evaporative requirements apply for obtaining a allow us to evaluate whether the AECDs
allowance from one fuel tank certified to certificate of conformity: are consistent with the defeat device
EPA’s evaporative emission standards (a) You must send us a separate prohibition of § 1045.115.
by producing it before EPA’s application for a certificate of (c) For sterndrive/inboard engines,
evaporative emission standards start to conformity for each engine family. A explain how the engine diagnostic
apply. You may use this evaporative certificate of conformity is valid starting system works, describing especially the
allowance by selling one fuel tank that with the indicated effective date, but it engine conditions (with the
does not meet the permeation emission is not valid for any production after corresponding diagnostic trouble codes)
standards that would otherwise apply. December 31 of the model year for that cause the malfunction-indicator
For example, you can earn an which it is issued. No certificate will be light to go on. Propose what you
evaporative allowance by selling a low- issued after December 31 of the model consider to be extreme conditions under
permeation fuel tank for personal year. which the diagnostic system should
watercraft before the 2011 model year, (b) The application must contain all disregard trouble codes, as described in
in which case you could sell a high- the information required by this part § 1045.110.
permeation fuel tank for a personal and must not include false or (d) Describe the engines you selected
watercraft in 2011. You must meet all incomplete statements or information for testing and the reasons for selecting
the other requirements related to (see § 1045.255). them.
evaporative emissions that apply. (c) We may ask you to include less (e) Describe the test equipment and
(2) You must add a label to exempted information than we specify in this procedures that you used, including any
fuel tanks you produce under this subpart, as long as you maintain all the special or alternate test procedures you
paragraph (c) with the following information required by § 1045.250. used.
(f) Describe how you operated the (q) Report all test results, including (x) Include other applicable
emission-data engine before testing, those from invalid tests, whether or not information, such as information
including the duty cycle and the they were conducted according to the specified in this part or 40 CFR part
number of engine operating hours used test procedures of subpart F of this part. 1068 related to requests for exemptions.
to stabilize emission levels. Explain If you measure CO2, report those (y) Name an agent for service located
why you selected the method of service emission levels. We may ask you to in the United States. Service on this
accumulation. Describe any scheduled send other information to confirm that agent constitutes service on you or any
maintenance you did. your tests were valid under the of your officers or employees for any
(g) List the specifications of the test requirements of this part and 40 CFR action by EPA or otherwise by the
fuel to show that it falls within the parts 1060 and 1065. United States related to the
required ranges we specify in 40 CFR (r) Describe all adjustable operating requirements of this part.
part 1065. parameters (see § 1045.115(e)), (z) For imported engines, identify the
(h) Identify the engine family’s useful including production tolerances. following:
life. Include the following in your (1) The port(s) at which you will
(i) Include the maintenance and description of each parameter: import your engines.
warranty instructions you will give to (1) The nominal or recommended (2) The names and addresses of the
the ultimate purchaser of each new setting. agents you have authorized to import
engine (see §§ 1045.120 and 1045.125). (2) The intended physically adjustable your engines.
(j) Include the emission-related range. (3) The location of test facilities in the
installation instructions you will (3) The limits or stops used to United States where you can test your
provide if someone else installs your establish adjustable ranges. engines if we select them for testing
(4) Information showing why the under a selective enforcement audit, as
engines in a vessel (see § 1045.130).
limits, stops, or other means of specified in 40 CFR part 1068, subpart
(k) Describe your emission control
inhibiting adjustment are effective in E.
information label (see § 1045.135).
preventing adjustment of parameters on
(l) Identify the emission standards or
in-use engines to settings outside your § 1045.210 May I get preliminary approval
FELs to which you are certifying before I complete my application?
intended physically adjustable ranges.
engines in the engine family. (s) Provide the information to read, If you send us information before you
(m) Identify the engine family’s record, and interpret all the information finish the application, we will review it
deterioration factors and describe how broadcast by an engine’s onboard and make any appropriate
you developed them (see § 1045.245). computers and electronic control units. determinations, especially for questions
Present any emission test data you used State that, upon request, you will give related to engine family definitions,
for this. us any hardware, software, or tools we auxiliary emission control devices,
(n) State that you operated your would need to do this. If you broadcast deterioration factors, testing for service
emission-data engines as described in a surrogate parameter for torque values, accumulation, maintenance, and
the application (including the test you must provide us what we need to compliance with not-to-exceed
procedures, test parameters, and test convert these into torque units. You standards. Decisions made under this
fuels) to show you meet the may reference any appropriate publicly section are considered to be preliminary
requirements of this part. released standards that define approval, subject to final review and
(o) Present emission data to show that conventions for these messages and approval. We will generally not reverse
you meet emission standards, as parameters. Format your information a decision where we have given you
follows: consistent with publicly released preliminary approval, unless we find
(1) Present emission data by mode for standards. new information supporting a different
hydrocarbons (such as THC or THCE, as (t) Confirm that your emission-related decision. If you request preliminary
applicable), NOX, and CO on an installation instructions specify how to approval related to the upcoming model
emission-data engine to show your ensure that sampling of exhaust year or the model year after that, we will
engines meet the duty-cycle emission emissions will be possible after engines make best-efforts to make the
standards we specify in § 1045.101. are installed in vessels and placed in appropriate determinations as soon as
Show emission figures before and after service. Show how to sample exhaust practicable. We will generally not
applying deterioration factors for each emissions in a way that prevents provide preliminary approval related to
engine. If we specify more than one diluting the exhaust sample with a future model year more than two years
grade of any fuel type (for example, low- ambient air. ahead of time.
temperature and all-season gasoline), (u) Unconditionally certify that all the
you need to submit test data only for engines in the engine family comply § 1045.220 How do I amend the
one grade, unless the regulations of this with the requirements of this part, other maintenance instructions in my
part specify otherwise for your engine. referenced parts of the CFR, and the application?
(2) Note that §§ 1045.235 and Clean Air Act. You may amend your emission-
1045.245 allow you to submit an (v) Include good-faith estimates of related maintenance instructions after
application in certain cases without new U.S.-directed production volumes. you submit your application for
emission data. Include a justification for the estimated certification, as long as the amended
(p) State that all the engines in the production volumes if they are instructions remain consistent with the
engine family comply with the not-to- substantially different than actual provisions of § 1045.125. You must send
exceed emission standards we specify in production volumes in earlier years for the Designated Compliance Officer a
subpart B of this part for all normal similar models. written request to amend your
operation and use when tested as (w) Include the information required application for certification for an
specified in § 1045.515. Describe any by other subparts of this part. For engine family if you want to change the
relevant testing, engineering analysis, or example, include the information emission-related maintenance
other information in sufficient detail to required by § 1045.725 if you participate instructions in a way that could affect
support your statement. in the ABT program. emissions. In your request, describe the
proposed changes to the maintenance (1) Describe in detail the addition or still be able to meet the emission
instructions. We will disapprove your change in the engine model or standards as specified in subparts B and
request if we determine that the configuration you intend to make. H of this part. If you amend your
amended instructions are inconsistent (2) Include engineering evaluations or application by submitting new test data
with maintenance you performed on data showing that the amended engine to include a newly added or modified
emission-data engines. If operators family complies with all applicable engine, as described in paragraph (b)(3)
follow the original maintenance requirements. You may do this by of this section, use the appropriate FELs
instructions rather than the newly showing that the original emission-data with corresponding production volumes
specified maintenance, this does not engine is still appropriate for showing to calculate your production-weighted
allow you to disqualify those engines that the amended family complies with average FEL for the model year, as
from in-use testing or deny a warranty all applicable requirements. described in subpart H of this part. If
claim. (3) If the original emission-data you amend your application without
(a) If you are changing the specified engine for the engine family is not submitting new test data, you must use
maintenance in a way that could affect appropriate to show compliance for the the higher FEL for the entire family to
emissions, you may distribute the new new or modified engine configuration, calculate your production-weighted
maintenance instructions to your include new test data showing that the average FEL under subpart H of this
customers only after we approve your new or modified engine configuration part.
request. meets the requirements of this part. (2) You may ask to lower the FEL for
(b) You need not request approval if (c) We may ask for more test data or your engine family only if you have test
you are making only minor corrections engineering evaluations. You must give data from production engines showing
(such as correcting typographical us these within 30 days after we request that emissions are below the proposed
mistakes), clarifying your maintenance them. lower FEL. The lower FEL applies only
instructions, or changing instructions (d) For engine families already
to engines you produce after we approve
for maintenance unrelated to emission covered by a certificate of conformity,
the new FEL. Use the appropriate FELs
control. we will determine whether the existing
with corresponding production volumes
certificate of conformity covers your
to calculate your production-weighted
§ 1045.225 How do I amend my application newly added or modified engine. You
average FEL for the model year, as
for certification to include new or modified may ask for a hearing if we deny your
engines or change an FEL? described in subpart H of this part.
request (see § 1045.820).
Before we issue you a certificate of (e) For engine families already § 1045.230 How do I select engine
conformity, you may amend your covered by a certificate of conformity, families?
application to include new or modified you may start producing the new or (a) For purposes of certification,
engine configurations, subject to the modified engine configuration anytime divide your product line into families of
provisions of this section. After we have after you send us your amended engines that are expected to have
issued your certificate of conformity, application and before we make a similar emission characteristics
you may send us an amended decision under paragraph (d) of this throughout the useful life as described
application requesting that we include section. However, if we determine that in this section. Your engine family is
new or modified engine configurations the affected engines do not meet limited to a single model year.
within the scope of the certificate, applicable requirements, we will notify (b) Group engines in the same engine
subject to the provisions of this section. you to cease production of the engines family if they are the same in all the
You must amend your application if any and may require you to recall the following aspects:
changes occur with respect to any engines at no expense to the owner. (1) The combustion cycle and fuel.
information included in your Choosing to produce engines under this (2) The cooling system (for example,
application. paragraph (e) is deemed to be consent to raw-water vs. separate-circuit cooling).
(a) You must amend your application recall all engines that we determine do (3) Method of air aspiration (for
before you take any of the following not meet applicable emission standards example, turbocharged vs. naturally
actions: or other requirements and to remedy the aspirated).
(1) Add an engine configuration to an nonconformity at no expense to the (4) The number, location, volume, and
engine family. In this case, the engine owner. If you do not provide composition of catalytic converters.
configuration added must be consistent information required under paragraph (5) The number, arrangement, and
with other engine configurations in the (c) of this section within 30 days, you approximate bore diameter of cylinders.
engine family with respect to the criteria must stop producing the new or (6) Method of control for engine
listed in § 1045.230. modified engines. operation, other than governing (i.e.,
(2) Change an engine configuration (f) You may ask us to approve a mechanical or electronic).
already included in an engine family in change to your FEL in certain cases after (7) The numerical level of the
a way that may affect emissions, or the start of production. The changed emission standards that apply to the
change any of the components you FEL may not apply to engines you have engine.
described in your application for already introduced into U.S. commerce, (c) You may subdivide a group of
certification. This includes production except as described in this paragraph (f). engines that is identical under
and design changes that may affect If we approve a changed FEL after the paragraph (b) of this section into
emissions any time during the engine’s start of production, you must include different engine families if you show the
lifetime. the new FEL on the emission control expected emission characteristics are
(3) Modify an FEL for an engine information label for all engines different during the useful life.
family as described in paragraph (f) of produced after the change. You may ask (d) You may group engines that are
this section. us to approve a change to your FEL in not identical with respect to the things
(b) To amend your application for the following cases: listed in paragraph (b) of this section in
certification, send the Designated (1) You may ask to raise your FEL for the same engine family, as follows:
Compliance Officer the following your engine family at any time. In your (1) In unusual circumstances, you
information: request, you must show that you will may group such engines in the same
engine family if you show that their (d) You may ask to use emission data volume engine manufacturers may use
emission characteristics during the from a previous model year instead of assigned deterioration factors that we
useful life will be similar. doing new tests, but only if all the establish. Apply deterioration factors as
(2) If you are a small-volume engine following are true: follows:
manufacturer, you may group all your (1) The engine family from the (1) Additive deterioration factor for
high-performance engines into a single previous model year differs from the exhaust emissions. For engines that do
engine family. current engine family only with respect not use aftertreatment technology, use
(3) The provisions of this paragraph to model year or other characteristics an additive deterioration factor for
(e) do not exempt any engines from unrelated to emissions. exhaust emissions. An additive
meeting all the emission standards and (2) The emission-data engine from the deterioration factor is the difference
requirements in subpart B of this part. previous model year remains the between exhaust emissions at the end of
appropriate emission-data engine under useful life and exhaust emissions at the
§ 1045.235 What emission testing must I paragraph (b) of this section.
perform for my application for a certificate low-hour test point. Adjust the official
(3) The data show that the emission- emission results for each tested engine
of conformity?
data engine would meet all the at the selected test point by adding the
This section describes the emission requirements that apply to the engine
testing you must perform to show factor to the measured emissions. If the
family covered by the application for deterioration factor is less than zero, use
compliance with the emission standards certification. For engines originally
in § 1045.101(a). See § 1045.205(p) zero. Additive deterioration factors must
tested under the provisions of 40 CFR be specified to one more decimal place
regarding emission testing related to the part 91, you may consider those test
not-to-exceed standards. See than the emission standard.
procedures to be equivalent to the (2) Multiplicative deterioration factor
§§ 1045.240 and 1045.245 and 40 CFR procedures we specify in subpart F of
part 1065, subpart E, regarding service for exhaust emissions. For engines that
this part. use aftertreatment technology, such as
accumulation before emission testing. (e) We may require you to test a
(a) Select an emission-data engine catalytic converters, use a multiplicative
second engine of the same or different deterioration factor for exhaust
from each engine family for testing as configuration in addition to the engine
described in 40 CFR 1065.401. Select emissions. A multiplicative
tested under paragraph (b) of this deterioration factor is the ratio of
the engine with a configuration that is section.
most likely to exceed the exhaust exhaust emissions at the end of useful
(f) If you use an alternate test life to exhaust emissions at the low-hour
emission standards, using good procedure under 40 CFR 1065.10 and
engineering judgment. Consider the test point. Adjust the official emission
later testing shows that such testing results for each tested engine at the
emission levels of all exhaust does not produce results that are
constituents over the full useful life of selected test point by multiplying the
equivalent to the procedures specified measured emissions by the deterioration
the engine when operated in a vessel. in subpart F of this part, we may reject
(b) Test your emission-data engines factor. If the deterioration factor is less
data you generated using the alternate than one, use one. Multiplicative
using the procedures and equipment procedure.
specified in subpart F of this part. deterioration factors must be specified
(c) We may measure emissions from § 1045.240 How do I demonstrate that my to one more significant figure than the
any of your test engines or other engines engine family complies with exhaust emission standard.
from the engine family, as follows: emission standards? (d) Adjust the official emission results
(1) We may decide to do the testing (a) For purposes of certification, your for each tested engine at the selected
at your plant or any other facility. If we engine family is considered in test point by multiplying the measured
do this, you must deliver the test engine compliance with the emission standards emissions by the deterioration factor,
to a test facility we designate. The test in § 1045.103 or § 1045.105 if all then rounding the adjusted figure to the
engine you provide must include emission-data engines representing that same number of decimal places as the
appropriate manifolds, aftertreatment family have test results showing emission standard. Compare the
devices, electronic control units, and deteriorated emission levels at or below rounded emission levels to the emission
other emission-related components not these standards. Note that your FELs are standard for each emission-data engine.
normally attached directly to the engine considered to be the applicable In the case of HC+NOX standards, add
block. If we do the testing at your plant, emission standards with which you the emission results and apply the
you must schedule it as soon as possible must comply if you participate in the deterioration factor to the sum of the
and make available the instruments, ABT program in subpart H of this part. pollutants before rounding. However, if
personnel, and equipment we need. (b) Your engine family is deemed not your deterioration factors are based on
(2) If we measure emissions on one of to comply if any emission-data engine emission measurements that do not
your test engines, the results of that representing that family has test results cover the vehicle’s full useful life, apply
testing become the official emission showing a deteriorated emission level the deterioration factor to each pollutant
results for the engine. Unless we later above an applicable emission standard and then add the results before
invalidate these data, we may decide from § 1045.101 for any pollutant. rounding.
not to consider your data in determining (c) Determine a deterioration factor to (e) Small-volume engine
if your engine family meets applicable compare emission levels from the manufacturers may establish emission
requirements. emission-data engine with the levels for certification without testing,
(3) We may set the adjustable applicable emission standards. Section as follows:
parameters of your emission-data engine 1045.245 specifies how to test engines (1) For high-performance engines, you
to any point within the physically to develop deterioration factors that may use a family emission limit of 30.0
adjustable ranges (see § 1045.115(e)). represent the expected deterioration in g/kW-hr for HC+NOX emissions and 350
(4) We may calibrate your emission- emissions over your engines’ full useful g/kW-hr for CO emissions.
data engine within normal production life. Your deterioration factors must take (2) For other four-stroke sterndrive/
tolerances for anything we do not into account any available data from in- inboard engines, you may use a family
consider an adjustable parameter. use testing with similar engines. Small- emission limit of 22.0 g/kW-hr for
HC+NOX emissions and 150 g/kW-hr for calculations on a linear relationship service, and the dates and reasons for
CO emissions. connecting these two data points for the maintenance.
(3) Note that you must use emission each pollutant. If you measure (iv) All your emission tests, including
credits under the provisions of subpart emissions at three or more points, use documentation on routine and standard
H of this part to show that you meet a linear least-squares fit of your test data tests, as specified in part 40 CFR part
applicable requirements if you use for each pollutant to calculate your 1065, and the date and purpose of each
family emission limits as specified in deterioration factor. test.
this paragraph (e). Also, if you use these (5) If you test more than one engine (v) All tests to diagnose engine or
family emission limits, you must use to establish deterioration factors, emission control performance, giving
them for both HC+NOX and CO average the deterioration factors from all the date and time of each and the
emissions. the engines before rounding. reasons for the test.
(6) Use good engineering judgment for (vi) Any other significant events.
§ 1045.245 How do I determine all aspects of the effort to establish (4) Production figures for each engine
deterioration factors from exhaust deterioration factors under this family divided by assembly plant.
durability testing? paragraph (b). (5) Keep a list of engine identification
Establish deterioration factors to (7) You may use other testing methods numbers for all the engines you produce
determine whether your engines will to determine deterioration factors, under each certificate of conformity.
meet the exhaust emission standards for consistent with good engineering (c) Keep data from routine emission
each pollutant throughout the useful judgment, as long as we approve those tests (such as test cell temperatures and
life, as described in subpart B of this methods in advance. relative humidity readings) for one year
part and § 1045.240. This section (c) Include the following information after we issue the associated certificate
describes how to determine in your application for certification: of conformity. Keep all other
deterioration factors, either with pre- (1) If you use test data from a different information specified in paragraph (a) of
existing test data or with new emission engine family, explain why this is this section for eight years after we issue
measurements. appropriate and include all the emission your certificate.
(a) You may ask us to approve measurements on which you base the (d) Store these records in any format
deterioration factors for an engine deterioration factor. and on any media, as long as you can
family based on emission measurements (2) If you do testing to determine promptly send us organized, written
from similar engines if you have already deterioration factors, describe the form records in English if we ask for them.
given us these data for certifying the and extent of service accumulation, You must keep these records readily
other engines in the same or earlier including the method you use to
available. We may review them at any
model years. Use good engineering accumulate hours.
time.
judgment to decide whether the two § 1045.250 What records must I keep and (e) Send us copies of any engine
engines are similar. what reports must I send to EPA? maintenance instructions or
(b) If you are unable to determine explanations if we ask for them.
(a) If you produce engines under any
deterioration factors for an engine
provisions of this part that are related to
family under paragraph (a) of this production volumes, send the
§ 1045.255 What decisions may EPA make
section, select engines, subsystems, or regarding my certificate of conformity?
Designated Compliance Officer a report
components for testing. Determine within 30 days after the end of the (a) If we determine your application is
deterioration factors based on service model year describing the total number complete and shows that the engine
accumulation and related testing. of engines you produced in each engine family meets all the requirements of this
Include consideration of wear and other family. For example, if you use special part and the Act, we will issue a
causes of deterioration expected under provisions intended for small-volume certificate of conformity for your engine
typical consumer use. Determine engine manufacturers, report your family for that model year. We may
deterioration factors as follows: production volumes to show that you do make the approval subject to additional
(1) You must measure emissions from not exceed the applicable limits. conditions.
the emission-data engine at a low-hour (b) Organize and maintain the (b) We may deny your application for
test point and the end of the useful life. following records: certification if we determine that your
You may also test at evenly spaced (1) A copy of all applications and any engine family fails to comply with
intermediate points. Collect emission summary information you send us. emission standards or other
data using measurements to one more (2) Any of the information we specify requirements of this part or the Act. Our
decimal place than the emission in § 1045.205 that you were not required decision may be based on a review of all
standard. to include in your application. information available to us. If we deny
(2) Operate the engine over a (3) A detailed history of each your application, we will explain why
representative duty cycle for a period at emission-data engine. For each engine, in writing.
least as long as the useful life (in hours). describe all of the following: (c) In addition, we may deny your
You may operate the engine (i) The emission-data engine’s application or suspend or revoke your
continuously. You may also use an construction, including its origin and certificate if you do any of the
engine installed in a vessel to buildup, steps you took to ensure that following:
accumulate service hours instead of it represents production engines, any (1) Refuse to comply with any testing
running the engine only in the components you built specially for it, or reporting requirements.
laboratory. and all the components you include in (2) Submit false or incomplete
(3) You may perform maintenance on your application for certification. information (paragraph (e) of this
emission-data engines as described in (ii) How you accumulated engine section applies if this is fraudulent).
§ 1045.125 and 40 CFR part 1065, operating hours (service accumulation), (3) Render inaccurate any test data.
subpart E. including the dates and the number of (4) Deny us from completing
(4) If you measure emissions at only hours accumulated. authorized activities (see 40 CFR
two points to calculate your (iii) All maintenance, including 1068.20). This includes a failure to
deterioration factor, base your modifications, parts changes, and other provide reasonable assistance.
(5) Produce engines for importation these production-line testing (2) This subpart otherwise specifically
into the United States at a location requirements must also conform to all allows your action.
where local law prohibits us from applicable regulations of this part and (3) We approve your action in
carrying out authorized activities. 40 CFR part 1068. advance.
(6) Fail to supply requested (d) You may ask to use an alternate (c) Engine malfunction. If an engine
information or amend your application program for testing production-line malfunction prevents further emission
to include all engines being produced. engines. In your request, you must show testing, ask us to approve your decision
(7) Take any action that otherwise us that the alternate program gives equal to either repair the engine or delete it
circumvents the intent of the Act or this assurance that your products meet the from the test sequence.
part. requirements of this part. We may waive (d) Setting adjustable parameters.
(d) We may void your certificate if some or all of this subpart’s Before any test, we may require you to
you do not keep the records we require requirements if we approve your adjust any adjustable parameter to any
or do not give us information as alternate program. setting within its physically adjustable
required under this part or the Act. range.
(e) If you certify an engine family with
(e) We may void your certificate if we (1) We may require you to adjust idle
carryover emission data, as described in
find that you intentionally submitted speed outside the physically adjustable
§ 1045.235(c), and these equivalent
false or incomplete information. range as needed, but only until the
engine families consistently pass the
(f) If we deny your application or engine has stabilized emission levels
production-line testing requirements
suspend, revoke, or void your (see paragraph (e) of this section). We
over the preceding two-year period, you
certificate, you may ask for a hearing may ask you for information needed to
may ask for a reduced testing rate for
(see § 1045.820). establish an alternate minimum idle
further production-line testing for that
speed.
family. The minimum testing rate is one (2) We may specify adjustments
Subpart D—Testing Production-line
engine per engine family. If we reduce within the physically adjustable range
Engines
your testing rate, we may limit our by considering their effect on emission
§ 1045.301 When must I test my approval to any number of model years. levels, as well as how likely it is
production-line engines? In determining whether to approve your someone will make such an adjustment
(a) If you produce engines that are request, we may consider the number of with in-use engines.
subject to the requirements of this part, engines that have failed the emission (e) Stabilizing emission levels. You
you must test them as described in this tests. may operate the engine to stabilize the
subpart, except as follows: (f) We may ask you to make a emission levels before you test
(1) Small-volume engine reasonable number of production-line production-line engines. Using good
manufacturers may omit testing under engines available for a reasonable time engineering judgment, operate your
this subpart. so we can test or inspect them for engines in a way that represents the way
(2) We may exempt engine families compliance with the requirements of production engines will be used. You
with a projected U.S.-directed this part. See 40 CFR 1068.27. may operate each engine for no more
production volume below 150 units
§ 1045.305 How must I prepare and test my than the greater of two periods:
from routine testing under this subpart. (1) 12 hours.
production-line engines?
Request this exemption in the (2) The number of hours you operated
application for certification and include This section describes how to prepare your emission-data engine for certifying
your basis for projecting a production and test production-line engines. You the engine family (see 40 CFR part 1065,
volume below 150 units. You must must assemble the test engine in a way subpart E, or the applicable regulations
promptly notify us if your actual that represents the assembly procedures governing how you should prepare your
production exceeds 150 units during the for other engines in the engine family. test engine).
model year. If you exceed the You must ask us to approve any (f) Damage during shipment. If
production limit or if there is evidence deviations from your normal assembly shipping an engine to a remote facility
of a nonconformity, we may require you procedures for other production engines for production-line testing makes
to test production-line engines under in the engine family. necessary an adjustment or repair, you
this subpart, or under 40 CFR part 1068, (a) Test procedures. Test your must wait until after the initial emission
subpart E, even if we have approved an production-line engines using the test to do this work. We may waive this
exemption under this paragraph (a)(2). applicable testing procedures in subpart requirement if the test would be
(b) We may suspend or revoke your F of this part to show you meet the duty- impossible or unsafe, or if it would
certificate of conformity for certain cycle emission standards in subpart B of permanently damage the engine. Report
engine families if your production-line this part. The not-to-exceed standards to us in your written report under
engines do not meet the requirements of apply for this testing, but you need not § 1045.345 all adjustments or repairs
this part or you do not fulfill your do additional testing to show that you make on test engines before each
obligations under this subpart (see production-line engines meet the not-to- test.
§§ 1045.325 and 1045.340). exceed standards. (g) Retesting after invalid tests. You
(c) Other regulatory provisions (b) Modifying a test engine. Once an may retest an engine if you determine
authorize us to suspend, revoke, or void engine is selected for testing (see an emission test is invalid under
your certificate of conformity, or order § 1045.310), you may adjust, repair, subpart F of this part. Explain in your
recalls for engine families without prepare, or modify it or check its written report reasons for invalidating
regard to whether they have passed emissions only if one of the following is any test and the emission results from
these production-line testing true: all tests. If you retest an engine, you
requirements. The requirements of this (1) You document the need for doing may ask us to substitute results of the
subpart do not affect our ability to do so in your procedures for assembling new tests for the original ones. You
selective enforcement audits, as and inspecting all your production must ask us within ten days of testing.
described in 40 CFR part 1068. engines and make the action routine for We will generally answer within ten
Individual engines in families that pass all the engines in the engine family. days after we receive your information.
§ 1045.310 How must I select engines for (2) For engine families with projected section. Use the last test result from the
production-line testing? U.S.-directed production volume below previous model year only for this first
(a) Test engines from each engine 1,600, the whole model year constitutes calculation. For all subsequent
family as described in this section based a single test period. calculations, use only results from the
on test periods, as follows: (b) Early in each test period, randomly current model year.
(1) For engine families with projected select and test an engine from the end (c) Calculate the required sample size
U.S.-directed production volume of at of the assembly line for each engine for each engine family. Separately
least 1,600, the test periods are family. calculate this figure for HC+NOX and
consecutive quarters (3 months). (1) In the first test period for newly CO. The required sample size is the
However, if your annual production certified engines, randomly select and greater of these calculated values. Use
period is less than 12 months long, you test one more engine. Then, calculate the following equation:
may take the following alternative the required sample size for the model
approach to define quarterly test N = [(t95 × s)/(x ¥ STD)]2 + 1
year as described in paragraph (c) of this
periods: section. Where:
(i) If your annual production period is N = Required sample size for the model year.
120 days or less, the whole model year (2) In later test periods of the same
model year, combine the new test result t95 = 95% confidence coefficient, which
constitutes a single test period. depends on the number of tests
(ii) If your annual production period with all previous testing in the model completed, n, as specified in the table in
is 121 to 210 days, divide the annual year. Then, calculate the required paragraph (c)(1) of this section. It defines
production period evenly into two test sample size for the model year as 95% confidence intervals for a one-tail
periods. described in paragraph (c) of this distribution.
(iii) If your annual production period section. x = Mean of emission test results of the
is 211 to 300 days, divide the annual (3) In the first test period for engine sample.
production period evenly into three test families relying on previously submitted STD = Emission standard (or family emission
test data, combine the new test result limit, if applicable).
periods. s = Test sample standard deviation (see
(iv) If your annual production period with the last test result from the paragraph (c)(2) of this section).
is 301 days or longer, divide the annual previous model year. Then, calculate
production period evenly into four test the required sample size for the model (1) Determine the 95% confidence
periods. year as described in paragraph (c) of this 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, to meet the calculated sample size, you this paragraph (g)(4) if it fails to meet an
s, for the test sample using the may wait until the next quarter to do applicable emission standard.
following formula: additional testing. Continue to (5) You choose to declare that the
s = [S(Xi ¥ x)2/(n ¥ 1)]1/2 randomly select engines from each engine family does not comply with the
engine family. requirements of this subpart.
Where:
(g) Continue testing until one of the
Xi = Emission test result for an individual following things happens: (h) If the sample-size calculation
engine. (1) After completing the minimum allows you to stop testing for one
n = The number of tests completed in an
number of tests required in paragraph pollutant but not another, you must
engine family.
(b) of this section, the number of tests continue measuring emission levels of
(d) Use final deteriorated test results completed in an engine family, n, is all pollutants for any additional tests
to calculate the variables in the greater than the required sample size, N, required under this section. However,
equations in paragraph (c) of this and the sample mean, x, is less than or you need not continue making the
section (see § 1045.315(a)). equal to the emission standard. For calculations specified in this section for
(e) After each new test, recalculate the example, if N = 5.1 after the fifth test, the pollutant for which testing is not
required sample size using the updated the sample-size calculation does not required. This paragraph (h) does not
mean values, standard deviations, and allow you to stop testing. affect the number of tests required
the appropriate 95-percent confidence (2) The engine family does not under this section or the remedial steps
coefficient. comply according to § 1045.315. required under § 1045.320.
(f) Distribute the remaining engine (3) You test 30 engines from the
tests evenly throughout the rest of the engine family. (i) You may elect to test more
year. You may need to adjust your (4) You test one percent of your randomly chosen engines than we
schedule for selecting engines if the projected annual U.S.-directed require under this section. Include these
required sample size changes. If your production volume for the engine engines in the sample-size calculations.
scheduled quarterly testing for the family, rounded to the nearest whole
remainder of the model year is sufficient number. Do not count an engine under
§ 1045.315 How do I know when my engine calculations of sample size or CumSum judgment in establishing the original
family fails the production-line testing statistics for the model year. FEL.
requirements?
This section describes the pass-fail § 1045.320 What happens if one of my § 1045.330 May I sell engines from an
criteria for the production-line testing production-line engines fails to meet engine family with a suspended certificate
emission standards? of conformity?
requirements. We apply these criteria on
an engine-family basis. See § 1045.320 (a) If you have a production-line You may sell engines that you
for the requirements that apply to engine with final deteriorated test produce after we suspend the engine
individual engines that fail a results exceeding one or more emission family’s certificate of conformity under
production-line test. standards (see § 1045.315(a)), the § 1045.315 only if one of the following
(a) Calculate your test results as certificate of conformity is automatically occurs:
follows: suspended for that failing engine. You (a) You test each engine you produce
(1) Initial and final test results. must take the following actions before and show it complies with emission
Calculate and round the test results for your certificate of conformity can cover standards that apply.
that engine: (b) We conditionally reinstate the
each engine. If you do several tests on
(1) Correct the problem and retest the certificate for the engine family. We may
an engine, calculate the initial test
engine to show it complies with all do so if you agree to recall all the
results, then add them together and
emission standards. affected engines and remedy any
divide by the number of tests and round
(2) Include in your written report a noncompliance at no expense to the
for the final test results on that engine.
description of the test results and the owner if later testing shows that the
(2) Final deteriorated test results.
remedy for each engine (see § 1045.345). engine family still does not comply.
Apply the deterioration factor for the
engine family to the final test results (b) You may request to amend the § 1045.335 How do I ask EPA to reinstate
(see § 1045.240(c)). application for certification to raise the my suspended certificate?
(3) Round deteriorated test results. FEL of the entire engine family at this (a) Send us a written report asking us
Round the results to the number of point (see § 1045.225). to reinstate your suspended certificate.
decimal places in the emission standard § 1045.325 What happens if an engine In your report, identify the reason for
expressed to one more decimal place. family fails the production-line testing noncompliance, propose a remedy for
(b) Construct the following CumSum requirements? the engine family, and commit to a date
Equation for each engine family for (a) We may suspend your certificate of for carrying it out. In your proposed
HC+NOX and CO emissions: conformity for an engine family if it fails remedy include any quality control
Ci = Max [0 or Ci-1 + Xi ¥ (STD + 0.25 under § 1045.315. The suspension may measures you propose to keep the
× s)] apply to all facilities producing engines problem from happening again.
Where: from an engine family, even if you find (b) Give us data from production-line
noncompliant engines only at one testing that shows the remedied engine
Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the facility. family complies with all the emission
first test, the CumSum statistic is 0 (i.e. (b) We will tell you in writing if we standards that apply.
C1 = 0). suspend your certificate in whole or in § 1045.340 When may EPA revoke my
Xi = The current emission test result for an part. We will not suspend a certificate certificate under this subpart and how may
individual engine. until at least 15 days after the engine I sell these engines again?
STD = Emission standard (or family emission family fails. The suspension is effective
limit, if applicable). (a) We may revoke your certificate for
when you receive our notice. an engine family in the following cases:
(c) Use final deteriorated test results (c) Up to 15 days after we suspend the (1) You do not meet the reporting
to calculate the variables in the equation certificate for an engine family, you may requirements.
in paragraph (b) of this section (see ask for a hearing (see § 1045.820). If we (2) Your engine family fails to comply
§ 1045.315(a)). agree before a hearing occurs that we with the requirements of this subpart
(d) After each new test, recalculate the used erroneous information in deciding and your proposed remedy to address a
CumSum statistic. to suspend the certificate, we will suspended certificate under § 1045.325
(e) If you test more than the required reinstate the certificate. is inadequate to solve the problem or
number of engines, include the results (d) Section 1045.335 specifies steps requires you to change the engine’s
from these additional tests in the you must take to remedy the cause of design or emission control system.
CumSum Equation. the engine family’s production-line (b) To sell engines from an engine
(f) After each test, compare the failure. All the engines you have family with a revoked certificate of
current CumSum statistic, Ci, to the produced since the end of the last test conformity, you must modify the engine
recalculated Action Limit, H, defined as period are presumed noncompliant and family and then show it complies with
H = 5.0 × s. should be addressed in your proposed the requirements of this part.
(g) If the CumSum statistic exceeds remedy. We may require you to apply (1) If we determine your proposed
the Action Limit in two consecutive the remedy to engines produced earlier design change may not control
tests, the engine family fails the if we determine that the cause of the emissions for the engine’s full useful
production-line testing requirements of failure is likely to have affected the life, we will tell you within five working
this subpart. Tell us within ten working earlier engines. days after receiving your report. In this
days if this happens. You may request (e) You may request to amend the case we will decide whether
to amend the application for application for certification to raise the production-line testing will be enough
certification to raise the FEL of the FEL of the engine family before or after for us to evaluate the change or whether
entire engine family as described in we suspend your certificate if you meet you need to do more testing.
§ 1045.225(f). the requirements of § 1045.225(f). We (2) Unless we require more testing,
(h) If you amend the application for will approve your request if the failure you may show compliance by testing
certification for an engine family under is not caused by a defect and it is clear production-line engines as described in
§ 1045.225, do not change any previous that you used good engineering this subpart.
(3) We will issue a new or updated procedures for test engines in a way that under each certificate of conformity.
certificate of conformity when you have might affect emission controls. All the Give us this list within 30 days if we ask
met these requirements. information in this report is true and for it.
accurate to the best of my knowledge. I (g) We may ask you to keep or send
§ 1045.345 What production-line testing know of the penalties for violating the other information necessary to
records must I send to EPA?
Clean Air Act and the regulations. implement this subpart.
Do all the following things unless we (Authorized Company Representative)
ask you to send us less information: (d) Send electronic reports of Subpart E—In-use Testing
(a) Within 30 calendar days of the end production-line testing to the
of each test period, send us a report § 1045.401 What testing requirements
Designated Compliance Officer using an apply to my engines that have gone into
with the following information: approved information format. If you
(1) Describe any facility used to test service?
want to use a different format, send us (a) We may perform in-use testing of
production-line engines and state its a written request with justification for a
location. any engine subject to the standards of
waiver. this part. If you produce outboard or
(2) State the total U.S.-directed (e) We will send copies of your
production volume and number of tests personal watercraft engines that are
reports to anyone from the public who
for each engine family. subject to the requirements of this part,
asks for them. Section 1045.815
(3) Describe how you randomly you must test them as described in this
describes how we treat information you
selected engines. subpart. The testing requirements
consider confidential.
(4) Describe each test engine, described in this subpart do not apply
including the engine family’s § 1045.350 What records must I keep? to sterndrive/inboard engines. This
identification and the engine’s model (a) Organize and maintain your generally involves testing engines in the
year, build date, model number, records as described in this section. We field or removing them for measurement
identification number, and number of may review your records at any time. in a laboratory.
hours of operation before testing. (b) Keep paper records of your (b) We may approve an alternate plan
(5) Identify how you accumulated production-line testing for eight years for showing that in-use engines comply
hours of operation on the engines and after you complete all the testing with the requirements of this part if one
describe the procedure and schedule required for an engine family in a model of the following is true:
you used. year. You may use any additional (1) You produce 200 or fewer engines
(6) Provide the test number; the date, storage formats or media if you like. per year in the selected engine family.
time and duration of testing; test (c) Keep a copy of the written reports (2) You identify a unique aspect of
procedure; initial test results before and described in § 1045.345. your engine applications that keeps you
after rounding; final test results; and (d) Keep the following additional from doing the required in-use testing.
final deteriorated test results for all records: (c) We may void your certificate of
tests. Provide the emission results for all (1) A description of all test equipment conformity for an engine family if you
measured pollutants. Include for each test cell that you can use to test do not meet your obligations under this
information for both valid and invalid production-line engines. part.
tests and the reason for any (2) The names of supervisors involved (d) Independent of your responsibility
invalidation. in each test. to test in-use engines, we may choose at
(7) Describe completely and justify (3) The name of anyone who any time to do our own testing of your
any nonroutine adjustment, authorizes adjusting, repairing, in-use engines.
modification, repair, preparation, preparing, or modifying a test engine (e) If in-use testing shows that engines
maintenance, or test for the test engine and the names of all supervisors who fail to meet emission standards or other
if you did not report it separately under oversee this work. requirements of this part, we may
this subpart. Include the results of any (4) If you shipped the engine for pursue a recall or other remedy as
emission measurements, regardless of testing, the date you shipped it, the allowed by the Act (see § 1045.415).
the procedure or type of engine. associated storage or port facility, and
(8) Provide the CumSum analysis § 1045.405 How does this program work?
the date the engine arrived at the testing
required in § 1045.315 and the sample- facility. (a) You must test in-use engines for
size calculation required in § 1045.310 (5) Any records related to your exhaust emissions from the families we
for each engine family. production-line tests that are not in the select. We may select up to 25 percent
(9) Report on each failed engine as written report. of your engine families in any model
described in § 1045.320. (6) A brief description of any year or one engine family if you have
(10) State the date the test period significant events during testing not three or fewer families. When we select
ended for each engine family. otherwise described in the written an engine family for testing, we may
(b) We may ask you to add report or in this section. specify that you preferentially test
information to your written report so we (7) Any information specified in engines based on the type of vessel. In
can determine whether your new § 1045.345 that you do not include in addition, we may identify specific
engines conform with the requirements your written reports. modes of operation or sampling times.
of this subpart. (e) If we ask, you must give us a more You may choose to test additional
(c) An authorized representative of detailed description of projected or engine families that we do not select.
your company must sign the following actual production figures for an engine (b) The provisions of this paragraph
statement: family. We may ask you to divide your (b) describe how test families are
We submit this report under sections production figures by maximum engine selected, depending on when we receive
208 and 213 of the Clean Air Act. Our power, displacement, fuel type, or the application for certification.
production-line testing conformed assembly plant (if you produce engines (1) If we receive the application by
completely with the requirements of 40 at more than one plant). December 31 of a given calendar year for
CFR part 1045. We have not changed (f) Keep a list of engine identification the following model year (for example,
production processes or quality-control numbers for all the engines you produce by December 31, 2009 for model year
2010), we would expect to select engine your own fleet or from other exceed standards in § 1045.103(c) or
families for testing by February 28 of the independent sources. § 1045.105(c).
model year. If we have not completed (b) For the selected engine families, (2) Test the selected engines while
the selection of engine families by select engines that you or your they remain installed in the vessel. Use
February 28, you may select your own customers have— the procedures in § 1045.515. Measure
engine families for in-use testing. In this (1) Operated for at least 50 percent of emissions during normal operation of
case, you must make your selections the engine family’s useful life (see the vessel to show compliance with the
and notify us which engine families you § 1045.103(e)); not-to-exceed standards in § 1045.103(c)
have selected by March 31. You should (2) Not maintained or used in an or § 1045.105(c). We may direct you to
consider the following factors in abnormal way; and include specific areas of normal
selecting engine families, in priority (3) Documented in terms of total operation.
order: hours of operation, maintenance, (g) You may ask us to waive parts of
(i) Select an engine family that has not operating conditions, and storage. the prescribed test procedures if they
recently been tested in an in-use testing (c) Use the following methods to are not necessary to determine in-use
regimen (and passed) under the determine the number of engines you compliance.
provisions of this subpart. This should must test in each engine family: (h) Calculate the average emission
generally involve engine families that (1) Test at least two engines if you levels for an engine family from the
have not been selected in the previous produce 2,000 or fewer engines in the results for the set of tested engines.
two model years. If design changes have model year from all engine families, or Round them to the number of decimal
required new testing for certification, if you produce 500 or fewer engines places in the emission standards
we would consider that this engine from the selected engine family. expressed to one more decimal place.
family has not been selected for in-use Otherwise, test at least four engines. § 1045.415 What happens if in-use engines
testing. (2) If you successfully complete an in- do not meet requirements?
(ii) Select an engine family if we have use test program on an engine family (a) Determine the reason each in-use
approved an alternative approach to and later certify an equivalent engine engine exceeds the emission standards.
establishing a deterioration factor under family with carryover emission data, as (b) If the average emission levels
§ 1045.245(b)(7). described in § 1045.235(d)(1), then test calculated in § 1045.410(h) exceed any
(iii) Select the engine family with the at least one engine instead of the testing of the emission standards that apply,
highest projected U.S.-directed rates in paragraph (c)(1) of this section. notify us within fifteen days of
production volume. (3) If you test the minimum required completing testing on this family.
(2) If we receive an application for a number of engines and all comply fully Otherwise follow the reporting
given model year after December 31 of with emission standards, you may stop instructions in § 1045.420.
the previous calendar year, you must testing. (c) We will consider failure rates,
conduct in-use testing with that engine (4) For each engine that fails any average emission levels, and any
family without regard to the limitations applicable standard, test two more. defects—among other things—to decide
specified in paragraph (a) of this Regardless of measured emission levels, on taking remedial action under this
section, unless we waive this you do not have to test more than ten subpart (see 40 CFR 1068.505). We may
requirement. We will generally waive engines in an engine family. You may consider the results from any voluntary
testing under this paragraph (b)(2) only do more tests than we require. additional testing you perform. We may
for small-volume engine manufacturers (5) You may concede that the engine also consider information related to
or in the case where similar testing was family does not comply before testing a testing from other engine families
recently completed for a related engine total of ten engines. showing that you designed them to
family. (d) You may do minimal maintenance exceed the minimum requirements for
(c) Send us an in-use testing plan for to set components of a test engine to controlling emissions. We may order a
engine families selected for testing. specifications for anything we do not recall before or after you complete
Complete the testing within 24 calendar consider an adjustable parameter (see testing of an engine family if we
months after we approve your plan. § 1045.205(r)). Limit maintenance to determine a substantial number of
Send us the in-use testing plan what is in the owner’s instructions for engines do not conform to section 213
according to the following deadlines: engines with that amount of service and of the Act or to this part. The scope of
(1) Within 12 calendar months after age. Document all maintenance and the recall may include other engine
we direct you to test a particular engine adjustments. families in the same or different model
family. (e) You may do repeat measurements years if the cause of the problem
(2) By February 28 of the following with a test engine; however, you must identified in paragraph (a) of this
year if you select engine families for conduct the same number of tests on section applies more broadly than the
testing under paragraph (b)(1) of this each engine. tested engine family, as allowed by the
section. (f) For a test program on an engine Act.
(3) Within 12 calendar months after family, choose one of the following (d) If in-use testing reveals a design or
we approve certification for engine methods to test your engines: manufacturing defect that prevents
families subject to the requirements of (1) Remove the selected engines for engines from meeting the requirements
paragraph (b)(2) of this section. testing in a laboratory. Use the of this part, you must correct the defect
(d) You may need to test engines from applicable steady-state and transient as soon as possible for any future
more than one model year at a given procedures in subpart F of this part to production for engines in every family
time. show compliance with the duty-cycle affected by the defect. See 40 CFR
standards in § 1045.103(a) or 1068.501 for additional requirements
§ 1045.410 How must I select, prepare, and § 1045.105(a). We may direct you to related to defect reporting.
test my in-use engines? measure emissions on the dynamometer (e) You may voluntarily recall an
(a) You may make arrangements to using the test procedures in § 1045.515 engine family for emission failures, as
select representative test engines from to show compliance with the not-to- described in 40 CFR 1068.535, unless
we have ordered a recall for that family (b) General requirements. Use the (1) For discrete-mode testing, sample
under 40 CFR 1068.505. equipment and procedures for spark- emissions separately for each mode,
(f) You have the right to a hearing ignition engines in 40 CFR part 1065 to then calculate an average emission level
before we order you to recall your determine whether engines meet the for the whole cycle using the weighting
engines or implement an alternative duty-cycle emission standards in factors specified for each mode. In each
remedy (see § 1045.820). §§ 1045.103 and 1045.105. Measure the mode, operate the engine for at least 5
emissions of all regulated pollutants as minutes, then sample emissions for at
§ 1045.420 What in-use testing information
must I report to EPA? specified in 40 CFR part 1065. Use the least 1 minute. Calculate cycle statistics
applicable duty cycles specified in for each mode and compare with the
(a) In a report to us within three
§ 1045.505. Section 1045.515 describes specified values in 40 CFR 1065.514 to
months after you finish testing an
the supplemental procedures for confirm that the test is valid.
engine family, do all the following:
(1) Identify the engine family, model, evaluating whether engines meet the (2) For ramped-modal testing, start
serial number, and date of manufacture. not-to-exceed emission standards in sampling at the beginning of the first
(2) [Reserved] §§ 1045.103(c) and 1045.105(c). mode and continue sampling until the
(3) Describe the specific reasons for (c) Fuels. Use the fuels and lubricants end of the last mode. Calculate
disqualifying any engines for not being specified in 40 CFR part 1065, subpart emissions and cycle statistics the same
properly maintained or used. H, for all the testing we require in this as for transient testing as specified in 40
(4) For each engine selected for part, except as specified in § 1045.515. CFR part 1065, subpart G.
testing, include the following For service accumulation, use the test (b) Measure emissions by testing the
information: fuel or any commercially available fuel engine on a dynamometer to determine
(i) Estimate the hours each engine was that is representative of the fuel that in- whether it meets the emission standards
used before testing. use engines will use. in § 1045.101(a). Use the 5-mode duty
(ii) Describe all maintenance, (d) Laboratory conditions. Ambient cycle or the corresponding ramped-
adjustments, modifications, and repairs conditions for duty-cycle testing must modal cycle described in Appendix I of
to each test engine. be within the ranges specified in 40 CFR this part.
(5) State the date and time of each test 1065.520, except that atmospheric (c) During idle mode, operate the
attempt. pressure must be between 94.0 and engine with the following parameters:
(6) Include the results of all emission 103.325 kPa. Humidity levels must (1) Hold the speed within your
testing, including incomplete or represent actual in-use humidity levels. specifications.
invalidated tests, if any. Emissions may not be corrected for the
(b) Send electronic reports of in-use (2) Set the engine to operate at its
effects of test temperature, pressure, or minimum fueling rate.
testing to the Designated Compliance humidity.
Officer using an approved information (3) Keep engine torque under 5
(e) Special and alternate procedures.
format. If you want to use a different percent of maximum torque at
If you are unable to run the test cycle
format, send us a written request with maximum test speed.
specified in this part for your engine
justification for a waiver. (such as with constant-speed engines), (d) For full-load operating modes,
(c) We will send copies of your use an alternate test cycle that will operate the engine at wide-open throttle.
reports to anyone from the public who result in a cycle-weighted emission (e) See 40 CFR part 1065 for detailed
asks for them. See § 1045.815 for measurement equivalent to the expected specifications of tolerances and
information on how we treat average in-use emissions. This cycle calculations.
information you consider confidential. must be approved under 40 CFR
(d) We may ask for more information. § 1045.515 What are the test procedures
1065.10. You may use other special or related to not-to-exceed standards?
§ 1045.425 What records must I keep? alternate procedures to the extent we (a) This section describes the
(a) Organize and maintain your allow them under 40 CFR 1065.10. procedures to determine whether your
records as described in this section. We (f) Laboratory testing with portable engines meet the not-to-exceed emission
may review your records at any time, so analyzers. You may use portable standards in §§ 1045.103(c) and
it is important to keep required emission measurement systems for any 1045.105(c). These procedures may
information readily available. laboratory testing with high- include any normal engine operation
(b) Keep paper records of your in-use performance engines, as specified in 40 and ambient conditions that the engines
testing for one full year after you CFR 1065.901(b), without requesting may experience in use. Paragraphs (b)
complete all the testing required for an approval. and (c) of this section define the limits
engine family in a model year. You may § 1045.505 How do I test engines using of what we will consider normal engine
use any additional storage formats or discrete-mode or ramped-modal duty operation and ambient conditions. Use
media if you like. cycles? the test procedures we specify in
(c) Keep a copy of the written reports (a) This section describes how to test § 1045.501, except for the provisions we
described in § 1045.420. engines under steady-state conditions. specify in this section. Measure
(d) Keep any additional records We allow you to perform tests with emissions with one of the following
related to the procurement process. either discrete-mode or ramped-modal procedures:
Subpart F—Test Procedures sampling. You must use the modal (1) For laboratory testing of installed
testing method for certification and all engines, remove the selected engines
§ 1045.501 How do I run a valid emission other testing you perform for an engine from the vessel. You may use an engine
test? family. If we test your engines to dynamometer to simulate normal
(a) Applicability. This subpart is confirm that they meet emission operation, as described in this section.
addressed to you as a manufacturer, but standards, we will use the modal testing (2) For laboratory testing of outboard
it applies equally to anyone who does method you select for your own testing. engines, you may use an engine
testing for you, and to us when we We may also perform other testing as dynamometer to simulate normal
perform testing to determine if your allowed by the Clean Air Act. Conduct operation, as described in this section,
engines meet emission standards. duty-cycle testing as follows: or you may test it using the procedures
specified in paragraph (3) of this any nominally steady-state combination (v) Speeds and torques above the line
paragraph (a). of speeds and loads within the defined by the following equation:
(3) Test selected sterndrive/inboard applicable zone defined by segments on Normalized torque = (normalized
engines and personal watercraft engines an engine’s power vs. speed map speed)1.5 ¥ 0.08
while they remain installed in the specified in paragraph (c)(2) of this (vi) Torques at or above 25.3 percent
vessel. Test selected outboard engines in section, except as follows: of maximum torque at maximum test
their in-use configuration while (i) You may request that we specify a speed.
mounted appropriately on a vessel. In narrower zone, as long as the modified (3) The NTE zone described in
40 CFR part 1065, subpart J, we describe zone includes all points where your paragraph (c)(2) of this section is
the equipment and sampling methods engines are expected to normally divided into the following subzones for
for testing engines in the field. Use fuel operate in use, but not including any determining the applicable NTE
meeting the specifications of 40 CFR points at which engine speed is below standards, as illustrated in Figure 1 of
part 1065, subpart H, or a fuel typical 40 percent of maximum test speed or this section:
of what you would expect the engine to engine load is below 25.3 percent of (i) Subzone 1 includes all operation in
use in service. maximum torque at maximum test the NTE zone characterized by speeds
(b) Engine testing may occur under a speed. above 90 percent of maximum test
range of ambient conditions as follows: (ii) You must notify us if you design speed or loads above 100 percent of
(1) Engine testing may occur under your engines for normal in-use maximum torque at maximum test
the following ranges of ambient operation outside the specified zone. If speed.
conditions without correcting measured we learn that normal in-use operation (ii) Subzone 2 includes all operation
emission levels: for your engines includes other speeds in the NTE zone characterized by speeds
(i) Barometric pressure must be and loads, we may specify a broader above 70 percent of maximum test
between 94.0 and 103.325 kPa. zone, as long as the modified zone is speed or loads above 80 percent of
(ii) Ambient air temperature must be limited to normal in-use operation for maximum torque at maximum test
between 13 and 35 °C. speeds greater than 40 percent of speed, but excluding Subzone 1.
(iii) Ambient water temperature must maximum test speed and loads greater (iii) Subzone 3 includes all operation
be between 5 and 27 °C. than 25.3 percent of maximum torque at in the NTE zone characterized by speeds
(iv) Any ambient humidity level. maximum test speed. above 50 percent of maximum test
(2) Engine testing may occur outside (2) The NTE zone for testing engines speed, but excluding Subzones 1 and 2.
the conditions described in paragraph under this section is defined by the (iv) Subzone 4 includes all operation
(b)(1) of this section, as long as following segments on an engine’s in the NTE zone excluding Subzones 1,
measured values are corrected to be torque vs. speed map, as illustrated in 2, and 3.
equivalent to the nearest end of the Figure 1 of this section: (4) The sampling period may not
specified range using good engineering (i) Speed at or above 40 percent of begin until the engine has reached
practice. maximum test speed. stable operating temperatures. For
(c) An engine’s emissions may not (ii) Speeds and torques below the line
example, this would exclude engine
exceed the NTE standards in defined by the following equation:
operation after starting until the
§ 1045.103(c) or § 1045.105(c) for any Normalized torque = 1.5 × normalized
thermostat starts modulating coolant
continuous sampling period of at least speed ¥ 0.16
temperature. The sampling period may
30 seconds under the following ranges (iii) Speeds and torques at or below
also not include engine starting.
of engine operation: the engine’s mapped torque values.
(1) Engine operation during the (iv) Speeds at or below 100 percent of Figure 1 to § 1045.515—NTE Zone and
emission sampling period may include maximum test speed. Subzones
§ 1045.520 What testing must I perform to under 40 CFR parts 85 and 86 or part modifications prevent you from using
establish deterioration factors? 1048 for the appropriate model year. For the provisions of this section.
Sections 1045.240 and 1045.245 outboard or personal watercraft engines, (c) Liability. Engines for which you
describe the required methods for you may also introduce the engines into meet the requirements of this section are
testing to establish deterioration factors U.S. commerce if they are already exempt from all the requirements and
for an engine family. certified to the requirements that apply prohibitions of this part, except for
to engines under 40 CFR part 1054 for those specified in this section. Engines
Subpart G—Special Compliance the appropriate model year. If you exempted under this section must meet
Provisions all the applicable requirements from 40
comply with all the provisions of this
§ 1045.601 What compliance provisions section, we consider the certificate CFR parts 85 and 86, or part 1048, or
apply to these engines? issued under 40 CFR part 86, 1048, or part 1054. This applies to engine
1054 for each engine to also be a valid manufacturers, vessel manufacturers
Engine and vessel manufacturers, as
certificate of conformity under this part who use these engines, and all other
well as owners, operators, and
1045 for its model year, without a persons as if these engines were used in
rebuilders of engines subject to the
applications other than for installation
requirements of this part, and all other separate application for certification
as propulsion marine engines. The
persons, must observe the provisions of under the requirements of this part
prohibited acts of 40 CFR 1068.101(a)(1)
this part, the requirements and 1045.
apply to these new engines and vessels;
prohibitions in 40 CFR part 1068, and (b) Vessel-manufacturer provisions. If however, we consider the certificate
the provisions of the Act. you are not an engine manufacturer, you issued under 40 CFR part 86, 1048, or
§ 1045.605 What provisions apply to may produce vessels using motor- 1054 for each engine to also be a valid
engines already certified under the motor- vehicle engines or nonroad spark- certificate of conformity under this part
vehicle program or other nonroad spark- ignition engines under this section as 1045 for its model year. If we make a
ignition engine programs? long as you meet all the requirements determination that these engines do not
(a) General provisions. If you are an and conditions specified in paragraph conform to the regulations during their
engine manufacturer, this section allows (d) of this section. If you modify the useful life, we may require you to recall
you to introduce new propulsion marine engine in any of the ways described in them under 40 CFR part 86 or 1068.
engines into U.S. commerce if they are paragraph (d)(2) of this section, we will (d) Specific requirements. If you are
already certified to the requirements consider you a manufacturer of a new an engine or vessel manufacturer and
EP18MY07.005</GPH>
that apply to spark-ignition engines propulsion marine engine. Such engine meet all the following criteria and
requirements regarding your new ‘‘THE EMISSION CONTROL SYSTEM § 1045.620 What are the provisions for
propulsion marine engine, the engine is DEPENDS ON THE USE OF FUEL exempting engines used solely for
eligible for an exemption under this MEETING SPECIFICATIONS THAT competition?
section: APPLY FOR MOTOR-VEHICLE The provisions of this section apply
(1) Your engine must be covered by a APPLICATIONS. OPERATING THE for new engines and vessels built on or
valid certificate of conformity issued ENGINE ON OTHER FUELS MAY BE A after January 1, 2009.
under 40 CFR part 86, 1048, or 1054. (a) We may grant you an exemption
VIOLATION OF FEDERAL LAW.’’.
(2) You must not make any changes to from the standards and requirements of
the certified engine that could (v) State the date you finished this part for a new engine on the
reasonably be expected to increase its modifying the engine (month and year), grounds that it is to be used solely for
exhaust emissions for any pollutant, or if applicable. competition. The requirements of this
its evaporative emissions. For example, (6) The original and supplemental part, other than those in this section, do
if you make any of the following labels must be readily visible after the not apply to engines that we exempt for
changes to one of these engines, you do engine is installed in the vessel or, if the use solely for competition.
not qualify for this exemption: vessel obscures the engine’s emission (b) We will exempt engines that we
(i) Change any fuel-system or control information label, the vessel determine will be used solely for
evaporative-system parameters from the competition. The basis of our
manufacturer must attach duplicate
certified configuration (this does not determination is described in
labels, as described in 40 CFR 1068.105.
apply to refueling controls). paragraphs (c) and (d) of this section.
(ii) Change, remove, or fail to properly (7) Send the Designated Compliance Exemptions granted under this section
install any other component, element of Officer a signed letter by the end of each are good for only one model year and
design, or calibration specified in the calendar year (or less often if we tell you must request renewal for each
engine manufacturer’s application for you) with all the following information: subsequent model year. We will not
certification. This includes (i) Identify your full corporate name, approve your renewal request if we
aftertreatment devices and all related address, and telephone number. determine the engine will not be used
components. solely for competition.
(iii) Modify or design the marine (ii) List the engine or vessel models (c) Engines meeting all the following
engine cooling system so that you expect to produce under this criteria are considered to be used solely
temperatures or heat rejection rates are exemption in the coming year and for competition:
outside the original engine describe your basis for meeting the sales (1) Neither the engine nor any vessels
manufacturer’s specified ranges. restrictions of paragraph (d)(3) of this containing the engine may be displayed
(3) You must show that less than 5 section. for sale in any public dealership or
percent of the engine family’s total sales (iii) State: ‘‘We produce each listed otherwise offered for sale to the general
in the United States are used in marine [engine or vessel] model without public.
applications. This includes engines making any changes that could increase (2) Sale of the vessel in which the
used in any application without regard engine is installed must be limited to
its certified emission levels, as
to which company manufactures the professional racing teams, professional
described in 40 CFR 1045.605.’’.
vessel or equipment. Show this as racers, or other qualified racers.
follows: (e) Failure to comply. If your engines (3) The engine and the vessel in
(i) If you are the original manufacturer do not meet the criteria listed in which it is installed must have
of the engine, base this showing on your paragraph (d) of this section, they will performance characteristics that are
sales information. be subject to the standards, substantially superior to noncompetitive
(ii) In all other cases, you must get the requirements, and prohibitions of this models.
original manufacturer of the engine to part 1045 and the certificate issued (4) The engines are intended for use
confirm this based on its sales under 40 CFR part 86, 1048, or 1054 only as specified in paragraph (e) of this
information. will not be deemed to also be a section.
(4) You must ensure that the engine certificate issued under this part 1045. (d) You may ask us to approve an
has the label we require under 40 CFR Introducing these engines into U.S. exemption for engines not meeting the
part 86, 1048, or 1054. criteria listed in paragraph (c) of this
commerce without a valid exemption or
(5) You must add a permanent section as long as you have clear and
certificate of conformity under this part
supplemental label to the engine in a convincing evidence that the engines
violates the prohibitions in 40 CFR
position where it will remain clearly will be used solely for competition.
1068.101(a)(1). (e) Engines are considered to be used
visible after installation in the vessel. In
the supplemental label, do the (f) Data submission. We may require solely for competition only if their use
following: you to send us emission test data on one is limited to competition events
(i) Include the heading: ‘‘MARINE of the duty cycles specified in subpart sanctioned by the U.S. Coast Guard or
ENGINE EMISSION CONTROL F of this part. another public organization with
INFORMATION’’. (g) Participation in averaging, banking authorizing permits for participating
(ii) Include your full corporate name and trading. Engines adapted for marine competitors. Operation of such engines
and trademark. You may instead may include only racing events or trials
use under this section may not generate
include the full corporate name and to qualify for racing events. Authorized
or use emission credits under this part
trademark of another company you attempts to set speed records (and the
1045. These engines may generate associated official trials) are also
choose to designate.
(iii) State: ‘‘THIS ENGINE WAS credits under the ABT provisions in 40 considered racing events. Engines will
ADAPTED FOR MARINE USE CFR part 86 or 1054. These engines not be considered to be used solely for
WITHOUT AFFECTING ITS EMISSION must use emission credits under 40 CFR competition if they are ever used for any
CONTROLS.’’. part 86 or 1054 if they are certified to recreational or other noncompetitive
(iv) If the modified engine is certified an FEL that exceeds a standard that purpose. Use of exempt engines in any
as a motor-vehicle engine, also state: applies under 40 CFR part 86 or 1054. recreational events, such as poker runs
and lobsterboat races, is a violation of not cover a case in which a person sells § 1045.120. This may involve a separate
40 CFR 1068.101(b)(4). an almost completely assembled vessel agreement involving reimbursement of
(f) You must permanently label to another person, who would then warranty-related expenses.
engines exempted under this section to complete the assembly. This would be (2) Report all warranty-related
clearly indicate that they are to be used considered equivalent to the sale of the information to the certificate holder.
only for competition. Failure to properly complete new vessel. This section also (b) In your application for
label an engine will void the exemption does not allow engine manufacturers to certification, identify the company
for that engine. produce new engines that are exempt whose trademark you will use and
(g) If we request it, you must provide from emission standards and it does not describe the arrangements you have
us any information we need to provide an exemption from the made to meet your requirements under
determine whether the engines are used prohibition against tampering with this section.
solely for competition. This would certified engines. (c) You remain responsible for
include documentation regarding the meeting all the requirements of this
number of engines and the ultimate § 1045.635 What special provisions apply chapter, including warranty and defect-
purchaser of each engine as well as any for small-volume engine manufacturers? reporting provisions.
documentation showing a vessel This section describes how we apply
the special provisions in this part for § 1045.645 What special provisions apply
manufacturer’s request for an exempted for converting an engine to use an alternate
engine. Keep these records for five small-volume engine manufacturers.
fuel?
years. (a) If you qualify under paragraph (1)
of the definition of small-volume engine (a) Converting a certified new engine
§ 1045.630 What is the personal-use manufacturer in § 1045.801, the small- to run on a different fuel violates 40
exemption. volume engine manufacturer provisions CFR 1068.101(a)(1) if the modified
This section applies to individuals apply as specified in this part. engine is not covered by a certificate of
who manufacture recreational vessels (b) If you are a small business (as conformity.
for personal use. If you and your vessel defined by the Small Business (b) Converting a certified engine that
meet all the conditions of this section, Administration at 13 CFR 121.201) that is not new to run on a different fuel
the vessel and its engine are considered manufactures marine spark-ignition violates 40 CFR 1068.101(b)(1) if the
to be exempt from the standards and engines, but you do not qualify under modified engine is not covered by a
requirements of this part that apply to paragraph (1) of the definition of small- certificate of conformity. We may
new engines, including standards and volume engine manufacturer in specify alternate certification provisions
requirements related to evaporative § 1045.801, you may ask us to designate consistent with the requirements of this
emissions. For example, you are not you to be a small-volume engine part.
required to use certified fuel system manufacturer. You may do this whether § 1045.650 Do the provisions of 40 CFR
components or otherwise obtain you began manufacturing engines 1068.260 apply for marine engines?
certificates of conformity showing that before, during, or after 2007. We may set The provisions of 40 CFR 1068.260
the vessel meets evaporative emission other reasonable conditions that are related to delegated final assembly do
standards, and you do not need to consistent with the intent of this section not apply for marine spark-ignition
install a certified engine. and the Act. For example, we may engines certified under this part 1045.
(a) The vessel may not be refuse to designate a company making This means that for engines requiring
manufactured from a previously outboard engines as a small business if exhaust aftertreatment (such as
certified vessel, nor may it be annual worldwide production of catalysts), the engine manufacturers
manufactured from a partially complete outboard engines exceeded 5,000 units must either install the aftertreatment on
vessel that is equivalent to a certified in any calendar year. the engine before introducing it into
vessel. The vessel must be (c) If you use any of the provisions of U.S. commerce or ship the
manufactured primarily from this part that apply specifically to small- aftertreatment along with the engine.
unassembled components, but may volume engine manufacturers and we
incorporate some preassembled find that you exceed the production § 1045.660 How do I certify outboard or
components. For example, fully limits or otherwise do not qualify as a personal watercraft engines for use in jet
preassembled steering assemblies may small-volume engine manufacturer, we boats?
be used. You may also power the vessel may consider you to be in violation of (a) This section describes how to
with an engine that was previously used the requirements that apply for certify outboard or personal watercraft
in a highway or land-based nonroad companies that are not small-volume engines for use in jet boats. To be
application. engine manufacturers for those engines certified under this section, the jet boat
(b) The vessel may not be sold within produced in excess of the specified engines must be identical in all physical
five years after the date of final production limits. respects to the corresponding outboard
assembly. or personal watercraft engines, but may
(c) No individual may manufacture § 1045.640 What special provisions apply differ slightly with respect to engine
more than one vessel in any ten-year to branded engines? calibrations.
period under this exemption. The following provisions apply if you (b) The outboard or personal
(d) You may not use the vessel in any identify the name and trademark of watercraft engines must meet all the
revenue-generating service or for any another company instead of your own applicable requirements for outboard or
other commercial purpose. For example, on your emission control information personal watercraft engines and must be
this exemption does not apply for label, as provided by § 1045.135(c)(2): labeled accordingly. Jet boat engines
vessels used in commercial fishing or (a) You must have a contractual certified under this section must meet
charter service. agreement with the other company that all the applicable requirements for jet
(e) This exemption may not be used obligates that company to take the boat engines.
to circumvent the requirements of this following steps: (c) The jet boat engines must be in an
part or the requirements of the Clean Air (1) Meet the emission warranty engine family separate from the
Act. For example, this exemption would requirements that apply under outboard or personal watercraft engines.
(d) Jet boat engine families may use engine model from an outboard or Std = the emission standard, in g/kW-hr.
emission credits from outboard or personal watercraft family. The FEL = the family emission limit for the
personal watercraft engine families, as HC+NOX FEL cap for such jet boat family, in g/kW-hr.
described in § 1045.701(d). Volume = the number of engines eligible to
families is the HC+NOX standard for
participate in the averaging, banking,
outboard and personal watercraft and trading program within the given
Subpart H—Averaging, Banking, and engines. U.S.-directed sales from a jet family during the model year, as
Trading for Certification boat family using the provisions of this described in paragraph (c) of this section.
§ 1045.701 General provisions.
paragraph (d) may not be greater than Power = the average value of maximum
the U.S.-directed sales of the same engine power of all the engine
(a) You may average, bank, and trade engine model for outboard or personal configurations within a family,
(ABT) emission credits for purposes of watercraft engines in any model year. calculated on a production-weighted
certification as described in this subpart (e) You may not generate evaporative basis, in kilowatts.
to show compliance with the standards credits based on permeation LIFE = the estimated engine lifetime for
of this part. Participation in this measurements from metal fuel tanks or calculating emission credits, in hours.
program is voluntary. Use 480 hours for high-performance
portable marine fuel tanks. engines with maximum engine power at
(b) The definitions of subpart I of this (f) You may not use emission credits
part apply to this subpart. The following or below 485 kW. Use 250 hours for
generated under this subpart to offset high-performance engines with
definitions also apply: any emissions that exceed an FEL or maximum engine power above 485 kW.
(1) Actual emission credits means standard. This applies for all testing, For other engines use the useful life for
emission credits you have generated including certification testing, in-use the given family.
that we have verified by reviewing your testing, selective enforcement audits, LF = load factor. Use 0.207. We may specify
final report. and other production-line testing. a different load factor if we approve the
(2) Averaging set means a set of However, if exhaust emissions from an use of special test procedures for an
engines in which emission credits may engine family under 40 CFR
engine exceed an exhaust FEL or
be exchanged only with other engines in 1065.10(c)(2), consistent with good
standard (for example, during a engineering judgment.
the same averaging set. selective enforcement audit), you may
(3) Broker means any entity that use emission credits to recertify the (b) [Reserved]
facilitates a trade of emission credits family with a higher FEL that applies
between a buyer and seller. (c) In your application for
only to future production. certification, base your showing of
(4) Buyer means the entity that (g) Families that use emission credits
receives emission credits as a result of compliance on projected production
for one or more pollutants may not volumes for engines whose point of first
a trade. generate positive emission credits for
(5) Family means engine family for retail sale is in the United States. As
another pollutant. described in § 1045.730, compliance
exhaust credits or emission family for (h) Emission credits may be used in
evaporative credits. with the requirements of this subpart is
the model year they are generated determined at the end of the model year
(6) Reserved emission credits means (averaging) and in future model years
emission credits you have generated based on actual production volumes for
(banking), except that CO emission engines whose point of first retail sale
that we have not yet verified by credits for outboard and personal
reviewing your final report. is in the United States. Do not include
watercraft engines may not be banked. any of the following engines to calculate
(7) Seller means the entity that (i) You may increase or decrease an
provides emission credits during a emission credits:
exhaust FEL during the model year by
trade. amending your application for (1) Engines exempted under subpart G
(8) Standard means the emission certification under § 1045.225. of this part or under 40 CFR part 1068.
standard that applies under subpart B of (2) Engines intended for export,
this part for engines or fuel-system § 1045.705 How do I generate and unless there is reason to believe that the
components not participating in the calculate exhaust emission credits?
engines will be later imported into the
ABT program of this subpart. The provisions of this section apply United States after installation in
(9) Trade means to exchange emission for calculating exhaust emission credits equipment.
credits, either as a buyer or seller. for HC+NOX or CO. You may generate
(3) Engines that are subject to state
(c) You may not average or exchange exhaust emission credits only if you are
emission standards for that model year.
banked or traded exhaust credits with a certifying engine manufacturer.
(a) For each participating family, However, this restriction does not apply
evaporative credits, or vice versa.
calculate positive or negative emission if we determine that the state standards
Evaporative credits generated by any
credits relative to the otherwise and requirements are equivalent to
vessels under this part may be used by
applicable emission standard. Calculate those of this part and that engines sold
any vessels under this part. Exhaust
positive emission credits for a family in such a state will not generate credits
credits may be exchanged only within
that has an FEL below the standard. under the state program. For example,
an averaging set. Except as specified in
Calculate negative emission credits for a you may not include engines certified
paragraph (d) of this section, the
family that has an FEL above the for California if it has more stringent
following criteria define the applicable
standard. Sum your positive and emission standards for these engines or
averaging sets:
negative credits for the model year those engines generate or use emission
(1) Sterndrive/inboard engines.
before rounding. Round calculated credits under the California program.
(2) Outboard and personal watercraft
engines. emission credits to the nearest kilogram (4) Engines not subject to the
(d) Sterndrive/inboard engines (kg), using consistent units throughout requirements of this part, such as those
certified under § 1045.660 for jet boats the following equation: excluded under § 1045.5.
may use HC+NOX exhaust credits Emission credits (kg) = (Std—FEL) × (5) Any other engines, where we
generated from outboard and personal (Volume) × (Power) × (LIFE) × (LF) indicate elsewhere in this part 1045 that
watercraft engines, as long as the credit- × (10¥3) they are not to be included in the
using engine is the same model as an Where: calculations of this subpart.
§ 1045.706 How do I generate and vessels whose point of first retail sale is emission credits will be considered
calculate evaporative emission credits? in the United States. Do not include any reserved credits. During the model year
The provisions of this section apply of the following vessels to calculate and before the due date for the final
for calculating evaporative emission emission credits: report, you may redesignate these
credits. This applies only for fuel tank (1) Vessels exempted under subpart G emission credits for averaging or
permeation. You may generate credits of this part or under 40 CFR part 1068. trading.
only if you are a certifying vessel (2) Vessels intended for export. (c) You may use banked emission
manufacturer. (3) Vessels that are subject to state credits from the previous model year for
(a) For each participating vessel, emission standards for that model year. averaging or trading before we verify
calculate positive or negative emission However, this restriction does not apply them, but we may revoke these emission
credits relative to the otherwise if we determine that the state standards credits if we are unable to verify them
applicable emission standard. Calculate and requirements are equivalent to after reviewing your reports or auditing
positive emission credits for a family those of this part and that vessels sold your records.
that has an FEL below the standard. in such a state will not generate credits (d) Reserved credits become actual
Calculate negative emission credits for a under the state program. For example, emission credits only when we verify
family that has an FEL above the you may not include vessels certified for them in reviewing your final report.
standard. Sum your positive and California if it has more stringent § 1045.720 How do I trade emission
negative credits for the model year emission standards for these vessels or credits?
before rounding. Round calculated that vessels generate or use emission (a) Trading is the exchange of
emission credits to the nearest kilogram credits under the California program. emission credits between
(kg), using consistent units throughout (4) Vessels not subject to the manufacturers. You may use traded
the following equation: requirements of this part, such as those emission credits for averaging, banking,
Emission credits (kg) = (Std–FEL) × excluded under § 1045.5. or further trading transactions. Traded
(Total Area) × (UL) × (AF) × (365) (5) Any other vessels, where we emission credits may be used only
× (10¥3) indicate elsewhere in this part 1045 that within the averaging set in which they
Where: they are not to be included in the were generated.
Std = the emission standard, in g/m2/day. calculations of this subpart. (b) You may trade actual emission
FEL = the family emission limit for the credits as described in this subpart. You
§ 1045.710 How do I average emission
family, in g/m2/day, as described in may also trade reserved emission
credits?
paragraph (b) of this section. credits, but we may revoke these
Total Area = The combined internal surface (a) Averaging is the exchange of
emission credits based on our review of
area of all fuel tanks in the family, in m2. emission credits among your families.
your records or reports or those of the
UL = the useful life for the given family, in You may average emission credits only
years. company with which you traded
within the same averaging set.
AF = adjustment factor. Use 1.0 for fuel tank emission credits. You may trade banked
(b) You may certify one or more
testing performed at 28 °C and 0.60 for credits to any certifying engine or vessel
families to an FEL above the emission
testing performed at 40 °C. manufacturer.
standard, subject to the FEL caps and (c) If a negative emission credit
(b) Determine the FEL for calculating other provisions in subpart B of this balance results from a transaction, both
credits under paragraph (a) of this part, if you show in your application for the buyer and seller are liable, except in
section using any of the following certification that your projected balance cases we deem to involve fraud. See
values: of all emission-credit transactions in § 1045.255(e) for cases involving fraud.
(1) The FEL to which the fuel tank is that model year is greater than or equal We may void the certificates of all
certified, as long as the FEL is at or to zero. families participating in a trade that
below 3.0 g/m2/day. (c) If you certify a family to an FEL
(2) 10.4 g/m2/day. However, if you use results in a manufacturer having a
that exceeds the otherwise applicable negative balance of emission credits.
this value to establish the FEL for any standard, you must obtain enough
of your fuel tanks, you must use this See § 1045.745.
emission credits to offset the family’s
value to establish the FEL for every tank deficit by the due date for the final § 1045.725 What must I include in my
not covered by paragraph (b)(1) of this report required in § 1045.730. The application for certification?
section. emission credits used to address the (a) You must declare in your
(3) The measured permeation rate of deficit may come from your other application for certification your intent
the fuel tank or the measured families that generate emission credits to use the provisions of this subpart for
permeation rate of a thinner-walled tank in the same model year, from emission each family that will be certified using
of the same material. However, if you credits you have banked, or from the ABT program. You must also declare
use this approach to establish the FEL emission credits you obtain through the FELs you select for the family for
for any of your fuel tanks, you must trading. each pollutant for which you are using
establish an FEL based on emission the ABT program. Your FELs must
measurements for every tank not § 1045.715 How do I bank emission comply with the specifications of
covered by paragraph (b)(1) of this credits? subpart B of this part, including the FEL
section. (a) Banking is the retention of caps. FELs must be expressed to the
(c) In your application for emission credits by the manufacturer same number of decimal places as the
certification, base your showing of generating the emission credits for use emission standard.
compliance on projected production in averaging or trading in future model (b) Include the following in your
volumes for vessels whose point of first years. You may use banked emission application for certification:
retail sale is in the United States. As credits only within the averaging set in (1) A statement that, to the best of
described in § 1045.730, compliance which they were generated. your belief, you will not have a negative
with the requirements of this subpart is (b) In your application for balance of emission credits for any
determined at the end of the model year certification, designate any emission averaging set when all emission credits
based on actual production volumes for credits you intend to bank. These are calculated at the end of the year.
(2) Detailed calculations of projected traded, as described in paragraph (d)(1) section. We may review your records at
emission credits (positive or negative) of this section. any time.
based on projected production volumes. (c) Your end-of-year and final reports (b) Keep the records required by this
If your family will generate positive must include the following additional
section for at least eight years after the
emission credits, state specifically information:
(1) Show that your net balance of due date for the end-of-year report. You
where the emission credits will be may not use emission credits for any
applied (for example, to which family emission credits from all your
participating families in each averaging engines or vessel if you do not keep all
they will be applied in averaging,
set in the applicable model year is not the records required under this section.
whether they will be traded, or whether
negative. You must therefore keep these records
they will be reserved for banking). If you
have projected negative emission credits (2) State whether you will reserve any to continue to bank valid credits. Store
for a family, state the source of positive emission credits for banking. these records in any format and on any
emission credits to offset the negative (3) State that the report’s contents are media, as long as you can promptly
emission credits. Describe whether the accurate. send us organized, written records in
(d) If you trade emission credits, you English if we ask for them. You must
emission credits are actual or reserved
must send us a report within 90 days keep these records readily available. We
and whether they will come from
after the transaction, as follows: may review them at any time.
averaging, banking, trading, or a
(1) As the seller, you must include the
combination of these. Identify from (c) Keep a copy of the reports we
following information in your report:
which of your families or from which (i) The corporate names of the buyer require in §§ 1045.725 and 1045.730.
manufacturer the emission credits will and any brokers. (d) Keep the following additional
come. (ii) A copy of any contracts related to records for each engine or vessel you
§ 1045.730 What ABT reports must I send the trade. produce that generates or uses emission
to EPA? (iii) The families that generated credits under the ABT program:
emission credits for the trade, including
(a) If any of your families are certified (1) Family designation.
the number of emission credits from
using the ABT provisions of this (2) Engine or vessel identification
each family.
subpart, you must send an end-of-year (2) As the buyer, you must include the number.
report within 90 days after the end of following information in your report:
the model year and a final report within (3) FEL and useful life.
(i) The corporate names of the seller
270 days after the end of the model year. and any brokers. (4) Maximum engine power or
We may waive the requirement to send (ii) A copy of any contracts related to internal surface area of the fuel tank.
the end-of year report, as long as you the trade. (5) Build date and assembly plant.
send the final report on time. (iii) How you intend to use the
(b) Your end-of-year and final reports emission credits, including the number (e) We may require you to keep
must include the following information of emission credits you intend to apply additional records or to send us relevant
for each family participating in the ABT to each family (if known). information not required by this section.
program: (e) Send your reports electronically to § 1045.745 What can happen if I do not
(1) Family designation. the Designated Compliance Officer comply with the provisions of this subpart?
(2) The emission standards that would using an approved information format.
otherwise apply to the family. If you want to use a different format, (a) For each family participating in
(3) The FEL for each pollutant. If you send us a written request with the ABT program, the certificate of
changed an FEL during the model year, justification for a waiver. conformity is conditional upon full
identify each FEL you used and (f) Correct errors in your end-of-year compliance with the provisions of this
calculate the positive or negative report or final report as follows: subpart during and after the model year.
emission credits under each FEL. Also, (1) You may correct any errors in your You are responsible to establish to our
describe how the FEL can be identified end-of-year report when you prepare the satisfaction that you fully comply with
for each engine you produced. For final report, as long as you send us the applicable requirements. We may void
example, you might keep a list of engine final report by the time it is due. the certificate of conformity for a family
or vessel identification numbers that (2) If you or we determine within 270 if you fail to comply with any
correspond with certain FEL values. days after the end of the model year that provisions of this subpart.
errors mistakenly decrease your balance
(4) The projected and actual (b) You may certify your family to an
of emission credits, you may correct the
production volumes for the model year FEL above an emission standard based
errors and recalculate the balance of
with a point of retail sale in the United on a projection that you will have
emission credits. You may not make
States, as described in §§ 1045.705(c) enough emission credits to offset the
these corrections for errors that are
and 1045.706(c). For fuel tanks, state the deficit for the family. However, we may
determined more than 270 days after the
production volume in terms of total void the certificate of conformity if you
end of the model year. If you report a
surface area. If you changed an engine’s cannot show in your final report that
negative balance of emission credits, we
FEL during the model year, identify the you have enough actual emission credits
may disallow corrections under this
actual production volume associated to offset a deficit for any pollutant in a
paragraph (f)(2).
with each FEL. (3) If you or we determine anytime family.
(5) Maximum engine power for each that errors mistakenly increase your
engine configuration, and the (c) We may void the certificate of
balance of emission credits, you must
production-weighted average engine conformity for a family if you fail to

correct the errors and recalculate the keep records, send reports, or give us
power for the family. balance of emission credits.
(6) Useful life. information we request.
(7) Calculated positive or negative § 1045.735 What records must I keep? (d) You may ask for a hearing if we
emission credits for the whole family. (a) You must organize and maintain void your certificate under this section
Identify any emission credits that you your records as described in this (see § 1045.820).
Subpart I—Definitions and Other Calibration means the set of controls or reduces the emissions of
Reference Information specifications and tolerances specific to regulated pollutants from an engine.
a particular design, version, or Emission-data engine means an
§ 1045.801 What definitions apply to this application of a component or assembly engine that is tested for certification.
part? capable of functionally describing its This includes engines tested to establish
The following definitions apply to operation over its working range. deterioration factors.
this part. The definitions apply to all Certification means relating to the Emission-related maintenance means
subparts unless we note otherwise. All process of obtaining a certificate of maintenance that substantially affects
undefined terms have the meaning the conformity for an engine family that emissions or is likely to substantially
Act gives to them. The definitions complies with the emission standards affect emission deterioration.
follow: and requirements in this part. Engine has the meaning given in 40
Act means the Clean Air Act, as Certified emission level means the CFR 1068.30. This includes complete
amended, 42 U.S.C. 7401—7671q. highest deteriorated emission level in an and partially complete engines.
Adjustable parameter means any engine family for a given pollutant from Engine configuration means a unique
device, system, or element of design that either transient or steady-state testing. combination of engine hardware and
someone can adjust (including those Crankcase emissions means airborne calibration within an engine family.
which are difficult to access) and that, substances emitted to the atmosphere Engines within a single engine
if adjusted, may affect emissions or from any part of the engine crankcase’s configuration differ only with respect to
engine performance during emission ventilation or lubrication systems. The normal production variability.
testing or normal in-use operation. This crankcase is the housing for the Engine family has the meaning given
includes, but is not limited to, crankshaft and other related internal in § 1045.230.
parameters related to injection timing parts. Engine manufacturer means the
and fueling rate. You may ask us to Critical emission-related component manufacturer of the engine. See the
exclude a parameter that is difficult to means any of the following components: definition of ‘‘manufacturer’’ in this
access if it cannot be adjusted to affect section.
(1) Electronic control units,
emissions without significantly Evaporative means relating to fuel
aftertreatment devices, fuel-metering
degrading engine performance, or if you emissions controlled by 40 CFR part
components, EGR-system components,
otherwise show us that it will not be 1060. This generally includes emissions
crankcase-ventilation valves, all
adjusted in a way that affects emissions that result from permeation of fuel
components related to charge-air
during in-use operation. through the fuel-system materials, from
compression and cooling, and all
Aftertreatment means relating to a ventilation of the fuel system.
sensors and actuators associated with Excluded means relating to an engine
catalytic converter, particulate filter, or any of these components. that either:
any other system, component, or (2) Any other component whose (1) Has been determined not to be a
technology mounted downstream of the primary purpose is to reduce emissions. nonroad engine, as specified in 40 CFR
exhaust valve (or exhaust port) whose Designated Compliance Officer means 1068.30; or
design function is to decrease emissions the Manager, Heavy-Duty and Nonroad (2) Is a nonroad engine that, according
in the engine exhaust before it is Engine Group (6405–J), U.S. to § 1045.5, is not subject to this part
exhausted to the environment. Exhaust- Environmental Protection Agency, 1200 1045.
gas recirculation (EGR) and Pennsylvania Ave., NW., Washington, Exempted has the meaning given in
turbochargers are not aftertreatment. DC 20460. 40 CFR 1068.30.
Amphibious vehicle means a vehicle Designated Enforcement Officer Exhaust-gas recirculation means a
with wheels or tracks that is designed means the Director, Air Enforcement technology that reduces emissions by
primarily for operation on land and Division (2242A), U.S. Environmental routing exhaust gases that had been
secondarily for operation in water. Protection Agency, 1200 Pennsylvania exhausted from the combustion
Applicable emission standard or Ave., NW.,Washington, DC 20460. chamber(s) back into the engine to be
applicable standard means an emission Deteriorated emission level means the mixed with incoming air before or
standard to which an engine is subject; emission level that results from during combustion. The use of valve
or, where an engine has been or is being applying the appropriate deterioration timing to increase the amount of
certified another standard or FEL, factor to the official emission result of residual exhaust gas in the combustion
applicable emission standards means the emission-data engine. chamber(s) that is mixed with incoming
the FEL and other standards to which Deterioration factor means the air before or during combustion is not
the engine has been or is being certified. relationship between emissions at the considered exhaust-gas recirculation for
This definition does not apply to end of useful life and emissions at the the purposes of this part.
subpart H of this part. low-hour test point, expressed in one of Family emission limit (FEL) means an
Auxiliary emission control device the following ways: emission level declared by the
means any element of design that senses (1) For multiplicative deterioration manufacturer to serve in place of an
temperature, motive speed, engine RPM, factors, the ratio of emissions at the end otherwise applicable emission standard
transmission gear, or any other of useful life to emissions at the low- under the ABT program in subpart H of
parameter for the purpose of activating, hour test point. this part. The family emission limit
modulating, delaying, or deactivating (2) For additive deterioration factors, must be expressed to the same number
the operation of any part of the emission the difference between emissions at the of decimal places as the emission
control system. end of useful life and emissions at the standard it replaces. The family
Brake power means the usable power low-hour test point. emission limit serves as the emission
output of the engine, not including Discrete-mode means relating to the standard for the engine family with
power required to fuel, lubricate, or heat discrete-mode type of steady-state test respect to all required testing.
the engine, circulate coolant to the described in § 1045.505. Fuel line means all hose, tubing, and
engine, or to operate aftertreatment Emission control system means any primer bulbs containing or exposed to
devices. device, system, or element of design that liquid fuel, including hose or tubing
that delivers fuel to or from the engine. person are considered to be a single ‘‘new propulsion marine engine,’’
This includes hose or tubing for the manufacturer. paragraph (3)).
filler neck if any portion of the filler- Marine engine means a nonroad (4) For engines that are not freshly
neck material continues to be exposed engine that is installed or intended to be manufactured but are installed in new
to liquid fuel after a refueling event in installed on a vessel. This includes a vessels, model year means the calendar
which an operator fills the fuel tank as portable auxiliary marine engine only if year in which the engine is installed in
full as possible. its fueling, cooling, or exhaust system is the new vessel (see definition of ‘‘new
Fuel system means all components an integral part of the vessel. There are propulsion marine engine,’’ paragraph
involved in transporting, metering, and two kinds of marine engines: (4)).
mixing the fuel from the fuel tank to the (1) Propulsion marine engine means a (5) For imported engines:
combustion chamber(s), including the marine engine that moves a vessel (i) For imported engines described in
fuel tank, fuel tank cap, fuel pump, fuel through the water or directs the vessel’s paragraph (5)(i) of the definition of
filters, fuel lines, carburetor or fuel- movement. ‘‘new propulsion marine engine,’’ model
injection components, and all fuel- (2) Auxiliary marine engine means a year has the meaning given in
system vents. marine engine not used for propulsion. paragraphs (1) through (4) of this
Fuel type means a general category of Marine vessel has the meaning given definition.
fuels such as gasoline or natural gas. in 1 U.S.C. 3, except that it does not (ii) For imported engines described in
There can be multiple grades within a include amphibious vehicles. The paragraph (5)(ii) of the definition of
single fuel type, such as low- definition in 1 U.S.C. 3 very broadly ‘‘new propulsion marine engine,’’ model
temperature or all-season gasoline. includes every craft capable of being year means the calendar year in which
Good engineering judgment has the used as a means of transportation on the engine is modified.
meaning given in 40 CFR 1068.30. See water. (iii) For imported engines described
40 CFR 1068.5 for the administrative in paragraph (5)(iii) of the definition of
Maximum engine power has the
process we use to evaluate good ‘‘new nonroad engine,’’ model year
meaning given in § 1045.140.
engineering judgment. means the calendar year in which the
Maximum test speed has the meaning
High-performance means relating to a importation occurs.
given in 40 CFR 1065.1001.
New vessel means either of the
sterndrive/inboard engine with Model year means one of the following things:
maximum engine power at or above 373 following things: (1) A vessel for which the ultimate
kW that has design features to enhance (1) For freshly manufactured vessels purchaser has never received the
power output such that the expected and engines (see definition of ‘‘new equitable or legal title. The product is
operating time until rebuild is propulsion marine engine,’’ paragraph no longer new when the ultimate
substantially shorter than 480 hours. (1)), model year means one of the purchaser receives this title or it is
Hydrocarbon (HC) means the following: placed into service, whichever comes
hydrocarbon group on which the (i) Calendar year. first.
emission standards are based for each (ii) Your annual new model (2) An imported vessel that has
fuel type, as described in subpart B of production period if it is different than already been placed into service, where
this part. the calendar year. This must include it has an engine not covered by a
Identification number means a unique January 1 of the calendar year for which certificate of conformity issued under
specification (for example, a model the model year is named. It may not this part at the time of importation that
number/serial number combination) begin before January 2 of the previous was manufactured after the
that allows someone to distinguish a calendar year and it must end by requirements of this part start to apply
particular engine from other similar December 31 of the named calendar (see § 1045.1).
engines. year. For seasonal production periods New portable fuel tanks and fuel lines
Jet boat means a vessel that uses an not including January 1, model year means portable fuel tanks and fuel lines
installed internal combustion engine means the calendar year in which the that have not yet been placed into
powering a water jet pump as its production occurs, unless you choose to service, or which are otherwise offered
primary source of propulsion and is certify the applicable engine family with for sales as new products.
designed with open area for carrying the following model year. For example, New propulsion marine engine or new
passengers. if your production period is June 1, engine means any of the following
Low-hour means relating to an engine 2010 through November 30, 2010, your things:
that has stabilized emissions and model year would be 2010 unless you (1) A freshly manufactured
represents the undeteriorated emission choose to certify the engine family for propulsion marine engine for which the
level. This would generally involve less model year 2011. ultimate purchaser has never received
than 30 hours of operation. (2) For an engine that is converted to the equitable or legal title. This kind of
Manufacture means the physical and a propulsion marine engine after being engine might commonly be thought of
engineering process of designing, placed into service as a motor-vehicle as ‘‘brand new.’’ In the case of this
constructing, and assembling an engine engine or a stationary engine, model paragraph (1), the engine is new from
or vessel. year means the calendar year in which the time it is produced until the
Manufacturer has the meaning given the engine was originally produced (see ultimate purchaser receives the title or
in section 216(1) of the Act. In general, definition of ‘‘new propulsion marine the product is placed into service,
this term includes any person who engine,’’ paragraph (2)). whichever comes first.
manufactures an engine or vessel for (3) For an engine originally produced (2) An engine intended to be used as
sale in the United States or otherwise for use as a nonroad engine but not as a propulsion marine engine that was
introduces a new marine engine into a propulsion marine engine that is later originally manufactured as a motor-
U.S. commerce. This includes importers converted to operate as a propulsion vehicle engine, a nonroad engine that is
who import engines or vessels for resale, marine engine, model year means the not a propulsion marine engine, or a
but not dealers. All manufacturing calendar year in which the engine was stationary engine. In this case, the
entities under the control of the same originally produced (see definition of engine is no longer a motor-vehicle,
nonpropulsion, or stationary engine and APPLICABILITY OF EMISSION STAND- be operated by a person or persons
becomes a ‘‘new propulsion marine ARDS FOR PROPULSION MARINE EN- positioned on, rather than within the
engine’’. The engine is no longer new GINES—Continued confines of the hull. A vessel using an
when it is placed into marine service. outboard engine as its primary source of
(3) A propulsion marine engine that propulsion is not a personal watercraft.
Initial model
has been previously placed into service Engine type Personal watercraft engine means a
year of emission
in an application we exclude under standards
spark-ignition engine used to propel a
§ 1045.5, where that engine is installed personal watercraft.
Personal watercraft ......... 1999 Placed into service means put into
in a vessel that is covered by this part
Sterndrive/inboard .......... 2009
1045. The engine is no longer new when initial use for its intended purpose.
it is placed into marine service covered Point of first retail sale means the
Noncompliant engine means an location at which the initial retail sale
by this part 1045. For example, this engine that was originally covered by a
would apply to a auxiliary marine occurs. This generally means an
certificate of conformity but is not in the equipment dealership, but may also
engine that is becomes a propulsion certified configuration or otherwise does include an engine seller or distributor in
marine engine. not comply with the conditions of the
(4) An engine not covered by cases where loose engines are sold to
certificate. the general public for uses such as
paragraphs (1) through (3) of this Nonconforming engine means an
definition that is intended to be replacement engines.
engine not covered by a certificate of Portable marine fuel tank has the
installed in a new vessel. The engine is conformity that would otherwise be
no longer new when the ultimate meaning given in 40 CFR 1060.801.
subject to emission standards. Ramped-modal means relating to the
purchaser receives a title for the vessel Nonmethane hydrocarbon has the
or the product is placed into service, ramped-modal type of steady-state test
meaning given in 40 CFR 1065.1001. described in § 1045.505.
whichever comes first. This generally This generally means the difference
includes installation of used engines in Revoke has the meaning given in 40
between the emitted mass of total CFR 1068.30. In general this means to
new vessels. hydrocarbons and the emitted mass of
(5) An imported marine engine, terminate the certificate or an
methane. exemption for an engine family.
subject to the following provisions: Nonroad means relating to nonroad
(i) An imported marine engine Round has the meaning given in 40
engines, or vessels, or equipment that CFR 1065.1001.
covered by a certificate of conformity
include nonroad engines. Scheduled maintenance means
issued under this part that meets the Nonroad engine has the meaning
criteria of one or more of paragraphs (1) adjusting, repairing, removing,
given in 40 CFR 1068.30. In general, this disassembling, cleaning, or replacing
through (4) of this definition, where the means all internal-combustion engines
original engine manufacturer holds the components or systems periodically to
except motor vehicle engines, stationary keep a part or system from failing,
certificate, is new as defined by those engines, engines used solely for
applicable paragraphs. malfunctioning, or wearing prematurely.
competition, or engines used in aircraft. It also may mean actions you expect are
(ii) An imported marine engine
Official emission result means the necessary to correct an overt indication
covered by a certificate of conformity
measured emission rate for an emission- of failure or malfunction for which
issued under this part, where someone
data engine on a given duty cycle before periodic maintenance is not
other than the original engine
the application of any deterioration appropriate.
manufacturer holds the certificate (such
factor. Small-volume engine manufacturer
as when the engine is modified after its Outboard engine means an assembly
initial assembly), becomes new when it means one of the following:
of a spark-ignition engine and drive unit (1) An engine manufacturer that had
is imported. It is no longer new when used to propel a vessel from a properly
the ultimate purchaser receives a title U.S.-directed production of sterndrive/
mounted position external to the hull of inboard engines in 2007, with annual
for the engine or it is placed into the vessel. An outboard drive unit is
service, whichever comes first. worldwide production of no more than
partially submerged during operation 5,000 sterndrive/inboard engines in any
(iii) An imported propulsion marine
and can be tilted out of the water when calendar year. For manufacturers owned
engine that is not covered by a
not in use. by a parent company, this production
certificate of conformity issued under
Owners manual means a document or limit applies to the production of the
this part at the time of importation is
collection of documents prepared by the parent company and all its subsidiaries.
new, but only if it was produced on or
engine manufacturer for the owner or (2) An engine manufacturer that we
after the dates shown in the following
operator to describe appropriate engine designate to be a small-volume engine
table. This addresses uncertified engines
maintenance, applicable warranties, and manufacturer under § 1045.635.
and vessels initially placed into service
any other information related to Spark-ignition means relating to a
that someone seeks to import into the
operating or keeping the engine. The gasoline-fueled engine or any other type
United States. Importation of this kind
owners manual is typically provided to of engine with a spark plug (or other
of engine (or vessel containing such an
the ultimate purchaser at the time of sparking device) and with operating
engine) is generally prohibited by 40
sale. characteristics significantly similar to
CFR part 1068. Oxides of nitrogen has the meaning the theoretical Otto combustion cycle.
given in 40 CFR part 1065.1001. Spark-ignition engines usually use a
APPLICABILITY OF EMISSION STAND- Personal watercraft means a vessel throttle to regulate intake air flow to
ARDS FOR PROPULSION MARINE EN- less than 4.0 meters (13 feet) in length control power during normal operation.
GINES that uses an installed internal Steady-state means relating to

combustion engine powering a water jet emission tests in which engine speed
Initial model pump as its primary source of and load are held at a finite set of
Engine type year of emission
standards propulsion and is designed with no essentially constant values. Steady-state
open load carrying area that would tests are either discrete-mode tests or
Outboard ......................... 1998 retain water. The vessel is designed to ramped-modal tests.
Sterndrive/inboard engine means a Upcoming model year means for an CFR Code of Federal Regulations.
spark-ignition engine that is used to engine family the model year after the CO carbon monoxide.
propel a vessel, but is not an outboard one currently in production. CO2 carbon dioxide.
engine or a personal watercraft engine. U.S.-directed production volume EPA Environmental Protection Agency.
means the number of engine units, FEL Family Emission Limit.
This includes engines on propeller-
g gram.
driven vessels, jet boats, air boats, and subject to the requirements of this part,
HC hydrocarbon.
hovercraft. produced by a manufacturer for which hr hour.
Stoichiometric means relating to the the manufacturer has a reasonable kPa kilopascals.
particular ratio of air and fuel such that assurance that sale was or will be made kW kilowatt.
if the fuel were fully oxidized, there to ultimate purchasers in the United m meter.
would be no remaining fuel or oxygen. States. NARA National Archives and Records
For example, stoichiometric combustion Useful life means the period during Administration.
in a gasoline-fueled engine typically which a vehicle is required to comply NMHC nonmethane hydrocarbons.
with all applicable emission standards, NOX oxides of nitrogen (NO and NO2).
occurs at an air-to-fuel mass ratio of NTE not-to-exceed.
about 14.7:1. specified as a given number of hours of
psig pounds per square inch of gauge
Suspend has the meaning given in 40 operation or calendar years, whichever pressure.
CFR 1068.30. In general this means to comes first. See §§ 1045.103(e), RPM revolutions per minute.
temporarily discontinue the certificate 1045.105(e), and 1045.107. If an engine SAE Society of Automotive Engineers.
or an exemption for an engine family. has no hour meter, the specified number THC total hydrocarbon.
Test engine means an engine in a test of hours does not limit the period THCE total hydrocarbon equivalent.
sample. during which an in-use engine is U.S.C. United States Code.
Test sample means the collection of required to comply with emission
§ 1045.810 What materials does this part
engines selected from the population of standards, unless the degree of service reference?
an engine family for emission testing. accumulation can be verified separately.
This may include testing for Variable-speed engine means an Documents listed in this section have
certification, production-line testing, or engine that is not a constant-speed been incorporated by reference into this
in-use testing. engine. part. The Director of the Federal
Total hydrocarbon has the meaning Vessel means marine vessel. Register approved the incorporation by
Void has the meaning given in 40 CFR reference as prescribed in 5 U.S.C.
given in 40 CFR 1065.1001. This
1068.30. In general this means to 552(a) and 1 CFR part 51. Anyone may
generally means the combined mass of
invalidate a certificate or an exemption inspect copies at the U.S. EPA, Air and
organic compounds measured by the
both retroactively and prospectively. Radiation Docket and Information
specified procedure for measuring total Volatile liquid fuel means any fuel
hydrocarbon, expressed as a Center, 1301 Constitution Ave., NW.,
other than diesel or biodiesel that is a Room B102, EPA West Building,
hydrocarbon with a hydrogen-to-carbon liquid at atmospheric pressure and has
mass ratio of 1.85:1. Washington, DC 20460 or at the
a Reid Vapor Pressure higher than 2.0 National Archives and Records
Total hydrocarbon equivalent has the pounds per square inch.
meaning given in 40 CFR 1065.1001. Administration (NARA). For
We (us, our) means the Administrator information on the availability of this
This generally means the sum of the of the Environmental Protection Agency
carbon mass contributions of non- material at NARA, call 202–741–6030,
and any authorized representatives. or go to: http://www.archives.gov/
oxygenated hydrocarbons, alcohols and Wide-open throttle means maximum
aldehydes, or other organic compounds federal_register/
throttle opening. Unless this is specified code_of_federal_regulations/
that are measured separately as at a given speed, it refers to maximum
contained in a gas sample, expressed as ibr_locations.html.
throttle opening at maximum speed. For
exhaust hydrocarbon from petroleum- electronically controlled or other (a) SAE material. Table 1 of this
fueled locomotives. The hydrogen-to- engines with multiple possible fueling section lists material from the Society of
carbon ratio of the equivalent rates, wide-open throttle also means the Automotive Engineers that we have
hydrocarbon is 1.85:1. maximum fueling rate at maximum incorporated by reference. The first
Ultimate purchaser means, with throttle opening under test conditions. column lists the number and name of
respect to any new vessel or new marine the material. The second column lists
propulsion engine, the first person who § 1045.805 What symbols, acronyms, and the sections of this part where we
in good faith purchases such new vessel abbreviations does this part use? reference it. Anyone may purchase
or new engine for purposes other than The following symbols, acronyms, copies of these materials from the
resale. and abbreviations apply to this part: Society of Automotive Engineers, 400
United States has the meaning given ABT Averaging, banking, and trading. Commonwealth Drive, Warrendale, PA
in 40 CFR 1068.30. AECD Auxiliary emission control device. 15096 or www.sae.org. Table 1 follows:
TABLE 1 TO § 1045.810.—SAE MATERIALS

Part 1045
SAE J1930, Electrical/Electronic Systems Diagnostic Terms, Definitions, Abbreviations, and Acronyms, revised May 1998 ... 1045.135
(b) ISO material. Table 2 of this incorporated by reference. The first reference it. Anyone may purchase
section lists material from the column lists the number and name of copies of these materials from the
International Organization for the material. The second column lists International Organization for
Standardization that we have the section of this part where we Standardization, Case Postale 56, CH–
1211 Geneva 20, Switzerland or

www.iso.org. Table 2 follows:
TABLE 2 TO § 1045.810.—ISO MATERIALS

Part 1045
ISO 9141–2 Road vehicles—Diagnostic systems—Part 2: CARB requirements for interchange of digital information, Feb- 1045.110
ruary 1994.
ISO 14230–4 Road vehicles—Diagnostic systems—Keyword Protocol 2000—Part 4: Requirements for emission-related sys- 1045.110
tems, June 2000.
§ 1045.815 What provisions apply to (1) In § 1045.20 we require vessel (2) In 40 CFR 1065.10 and 1065.12 we
confidential information? manufacturers to label their vessels if specify information needs for
(a) Clearly show what you consider they are relying on component establishing various changes to
confidential by marking, circling, certification. published test procedures.
bracketing, stamping, or some other (2) In § 1045.135 we require engine (3) In 40 CFR 1065.25 we establish
method. manufacturers to keep certain records basic guidelines for storing test
(b) We will store your confidential related to duplicate labels sent to vessel information.
information as described in 40 CFR part manufacturers. (4) In 40 CFR 1065.695 we identify
2. Also, we will disclose it only as (3) In § 1045.145 we include various data that may be appropriate for
specified in 40 CFR part 2. This applies reporting and recordkeeping collecting during testing of in-use
both to any information you send us and requirements related to interim engines using portable analyzers.
to any information we collect from provisions.
inspections, audits, or other site visits. (d) We specify the following
(4) In subpart C of this part we
(c) If you send us a second copy requirements related to the general
identify a wide range of information
without the confidential information, compliance provisions in 40 CFR part
required to certify engines.
we will assume it contains nothing 1068:
(5) In §§ 1045.345 and 1045.350 we
confidential whenever we need to specify certain records related to (1) In 40 CFR 1068.5 we establish a
release information from it. production-line testing. process for evaluating good engineering
(d) If you send us information without (6) In §§ 1045.420 and 1045.425 we judgment related to testing and
claiming it is confidential, we may make specify certain records related to in-use certification.
it available to the public without further testing. (2) In 40 CFR 1068.25 we describe
notice to you, as described in 40 CFR (7) In subpart G of this part we general provisions related to sending
2.204. identify several reporting and and keeping information.
recordkeeping items for making (3) In 40 CFR 1068.27 we require
§ 1045.820 How do I request a hearing?
demonstrations and getting approval manufacturers to make engines available
(a) You may request a hearing under related to various special compliance for our testing or inspection if we make
certain circumstances, as described provisions. such a request.
elsewhere in this part. To do this, you (8) In §§ 1045.725, 1045.730, and (4) In 40 CFR 1068.105 we require
must file a written request, including a 1045.735 we specify certain records vessel manufacturers to keep certain
description of your objection and any related to averaging, banking, and records related to duplicate labels from
supporting data, within 30 days after we trading. engine manufacturers.
make a decision. (b) We specify the following
(b) For a hearing you request under (5) In 40 CFR 1068.120 we specify
requirements related to vessel or recordkeeping related to rebuilding
the provisions of this part, we will
component certification in 40 CFR part engines.
approve your request if we find that
1060: (6) In 40 CFR part 1068, subpart C, we
your request raises a substantial factual
(1) In 40 CFR 1060.20 we give an identify several reporting and
issue.
overview of principles for reporting recordkeeping items for making
(c) If we agree to hold a hearing, we
information. demonstrations and getting approval
will use the procedures specified in 40
(2) In 40 CFR part 1060, subpart C, we related to various exemptions.
CFR part 1068, subpart G.
identify a wide range of information
(7) In 40 CFR part 1068, subpart D, we
§ 1045.825 What reporting and required to certify products.
identify several reporting and
recordkeeping requirements apply under (3) In 40 CFR 1060.301 we require
this part? recordkeeping items for making
manufacturers to make engines or
demonstrations and getting approval
Under the Paperwork Reduction Act vessels available for our testing if we
related to importing engines.
(44 U.S.C. 3501 et seq.), the Office of make such a request.
Management and Budget approves the (4) In 40 CFR 1060.505 we specify (8) In 40 CFR 1068.450 and 1068.455
reporting and recordkeeping specified information needs for establishing we specify certain records related to
in the applicable regulations. The various changes to published test testing production-line engines in a
following items illustrate the kind of procedures. selective enforcement audit.
reporting and recordkeeping we require (c) We specify the following (9) In 40 CFR 1068.501 we specify
for engines and vessels regulated under requirements related to testing in 40 certain records related to investigating
this part: CFR part 1065: and reporting emission-related defects.
(a) We specify the following (1) In 40 CFR 1065.2 we give an (10) In 40 CFR 1068.525 and 1068.530
requirements related to engine overview of principles for reporting we specify certain records related to
certification in this part 1045: information. recalling nonconforming engines.
Appendix I to Part 1045—Summary of (2) For engines at or above 4.3 kW, the (b) See 40 CFR 91.104 for standards that
Previous Emission Standards following HC+NOX standard applies: applied during the phase-in period.
(a) The following standard applies to STD = 6.00 + 0.250 · (151 + 557/P0.9)
Appendix II to Part 1045—Duty Cycles
marine spark-ignition engines produced Where: for Propulsion Marine Engines
before the model years specified in § 1045.1, STD = The HC+NOX emission standard, in g/
at the end of the phase-in period specified in (a) The following duty cycle applies for
kW-hr.
40 CFR 91.104: discrete-mode testing:
(1) For engines below 4.3 kW, the HC+NOX P = The average power of an engine family,
standard is 81.00 g/kW-hr. in kW.
E4 mode no. Engine speed 1 Torque Weighting fac-

(percent) 2 tors
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 ................................................................................... 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 § 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 Engine

RMC mode Torque (percent) 2, 3
(seconds) speed 1, 2
1a Steady-state ....................................... 225 Idle ........................................................... 0.

1b Transition ............................................ 20 Linear Transition ...................................... Linear Transition.
2a Steady-state ....................................... 63 Maximum Test Speed ............................. 100.
*3a Steady-state ...................................... 271 40% ......................................................... 25.3.
4a Steady-state ....................................... 151 80% ......................................................... 71.6.
5a Steady-state ....................................... 161 60% ......................................................... 46.5.
6 Steady-state ......................................... 229 Idle ........................................................... 0.
1 Speed
terms are defined in 40 CFR part 1065. Percent values are relative to maximum test speed.
2 Advancefrom 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 The percent torque is relative to maximum torque at maximum test speed.
PART 1048—CONTROL OF EMISSIONS § 1048.2 Who is responsible for otherwise subject to 40 CFR parts 92 or
FROM NEW, LARGE NONROAD compliance? 1033.
SPARK-IGNITION ENGINES The regulations in this part 1048 51. Section 1048.10 is amended by
contain provisions that affect both revising the introductory text to read as
47. The authority citation for part engine manufacturers and others. follows:
1048 continues to read as follows: However, the requirements of this part § 1048.10 How is this part organized?
Authority: 42 U.S.C. 7401—7671q. are generally addressed to the engine
manufacturer. The term ‘‘you’’ generally This part 1048 is divided into the
means the engine manufacturer, as following subparts:
Subpart A—[Amended]
defined in § 1048.801, especially for * * * * *
48. Section 1048.1 is amended by issues related to certification (including 52. Section 1048.15 is amended by
revising paragraph (d) to read as production-line testing, reporting, etc.). revising the section heading to read as
follows: follows:
50. Section 1048.5 is amended by
revising paragraph (b) and adding § 1048.15 Do any other regulation parts
§ 1048.1 Does this part apply to me? paragraph (c) to read as follows: apply to me?
* * * * *
§ 1048.5 Which engines are excluded from Subpart B—[Amended]
(d) In certain cases, the regulations in this part’s requirements?
this part 1048 apply to engines with 53. Section 1048.101 is amended by
* * * * *
maximum engine power at or below 19 adding paragraph (a)(2)(iv) and revising
kW that would otherwise be covered by (b) Propulsion marine engines. See 40
paragraphs (f) and (h) to read as follows:
40 CFR part 90 or 1054. See 40 CFR CFR parts 91 and 1045. This part
applies with respect to auxiliary marine § 1048.101 What exhaust emission
90.913 or 1054.615 for provisions
engines. standards must my engines meet?
related to this allowance.
(c) Engines that are certified to meet * * * * *
49. A new § 1048.2 is added to read the requirements of 40 CFR parts 92 or (a) * * *
as follows: 1033 (locomotive engines), or are (2) * * *
(iv) Constant-speed engines and any appropriate instructions so that 57. Section 1048.120 is amended by
severe-duty engines. fully assembled equipment will meet all revising paragraph (c) to read as follows:
* * * * * the requirements in this section, as
described in § 1048.130. Introducing § 1048.120 What emission-related warranty
(f) Small engines. Certain engines requirements apply to me?
with total displacement at or below equipment into U.S. commerce without
1000 cc may comply with the meeting all the requirements of this * * * * *
requirements of 40 CFR part 90 or 1054 section violates 40 CFR 1068.101(a)(1). (c) Components covered. The
instead of complying with the 55. Section 1048.110 is amended by emission-related warranty covers all
requirements of this part, as described revising paragraphs (c) and (d) to read components whose failure would
in § 1048.615. as follows: increase an engine’s emissions of any
* * * * * pollutant, including those listed in 40
§ 1048.110 How must my engines CFR part 1068, Appendix I, and those
(h) Applicability for testing. The duty- diagnose malfunctions?
cycle emission standards in this subpart from any other system you develop to
apply to all testing performed according * * * * * control emissions. The emission-related
to the procedures in §§ 1048.505 and (c) Control when the MIL can go out. warranty covers these components even
1048.510, including certification, If the MIL goes on to show a if another company produces the
production-line, and in-use testing. The malfunction or system error, it must component. Your emission-related
field-testing standards apply for all remain on during all later engine warranty does not cover components
testing performed according to the operation until servicing corrects the whose failure would not increase an
procedures of subpart F of this part. malfunction. If the engine is not engine’s emissions of any pollutant.
54. Section 1048.105 is revised to read serviced, but the malfunction or system * * * * *
as follows: error does not recur for three 58. Section 1048.125 is amended by
consecutive engine starts during which revising paragraph (d) to read as
§ 1048.105 What evaporative emission the malfunctioning system is evaluated
standards and requirements apply?
follows:
and found to be working properly, the
Starting in the 2007 model year, new MIL may stay off during later engine § 1048.125 What maintenance instructions
engines that run on a volatile liquid fuel operation. must I give to buyers?
(such as gasoline) must meet the (d) Store trouble codes in computer * * * * *
emission standards of this section over memory. Record and store in computer (d) Noncritical emission-related
a useful life of five years. Note that memory any diagnostic trouble codes maintenance. Subject to the provisions
§ 1048.245 allows you to use design- showing a malfunction that should of this paragraph (d), you may schedule
based certification instead of generating illuminate the MIL. The stored codes any amount of emission-related
new emission data. Auxiliary marine must identify the malfunctioning system inspection or maintenance that is not
engines must meet the evaporative or component as uniquely as possible. covered by paragraph (a) of this section
emission standards in 40 CFR 1045.107 Make these codes available through the (i.e., maintenance that is neither
instead of the standards in this section. data link connector as described in explicitly identified as critical emission-
(a) Fuel line permeation. For paragraph (g) of this section. You may related maintenance, nor that we
nonmetallic fuel lines, you must specify store codes for conditions that do not approve as critical emission-related
and use products that meet the Category turn on the MIL. The system must store maintenance). Noncritical emission-
1 specifications for permeation in SAE a separate code to show when the related maintenance generally includes
J2260 (incorporated by reference in diagnostic system is disabled. changing spark plugs, re-seating valves,
§ 1048.810). or any other emission-related
(b) [Reserved] * * * * *
56. Section 1048.115 is amended by maintenance on the components we
(c) Diurnal emissions. Evaporative
revising the section heading, specify in 40 CFR part 1068, Appendix
hydrocarbon emissions may not exceed
introductory text, and paragraph (e) to I. You must state in the owners manual
0.2 grams per gallon of fuel tank
read as follows: that these steps are not necessary to
capacity when measured using the test
keep the emission-related warranty
procedures specified in 40 CFR § 1048.115 What other requirements valid. If operators fail to do this
1060.525, except that permeation apply? maintenance, this does not allow you to
emissions may not be subtracted from Engines that are required to meet the disqualify those engines from in-use
the measured value. Diurnal emission emission standards of this part must testing or deny a warranty claim. Do not
controls must continue to function meet the following requirements: take these inspection or maintenance
during engine operation.
(d) Running loss. Liquid fuel in the * * * * * steps during service accumulation on
fuel tank may not reach boiling during (e) Adjustable parameters. Engines your emission-data engines.
continuous engine operation in the final that have adjustable parameters must * * * * *
installation at an ambient temperature meet all the requirements of this part for 59. Section 1048.135 is amended by
of 30 °C. Note that gasoline with a Reid any adjustment in the physically revising paragraphs (c)(5), (c)(11),
vapor pressure of 62 kPa (9 psi) begins adjustable range. An operating (c)(17), and (f) to read as follows:
to boil at about 53 °C at atmospheric parameter is not considered adjustable if
you permanently seal it or if it is not § 1048.135 How must I label and identify
pressure, and at about 60 °C for fuel the engines I produce?
tanks that hold pressure as described in normally accessible using ordinary
§ 1048.245(e)(1)(i). tools. We may require that you set * * * * *
(e) Installation. If other companies adjustable parameters to any (c) * * *

install your engines in their equipment, specification within the adjustable range (5) State the date of manufacture
you may introduce your engines into during any testing, including [MONTH and YEAR]; however, you may
U.S. commerce without meeting all the certification testing, production-line omit this from the label if you stamp or
requirements in this section. However, testing, or in-use testing. engrave it on the engine.
you must give equipment manufacturers * * * * * * * * * *
(11) Identify the emission standards to § 1048.201 What are the general testing emission standards we specify in
which you have certified the engine (in requirements for obtaining a certificate of § 1048.101(c) for all normal operation
g/kW-hr). conformity? and use when tested as specified in
* * * * * (a) You must send us a separate § 1048.515. Describe any relevant
application for a certificate of testing, engineering analysis, or other
(17) If your engines are certified to the conformity for each engine family. A
voluntary standards in § 1048.140, state: information in sufficient detail to
certificate of conformity is valid starting support your statement.
‘‘BLUE SKY SERIES’’ and identify the with the indicated effective date, but it
standard to which you certify the is not valid for any production after (r) For engines not subject to transient
engines. December 31 of the model year for testing requirements in § 148.101(a),
* * * * * which it is issued. No certificate will be include information showing how your
(f) If you obscure the engine label issued after December 31 of the model emission controls will function during
while installing the engine in the year. normal in-use transient operation. For
equipment such that the label cannot be * * * * * example, this might include the
read during normal maintenance, you 62. Section 1048.205 is amended by following:
must place a duplicate label on the revising paragraphs (b), (p)(1), (q), (r) * * * * *
equipment. If others install your engine introductory text, (y), and (aa) to read as (y) Include good-faith estimates of
in their equipment in a way that follows: U.S.-directed production volumes.
obscures the engine label, we require Include a justification for the estimated
§ 1048.205 What must I include in my
them to add a duplicate label on the production volumes if they are
application?
equipment (see 40 CFR 1068.105); in substantially different than actual
that case, give them the number of * * * * *
(b) Explain how the emission control production volumes in earlier years for
duplicate labels they request and keep
systems operate. Describe the similar models.
the following records for at least five
evaporative emission controls. Also * * * * *
years:
describe in detail all system
(1) Written documentation of the components for controlling exhaust (aa) Name an agent for service located
request from the equipment emissions, including all auxiliary in the United States. Service on this
manufacturer. emission control devices (AECDs) and agent constitutes service on you or any
(2) The number of duplicate labels all fuel-system components you will of your officers or employees for any
you send for each engine family and the install on any production or test engine. action by EPA or otherwise by the
date you sent them. Identify the part number of each United States related to the
60. Section 1048.140 is revised to read component you describe. For this requirements of this part.
as follows: paragraph (b), treat as separate AECDs 63. Section 1048.220 is amended by
any devices that modulate or activate revising the introductory text to read as
§ 1048.140 What are the provisions for differently from each other. Include follows:
certifying Blue Sky Series engines? sufficient detail to allow us to evaluate
This section defines voluntary whether the AECDs are consistent with § 1048.220 How do I amend the
standards for a recognized level of the defeat device prohibition of maintenance instructions in my
§ 1048.115. application?
superior emission control for engines
designated as ‘‘Blue Sky Series’’ * * * * * You may amend your emission-
engines. If you certify an engine family (p) * * * related maintenance instructions after
under this section, it is subject to all the (1) Present exhaust emission data for you submit your application for
requirements of this part as if these HC, NOX, and CO on an emission-data certification, as long as the amended
voluntary standards were mandatory. To engine to show your engines meet the instructions remain consistent with the
receive a certificate of conformity as applicable duty-cycle emission provisions of § 1048.125. You must send
‘‘Blue Sky Series,’’ you must certify to standards we specify in § 1048.101. the Designated Compliance Officer a
one of the sets of exhaust emission Show emission figures before and after written request to amend your
standards in the following table: applying deterioration factors for each application for certification for an
engine. Include emission results for engine family if you want to change the
TABLE 1 TO § 1048.140.—STANDARDS each mode if you do discrete-mode emission-related maintenance
FOR BLUE SKY SERIES ENGINES testing under § 1048.505. Include test instructions in a way that could affect
data for each type of fuel from 40 CFR emissions. In your request, describe the
(g/kW-hr)
part 1065, subpart H, on which you proposed changes to the maintenance
Standards for steady- Standards for intend for engines in the engine family instructions. We will disapprove your
state and transient field-testing to operate (for example, gasoline, request if we determine that the
test procedures procedures liquefied petroleum gas, methanol, or amended instructions are inconsistent
natural gas). If we specify more than one with maintenance you performed on
HC+NOX CO HC+NOX CO
grade of any fuel type (for example, a emission-data engines. If operators
0.80 4.4 1.10 6.6 summer grade and winter grade of follow the original maintenance
0.60 4.4 0.84 6.6 gasoline), you need to submit test data instructions rather than the newly
0.40 4.4 0.56 6.6 only for one grade unless the regulations
specified maintenance, this does not
0.20 4.4 0.28 6.6 of this part specify otherwise for your
allow you to disqualify those engines

0.10 4.4 0.14 6.6 engine. Note that § 1048.235 allows you
from in-use testing or deny a warranty
to submit an application in certain cases
claim.
Subpart C—[Amended] without new emission data.
* * * * * * * * * *
61. Section 1048.201 is amended by (q) State that all the engines in the 64. Section 1048.225 is revised to read
revising paragraph (a) to read as follows: engine family comply with the field- as follows:
§ 1048.225 How do I amend my application (e) For engine families already § 1048.240 How do I demonstrate that my
for certification to include new or modified covered by a certificate of conformity, engine family complies with exhaust
engine configurations? you may start producing the new or emission standards?
Before we issue you a certificate of modified engine configuration anytime * * * * *
conformity, you may amend your after you send us your amended (c) * * *
application to include new or modified application and before we make a (1) Multiplicative deterioration factor.
engine configurations, subject to the decision under paragraph (d) of this Except as specified in paragraph (c)(2)
provisions of this section. After we have section. However, if we determine that of this section, use a multiplicative
issued your certificate of conformity, the affected engines do not meet deterioration factor for exhaust
you may send us an amended applicable requirements, we will notify emissions. A multiplicative
application requesting that we include you to cease production of the engines deterioration factor is the ratio of
new or modified engine configurations and may require you to recall the exhaust emissions at the end of useful
within the scope of the certificate, engines at no expense to the owner. life to exhaust emissions at the low-hour
subject to the provisions of this section. Choosing to produce engines under this test point. Adjust the official emission
You must amend your application if any paragraph (e) is deemed to be consent to results for each tested engine at the
changes occur with respect to any recall all engines that we determine do selected test point by multiplying the
information included in your not meet applicable emission standards measured emissions by the deterioration
application. or other requirements and to remedy the factor. If the factor is less than one, use
(a) You must amend your application nonconformity at no expense to the one.
before you take any of the following owner. If you do not provide (2) Additive deterioration factor. Use
actions: information required under paragraph an additive deterioration factor for
(1) Add an engine configuration to an (c) of this section within 30 days, you exhaust emissions if engines do not use
engine family. In this case, the engine must stop producing the new or aftertreatment technology. Also, you
configuration added must be consistent modified engines. may use an additive deterioration factor
with other engine configurations in the for exhaust emissions for a particular
engine family with respect to the criteria 65. Section 1048.230 is amended by pollutant if all the emission-data
listed in § 1048.230. revising paragraphs (a) and (d) to read engines in the engine family have low-
(2) Change an engine configuration as follows: hour emission levels below 0.3 g/kW-hr
already included in an engine family in § 1048.230 How do I select engine (for CO or HC+NOX, as appropriate),
a way that may affect emissions, or families? unless a multiplicative deterioration
change any of the components you factor is more appropriate. For example,
described in your application for (a) For purposes of certification, you should use a multiplicative
certification. This includes production divide your product line into families of deterioration factor if emission increases
and design changes that may affect engines that are expected to have are best represented by the ratio of
emissions any time during the engine’s similar emission characteristics exhaust emissions at the end of the
lifetime. throughout the useful life as described useful life to exhaust emissions at the
(b) To amend your application for in this section. Your engine family is low-hour test point. An additive
certification, send the Designated limited to a single model year. deterioration factor is the difference
Compliance Officer the following * * * * * between exhaust emissions at the end of
information: (d) In unusual circumstances, you useful life and exhaust emissions at the
(1) Describe in detail the addition or may group engines that are not identical low-hour test point. Adjust the official
change in the engine model or with respect to the things listed in emission results for each tested engine
configuration you intend to make. paragraph (b) of this section in the same at the selected test point by adding the
(2) Include engineering evaluations or factor to the measured emissions. If the
engine family if you show that their
data showing that the amended engine factor is less than zero, use zero.
emission characteristics during the
family complies with all applicable * * * * *
useful life will be similar.
requirements. You may do this by 68. Section 1048.245 is amended by
showing that the original emission-data * * * * *
revising paragraphs (c) and (e)(1)(i) to
engine is still appropriate for showing 66. Section 1048.235 is amended by read as follows:
that the amended family complies with revising paragraph (d)(1) to read as
all applicable requirements. follows: § 1048.245 How do I demonstrate that my
(3) If the original emission-data engine family complies with evaporative
engine for the engine family is not § 1048.235 What emission testing must I emission standards?
perform for my application for a certificate
appropriate to show compliance for the * * * * *
of conformity?
new or modified engine configuration, (c) Use good engineering judgment to
include new test data showing that the * * * * * develop a test plan to establish
new or modified engine configuration (d) * * * deterioration factors to show how much
meets the requirements of this part. (1) The emission family from the emissions increase at the end of the
(c) We may ask for more test data or previous model year differs from the useful life.
engineering evaluations. You must give current emission family only with * * * * *
us these within 30 days after we request respect to model year or other (e) * * *
them. characteristics unrelated to emissions. (1) * * *
(d) For engine families already (i) Use a tethered or self-closing gas
You may also ask to add a configuration

covered by a certificate of conformity, cap on a fuel tank that stays sealed up
subject to § 1048.225.
we will determine whether the existing to a positive pressure of 24.5 kPa (3.5
certificate of conformity covers your * * * * * psig); however, they may contain air
newly added or modified engine. You 67. Section 1048.240 is amended by inlets that open when there is a vacuum
may ask for a hearing if we deny your revising paragraphs (c)(1) and (c)(2) to pressure inside the tank. Nonmetal fuel
request (see § 1048.820). read as follows: tanks must also use one of the
qualifying designs for controlling (c) Other regulatory provisions written report reasons for invalidating
permeation emissions specified in 40 authorize us to suspend, revoke, or void any test and the emission results from
CFR 1060.240. your certificate of conformity, or order all tests. If you retest an engine, you
* * * * * recalls for engine families without may ask us to substitute results of the
69. Section 1048.250 is amended by regard to whether they have passed new tests for the original ones. You
redesignating paragraphs (a) through (d) these production-line testing must ask us within ten days of testing.
as paragraphs (b) through (e), requirements. The requirements of this We will generally answer within ten
respectively, and adding a new subpart do not affect our ability to do days after we receive your information.
paragraph (a) to read as follows: selective enforcement audits, as 73. Section 1048.310 is amended by
described in part 1068 of this chapter. revising paragraphs (a), (c) introductory
§ 1048.250 What records must I keep and Individual engines in families that pass text, (c)(2), (f), (g), and (h) to read as
make available to EPA? these production-line testing follows:
(a) If you produce vehicles under any requirements must also conform to all
provisions of this part that are related to § 1048.310 How must I select engines for
applicable regulations of this part and production-line testing?
production volumes, send the part 1068 of this chapter.
Designated Compliance Officer a report (a) Use test results from two engines
* * * * * each quarter to calculate the required
within 30 days after the end of the 72. Section 1048.305 is amended by
model year describing the total number sample size for the model year for each
adding introductory text and revising engine family.
of vehicles you produced in each engine paragraphs (a), (d), and (g) to read as
family. For example, if you use special * * * * *
follows:
provisions intended for small-volume (c) Calculate the required sample size
manufacturers, report your production § 1048.305 How must I prepare and test my for each engine family. Separately
volumes to show that you do not exceed production-line engines? calculate this figure for HC+NOX and
the applicable limits. This section describes how to prepare CO. The required sample size is the
* * * * * and test production-line engines. You greater of these calculated values. Use
70. Section 1048.255 is amended by must assemble the test engine in a way the following equation:
revising the section heading and that represents the assembly procedures N = [(t95 × s)/(x ¥ STD)]2 + 1
paragraph (d) to read as follows: for other engines in the engine family. Where:
You must ask us to approve any N = Required sample size for the model year.
§ 1048.255 What decisions may EPA make deviations from your normal assembly t95 = 95% confidence coefficient, which
regarding my certificate of conformity? procedures for other production engines depends on the number of tests
* * * * * in the engine family. completed, n, as specified in the table in
(d) We may void your certificate if (a) Test procedures. Test your paragraph (c)(1) of this section. It defines
you do not keep the records we require production-line engines using either the 95% confidence intervals for a one-tail
or do not give us information as steady-state or transient testing distribution.
required under this part or the Act. x = Mean of emission test results of the
procedures specified in subpart F of this sample.
* * * * * part to show you meet the duty-cycle STD = Emission standard.
emission standards in subpart B of this s = Test sample standard deviation (see
Subpart D—[Amended] part. The field-testing standards apply paragraph (c)(2) of this section). * * *
for this testing, but you need not do (2) Calculate the standard deviation,
additional testing to show that s, for the test sample using the
revising paragraphs (a) and (c) to read as
production-line engines meet the field- following formula:
follows:
testing standards. s = [S(Xi ¥ x)2/(n ¥ 1)]1/2
§ 1048.301 When must I test my * * * * * Where:
production-line engines? (d) Setting adjustable parameters. Xi = Emission test result for an individual
(a) If you produce engines that are Before any test, we may require you to engine.
subject to the requirements of this part, adjust any adjustable parameter to any n = The number of tests completed in an
you must test them as described in this setting within its physically adjustable engine family.
subpart, except as follows: range. * * * * *
(1) [Reserved] (1) We may require you to adjust idle (f) Distribute the remaining tests
(2) We may exempt engine families speed outside the physically adjustable evenly throughout the rest of the year.
with a projected U.S.-directed range as needed, but only until the You may need to adjust your schedule
production volume below 150 units engine has stabilized emission levels for selecting engines if the required
from routine testing under this subpart. (see paragraph (e) of this section). We sample size changes. If your scheduled
Request this exemption in the may ask you for information needed to quarterly testing for the remainder of the
application for certification and include establish an alternate minimum idle model year is sufficient to meet the
your basis for projecting a production speed. calculated sample size, you may wait
volume below 150 units. You must (2) We may specify adjustments until the next quarter to do additional
promptly notify us if your actual within the physically adjustable range testing. Continue to randomly select
production exceeds 150 units during the by considering their effect on emission engines from each engine family.
model year. If you exceed the levels, as well as how likely it is (g) Continue testing until one of the
production limit or if there is evidence someone will make such an adjustment following things happens:
of a nonconformity, we may require you with in-use engines. (1) After completing the minimum
to test production-line engines under * * * * * number of tests required in paragraph
this subpart, or under 40 CFR part 1068, (g) Retesting after invalid tests. You (b) of this section, the number of tests
subpart E, even if we have approved an may retest an engine if you determine completed in an engine family, n, is
exemption under this paragraph (a)(2). an emission test is invalid under greater than the required sample size, N,
* * * * * subpart F of this part. Explain in your and the sample mean, x, is less than or
equal to the emission standard. For (b) Construct the following CumSum Clean Air Act and the regulations.
example, if N = 5.1 after the fifth test, Equation for each engine family for (Authorized Company Representative)
the sample-size calculation does not HC+NOX and CO emissions: * * * * *
allow you to stop testing. Ci = Max [0 or Ci¥1 + Xi ¥ (STD + 0.25 77. Section 1048.350 is amended by
(2) The engine family does not × s)] revising paragraphs (b) and (e) to read
comply according to § 1048.315. Where:
as follows:
(3) You test 30 engines from the Ci = The current CumSum statistic. § 1048.350 What records must I keep?
engine family. Ci–1 = The previous CumSum statistic. For * * * * *
(4) You test one percent of your the first test, the CumSum statistic is 0 (b) Keep paper records of your
projected annual U.S.-directed (i.e., C1 = 0).
production-line testing for eight years
production volume for the engine Xi = The current emission test result for an
individual engine. after you complete all the testing
family, rounded to the nearest whole required for an engine family in a model
STD = Emission standard.
number. Do not count an engine under year. You may use any additional
this paragraph (g)(4) if it fails to meet an * * * * *
storage formats or media if you like.
applicable emission standard. You may 75. Section 1048.325 is amended by
revising the section heading and * * * * *
stop testing after you test one percent of (e) If we ask, you must give us
your production volume even if you paragraph (c) to read as follows:
projected or actual production figures
have not tested the number of engines § 1048.325 What happens if an engine for an engine family. We may ask you
specified in paragraph (b) of this family fails the production-line testing to divide your production figures by
section. For example, if projected requirements? maximum engine power, displacement,
volume is 475 engines, test two engines * * * * * fuel type, or assembly plant (if you
in each of the first two quarters and one (c) Up to 15 days after we suspend the produce engines at more than one
engine in the third quarter to fulfill your certificate for an engine family, you may plant).
testing requirements under this section ask for a hearing (see § 1048.820). If we * * * * *
for that engine family. agree before a hearing occurs that we
(5) You choose to declare that the used erroneous information in deciding Subpart E—[Amended]
engine family does not comply with the to suspend the certificate, we will
requirements of this subpart. 78. Section 1048.410 is amended by
reinstate the certificate. revising paragraph (e) to read as follows:
(h) If the sample-size calculation * * * * *
allows you to stop testing for one 76. Section 1048.345 is amended by § 1048.410 How must I select, prepare, and
pollutant but not another, you must revising paragraphs (a)(4), (a)(5), (a)(8), test my in-use engines?
continue measuring emission levels of and (c) to read as follows: * * * * *
all pollutants for any additional tests (e) You may do repeat measurements
required under this section. However, § 1048.345 What production-line testing with a test engine; however, you must
you need not continue making the records must I send to EPA? conduct the same number of tests on
calculations specified in this section for * * * * * each engine.
the pollutant for which testing is not (a) * * * * * * * *
required. This paragraph (h) does not (4) Describe each test engine, 79. Section 1048.415 is amended by
affect the number of tests required including the engine family’s revising paragraphs (c) and (d) to read
under this section or the remedial steps identification and the engine’s model as follows:
required under § 1048.320. year, build date, model number,
identification number, and number of § 1048.415 What happens if in-use engines
* * * * * do not meet requirements?
74. Section 1048.315 is amended by hours of operation before testing.
(5) Identify how you accumulated * * * * *
revising paragraphs (a) and (b) to read (c) We will consider failure rates,
as follows: hours of operation on the engines and
describe the procedure and schedule average emission levels, and any
§ 1048.315 How do I know when my engine you used. defects—among other things—to decide
family fails the production-line testing on taking remedial action under this
* * * * * subpart (see 40 CFR 1068.505). We may
requirements?
(8) Provide the CumSum analysis consider the results from any voluntary
* * * * * required in § 1048.315 and the sample- additional testing you perform. We may
(a) Calculate your test results as size calculation required in § 1048.310 also consider information related to
follows: for each engine family. testing from other engine families
(1) Initial and final test results. * * * * * showing that you designed them to
Calculate and round the test results for (c) An authorized representative of exceed the minimum requirements for
each engine. If you do several tests on your company must sign the following controlling emissions. We may order a
an engine, calculate the initial test statement: recall before or after you complete
results, then add them together and We submit this report under Sections testing of an engine family if we
divide by the number of tests and round 208 and 213 of the Clean Air Act. Our determine a substantial number of
for the final test results on that engine. production-line testing conformed engines do not conform to section 213
(2) Final deteriorated test results. completely with the requirements of 40 of the Act or to this part. The scope of
Apply the deterioration factor for the CFR part 1048. We have not changed the recall may include other engine
engine family to the final test results production processes or quality-control families in the same or different model
(see § 1048.240(c)). procedures for test engines in a way that years if the cause of the problem
(3) Round deteriorated test results. might affect emission controls. All the identified in paragraph (a) of this
Round the results to the number of information in this report is true and section applies more broadly than the
decimal places in the emission standard accurate, to the best of my knowledge. tested engine family, as allowed by the
expressed to one more decimal place. I know of the penalties for violating the Act.
(d) If in-use testing reveals a design or commercially available fuel that is that depend on aftertreatment to meet
manufacturing defect that prevents representative of the fuel that in-use the NOX emission standard, operate the
engines from meeting the requirements engines will use. engine for 5–6 minutes, then sample
of this part, you must correct the defect * * * * * emissions for 1–3 minutes in each
as soon as possible for any future 81. Section 1048.505 is amended by mode.
production for engines in every family revising paragraphs (a) and (b)(1) to read (ii) Engines without lean NOX
affected by the defect. See 40 CFR as follows: aftertreatment. For other engines,
1068.501 for additional requirements
§ 1048.505 What transient duty cycles operate the engine for at least 5 minutes,
related to defect reporting.
apply for laboratory testing? then sample emissions for at least 1
* * * * * minute in each mode.
* * * * *
Subpart F—[Amended] (a) You may perform steady-state (2) For ramped-modal testing, start
testing with either discrete-mode or sampling at the beginning of the first
80. Section 1048.501 is amended by mode and continue sampling until the
ramped-modal cycles, as follows:
removing paragraph (h), removing and
(1) For discrete-mode testing, sample end of the last mode. Calculate
reserving paragraph (e), and revising
emissions separately for each mode, emissions and cycle statistics the same
paragraph (c) to read as follows:
then calculate an average emission level as for transient testing as specified in 40
§ 1048.501 How do I run a valid emission for the whole cycle using the weighting CFR part 1065, subpart G.
test? factors specified for each mode. (b) * * *
* * * * * Calculate cycle statistics for each mode
(c) Use the fuels and lubricants and compare with the specified values (1) For engines from an engine family
specified in 40 CFR part 1065, subpart in 40 CFR 1065.514 to confirm that the that will be used only in variable-speed
H, to perform valid tests for all the test is valid. Operate the engine and applications, use one of the following
testing we require in this part, except as sampling system as follows: duty cycles:
noted in § 1048.515. For service (i) Engines with lean NOX (i) The following duty cycle applies
accumulation, use the test fuel or any aftertreatment. For lean-burn engines for discrete-mode testing:
TABLE 1 TO § 1048.505
Observed Weighting
C2 mode No. Engine speed 1 torque 2 factors
1 ....................................................... Maximum test speed ................................................................................. 25 0.06

2 ....................................................... Intermediate test ........................................................................................ 100 0.02
7 ....................................................... 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 TO § 1048.505
Time in mode Torque
RMC mode Engine speed 1 2
(seconds) (percent) 2 3
1a Steady-state ....................................... 119 Warm Idle ................................................ 0.

2a Steady-state ....................................... 29 Intermediate Speed ................................. 100.
2b Transition ............................................ 20 Intermediate Speed ................................. Linear Transition.
7a Steady-state ....................................... 96 Maximum test speed ............................... 25.
8 Steady-state ......................................... 124 Warm Idle ................................................ 0.
1 Speedterms 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.
* * * * * calculation of the applicable fleet professional competitors, or other

82. Section 1048.510 is amended by average in 40 CFR part 86. qualified competitors. Keep records
revising paragraphs (a) and (c)(1) to read 85. Section 1048.615 is amended by documenting this, such as a letter
as follows: revising paragraphs (a)(1), (a)(3) and (d) requesting an exempted engine.
to read as follows: (3) The engine and the equipment in
§ 1048.510 What transient duty cycles which it is installed must have
apply for laboratory testing? § 1048.615 What are the provisions for performance characteristics that are
(a) Starting with the 2007 model year, exempting engines designed for lawn and substantially superior to noncompetitive
measure emissions by testing the engine garden applications?
models.
on a dynamometer with the duty cycle * * * * * (4) The engines are intended for use
described in Appendix II to determine (a) * * * only as specified in paragraph (e) of this
whether it meets the transient emission (1) The engine must have a total section.
standards in § 1048.101(a). displacement of 1000.0 cc or less. (d) You may ask us to approve an
* * * * * * * * * * exemption for engines not meeting the
(c) * * * (3) The engine must be in an engine applicable criteria listed in paragraph
(1) Operate the engine for the first 180 family that has a valid certificate of (c) of this section as long as you have
seconds of the appropriate duty cycle, conformity showing that it meets clear and convincing evidence that the
then allow it to idle without load for 30 emission standards for Class II engines engines will be used solely for
seconds. At the end of the 30-second under 40 CFR part 90 or 1054 for the competition.
idling period, start measuring emissions appropriate model year. (e) Engines are considered to be used
as the engine operates over the * * * * * solely for competition only if their use
prescribed duty cycle. For severe-duty (d) Engines exempted under this is limited to competition events
engines, this engine warm-up procedure section are subject to all the sanctioned by a state or federal
requirements affecting engines under 40 government agency or another widely
may include up to 15 minutes of
CFR part 90 or 1054. The requirements recognized public organization with
operation over the appropriate duty
and restrictions of 40 CFR part 90 or authorizing permits for participating
cycle.
1054 apply to anyone manufacturing competitors. Operation of such engines
* * * * * may include only competition events or
these engines, anyone manufacturing
equipment that uses these engines, and trials to qualify for competition events.
Subpart G—[Amended]
all other persons in the same manner as Authorized attempts to set performance
83. Section 1048.605 is amended by if these engines had a total maximum records (and the associated official
revising paragraph (d)(7)(ii) to read as engine power at or below 19 kW. trials) are also considered competition
follows: 86. Section 1048.630 is revised to read events. Engines will not be considered
as follows: to be used solely for competition if they
§ 1048.605 What provisions apply to are ever used for any recreational or
engines certified under the motor-vehicle § 1048.630 What are the provisions for other noncompetitive purpose. Any use
program? exempting engines used solely for of exempt engines in recreational events
* * * * * competition? is a violation of 40 CFR 1068.101.
(d) * * * (a) We may grant you an exemption (f) You must permanently label
(7) * * * from the standards and requirements of engines exempted under this section to
(ii) List the engine or equipment this part for a new engine on the clearly indicate that they are to be used
models you expect to produce under grounds that it is to be used solely for only for competition. Failure to properly
this exemption in the coming year and competition. The requirements of this label an engine will void the exemption
describe your basis for meeting the sales part, other than those in this section, do for that engine.
restrictions of paragraph (d)(3) of this not apply to engines that we exempt for (g) If we request it, you must provide
section. use solely for competition. us any information we need to
* * * * * (b) We will exempt engines that we determine whether the engines or
84. Section 1048.610 is amended by determine will be used solely for equipment are used solely for
revising paragraphs (d)(7)(ii) and (g) to competition. The basis of our competition. This would include
read as follows: determination is described in documentation regarding the number of
paragraphs (c) and (d) of this section. engines and the ultimate purchaser of
§ 1048.610 What provisions apply to Exemptions granted under this section each engine. Keep these records for five
vehicles certified under the motor-vehicle are good for only one model year and years.
program?
you must request renewal for each
* * * * * Subpart I—[Amended]
subsequent model year. We will not
(d) * * * approve your renewal request if we 87. Section 1048.801 is amended as
(7) * * * determine the engine will not be used follows:
(ii) List the equipment models you solely for competition. a. By revising the definitions for
expect to produce under this exemption (c) Engines meeting all the following ‘‘Constant-speed operation’’,
in the coming year and describe your criteria are considered to be used solely ‘‘Designated Compliance Officer’’,
basis for meeting the sales restrictions of for competition: ‘‘Emission-control system’’, ‘‘Maximum
paragraph (d)(3) of this section. (1) Neither the engine nor any engine power’’, ‘‘Nonmethane
* * * * * equipment containing the engine may hydrocarbon’’, ‘‘Official emission
(g) Participation in averaging, banking be displayed for sale in any public result’’, ‘‘Oxides of nitrogen’’,‘‘Small-
and trading. Vehicles adapted for dealership or otherwise offered for sale volume engine manufacturer’’, ‘‘Steady-
nonroad use under this section may to the general public. state’’, ‘‘Total hydrocarbon equivalent’’,
generate credits under the ABT (2) Sale of the equipment in which the and ‘‘Useful life’’.
provisions in 40 CFR part 86. These engine is installed must be limited to b. By revising paragraph (1) of the
vehicles must be included in the professional competition teams, definition for ‘‘New nonroad engine’’.
c. By adding text to paragraph (5)(ii) Nonmethane hydrocarbon has the Commonwealth Drive, Warrendale, PA
of the definition for ‘‘Model year’’. meaning given in 40 CFR 1065.1001. 15096 or www.sae.org. Table 1 follows:
d. By adding a definition of ‘‘Engine’’ * * * * * * * * * *
and adding a paragraph (5)(iii) to the Official emission result means the 89. A new § 1048.825 is added to read
definition for ‘‘Model year’’. measured emission rate for an emission- as follows:
data engine on a given duty cycle before
§ 1048.801 What definitions apply to this § 1048.825 What reporting and
part?
the application of any deterioration
recordkeeping requirements apply under
factor.
* * * * * this part?
Constant-speed operation has the * * * * * Under the Paperwork Reduction Act
Oxides of nitrogen has the meaning
meaning given in 40 CFR 1065.1001. (44 U.S.C. 3501 et seq), the Office of
given in 40 CFR 1065.1001.
* * * * * Management and Budget approves the
* * * * * reporting and recordkeeping specified
Designated Compliance Officer means Small-volume engine manufacturer
the Manager, Heavy-Duty and Nonroad in the applicable regulations. The
means one of the following: following items illustrate the kind of
Engine Group (6405–J), U.S. (1) An engine manufacturer with U.S.-
Environmental Protection Agency, 1200 reporting and recordkeeping we require
directed production volumes of engines
Pennsylvania Ave., NW., Washington, for engines and equipment regulated
subject to the requirements of this part
DC 20460. under this part:
totaling no more than 2,000 units in any (a) We specify the following
* * * * * year. For manufacturers owned by a requirements related to engine
Emission-control system means any parent company, this production limit certification in this part 1048:
device, system, or element of design that applies to the production of the parent (1) In § 1048.20 we require
controls or reduces the emissions of company and all its subsidiaries. manufacturers of stationary engines to
regulated pollutants from an engine. (2) An engine manufacturer with
label their engines in certain cases.
* * * * * fewer than 200 employees. This (2) In § 1048.135 we require engine
Engine has the meaning given in 40 includes any employees working for manufacturers to keep certain records
CFR 1068.30. This includes complete parent or subsidiary companies. related to duplicate labels sent to
and partially complete engines. * * * * * equipment manufacturers.
* * * * * Steady-state has the meaning given in (3) In § 1048.145 we include various
Maximum engine power has one of 40 CFR 1065.1001. reporting and recordkeeping
the following meanings: * * * * * requirements related to interim
(1) For engines at or below 50 kW, Total hydrocarbon equivalent has the provisions.
maximum engine power has the meaning given in 40 CFR 1065.1001. (4) In subpart C of this part we
meaning given in 40 CFR 90.3 for 2010 * * * * * identify a wide range of information
and earlier model years and in 40 CFR Useful life means the period during required to certify engines.
1054.140 for 2011 and later model years. which the engine is designed to (5) In §§ 1048.345 and 1048.350 we
(2) For engines above 50 kW, properly function in terms of reliability specify certain records related to
maximum engine power has the and fuel consumption, without being production-line testing.
meaning given in 40 CFR 1039.140. remanufactured, specified as a number (6) In §§ 1048.420 and 1048.425 we
* * * * * of hours of operation or calendar years, specify certain records related to in-use
Model year means one of the whichever comes first. It is the period testing.
following things: * * * during which a new nonroad engine is (7) In subpart G of this part we
(5) * * * required to comply with all applicable identify several reporting and
(ii) For imported engines described in emission standards. See § 1048.101(g). If recordkeeping items for making
paragraph (5)(ii) of the definition of an engine has no hour meter, the demonstrations and getting approval
‘‘new nonroad engine,’’ model year specified number of hours does not related to various special compliance
means the calendar year in which the limit the period during which an in-use provisions.
engine is modified. engine is required to comply with (b) [Reserved]
(iii) For imported engines described emission standards, unless the degree of (c) We specify the following
in paragraph (5)(iii) of the definition of service accumulation can be verified requirements related to testing in 40
‘‘new nonroad engine,’’ model year separately. CFR part 1065:
* * * * * (1) In 40 CFR 1065.2 we give an
means the calendar year in which the
88. Section 1048.810 is amended by overview of principles for reporting
importation occurs.
revising paragraph (b) before the table to information.
* * * * * (2) In 40 CFR 1065.10 and 1065.12 we
New nonroad engine means any of the read as follows:
specify information needs for
following things: § 1048.810 What materials does this part establishing various changes to
(1) A freshly manufactured nonroad reference? published test procedures.
engine for which the ultimate purchaser * * * * * (3) In 40 CFR 1065.25 we establish
has never received the equitable or legal (b) SAE material. Table 2 of this basic guidelines for storing test
title. This kind of engine might section lists material from the Society of information.
commonly be thought of as ‘‘brand Automotive Engineers that we have (4) In 40 CFR 1065.695 we identify
new.’’ In the case of this paragraph (1), incorporated by reference. The first data that may be appropriate for
the engine is new from the time it is column lists the number and name of collecting during testing of in-use
produced until the ultimate purchaser the material. The second column lists engines using portable analyzers.
receives the title or the product is the sections of this part where we (d) We specify the following
placed into service, whichever comes reference it. Anyone may purchase requirements related to the general
first. copies of these materials from the compliance provisions in 40 CFR part
* * * * * Society of Automotive Engineers, 400 1068:
(1) In 40 CFR 1068.5 we establish a utility vehicles, without regard to Subpart B—[Amended]
process for evaluating good engineering whether the regulatory language
judgment related to testing and mentions offroad utility vehicles. 97. Section 1051.115 is amended by
certification. revising the section heading and
* * * * *
(2) In 40 CFR 1068.25 we describe 93. A new § 1051.2 is added to read introductory text to read as follows:
general provisions related to sending as follows: § 1051.115 What other requirements
and keeping information apply?
(3) In 40 CFR 1068.27 we require § 1051.2 Who is responsible for
compliance? Vehicles that are required to meet the
manufacturers to make engines available emission standards of this part must
for our testing or inspection if we make The regulations in this part 1051
contain provisions that affect both meet the following requirements:
such a request.
(4) In 40 CFR 1068.105 we require vehicle manufacturers and others. * * * * *
equipment manufacturers to keep However, the requirements of this part 98. Section 1051.120 is amended by
certain records related to duplicate are generally addressed to the vehicle revising paragraph (c) to read as follows:
labels from engine manufacturers. manufacturer. The term ‘‘you’’ generally
§ 1051.120 What emission-related warranty
(5) In 40 CFR 1068.120 we specify means the vehicle manufacturer, as requirements apply to me?
recordkeeping related to rebuilding defined in § 1051.801, especially for
issues related to certification (including * * * * *
engines. (c) Components covered. The
(6) In 40 CFR part 1068, subpart C, we production-line testing, reporting, etc.).
94. Section 1051.5 is amended by emission-related warranty covers all
identify several reporting and components whose failure would
recordkeeping items for making revising paragraph (a) to read as follows:
increase an engine’s emissions of any
demonstrations and getting approval § 1051.5 Which engines are excluded from pollutant, including those listed in 40
related to various exemptions. this part’s requirements? CFR part 1068, Appendix I, and those
(7) In 40 CFR part 1068, subpart D, we (a)(1) You may exclude vehicles with from any other system you develop to
identify several reporting and compression-ignition engines. See 40 control emissions. The emission-related
recordkeeping items for making CFR parts 89 and 1039 for regulations warranty covers these components even
demonstrations and getting approval that cover these engines. if another company produces the
related to importing engines. (2) Vehicles with a combined total component. Your emission-related
(8) In 40 CFR 1068.450 and 1068.455 vehicle dry weight under 20.0 kilograms warranty does not cover components
we specify certain records related to are excluded from this part. Spark- whose failure would not increase an
testing production-line engines in a ignition engines in these vehicles must engine’s emissions of any pollutant.
selective enforcement audit. instead meet emission standards
(9) In 40 CFR 1068.501 we specify * * * * *
specified in 40 CFR parts 90 and 1054. 99. Section 1051.125 is amended by
certain records related to investigating See 40 CFR 90.103(a) and the definition
and reporting emission-related defects. revising paragraph (d) to read as
of handheld in 40 CFR 1054.801.
(10) In 40 CFR 1068.525 and 1068.530 follows:
* * * * *
we specify certain records related to 95. Section 1051.10 is amended by § 1051.125 What maintenance instructions
recalling nonconforming engines. revising the introductory text to read as must I give to buyers?
Appendix I to Part 1048 [Removed] follows: * * * * *
(d) Noncritical emission-related
90. Appendix I to part 1048 is § 1051.10 How is this part organized?
maintenance. Subject to the provisions
removed and reserved. This part 1051 is divided into the of this paragraph (d), you may schedule
following subparts: any amount of emission-related
PART 1051—CONTROL OF EMISSIONS
* * * * * inspection or maintenance that is not
FROM RECREATIONAL ENGINES AND 96. Section 1051.25 is amended by
VEHICLES covered by paragraph (a) of this section
revising paragraphs (a) and (c) to read as (i.e., maintenance that is neither
91. The authority citation for part follows: explicitly identified as critical emission-
1051 continues to read as follows: § 1051.25 What requirements apply when related maintenance, nor that we
Authority: 42 U.S.C. 7401–7671q. installing certified engines in recreational approve as critical emission-related
vehicles? maintenance). Noncritical emission-
Subpart A—Amended] (a) If you manufacture recreational related maintenance generally includes
vehicles with engines certified under changing spark plugs, re-seating valves,
§ 1051.20, you must certify your vehicle or any other emission-related
revising paragraph (a)(4) to read as
with respect to the evaporative emission maintenance on the components we
follows:
standards in § 1051.110, but you need specify in 40 CFR part 1068, Appendix
§ 1051.1 Does this part apply for my not certify the vehicle with respect to I. You must state in the owners manual
vehicles or engines? exhaust emissions under this part. The that these steps are not necessary to
(a) * * * vehicle must nevertheless meet all keep the emission-related warranty
(4) Offroad utility vehicles with emission standards with the engine valid. If operators fail to do this
engines with displacement less than or installed. maintenance, this does not allow you to
equal to 1000 cc, maximum engine * * * * * disqualify those vehicles from in-use
power less than or equal to 30 kW, and (c) If you obscure the engine label testing or deny a warranty claim. Do not
maximum vehicle speed higher than 25 while installing the engine in the take these inspection or maintenance
miles per hour. Offroad utility vehicles vehicle such that the label cannot be steps during service accumulation on
that are subject to this part are subject read during normal maintenance, you your emission-data vehicles.
to the same requirements as ATVs. This must place a duplicate label on the * * * * *
means that any requirement that applies vehicle as described in 40 CFR 100. Section 1051.135 is amended by
to ATVs also applies to these offroad 1068.105. removing and reserving paragraph (f)
and revising paragraphs (c)(6) and (c)(7) 0.5 kilowatts. The nominal power curve (b) Explain how the emission control
to read as follows: of an engine configuration is the systems operate. Describe the
relationship between maximum evaporative emission controls. Also
§ 1051.135 How must I label and identify available engine brake power and describe in detail all system
the vehicles I produce?
engine speed for an engine, using the components for controlling exhaust
* * * * * mapping procedures of 40 CFR part emissions, including all auxiliary
(c) * * * 1065, based on the manufacturer’s emission control devices (AECDs) and
(6) State the date of manufacture design and production specifications for all fuel-system components you will
[MONTH and YEAR]; however, you may the engine. This information may also install on any production or test vehicle
omit this from the label if you stamp or be expressed by a torque curve that or engine. Identify the part number of
engrave it on the engine or vehicle. relates maximum available engine each component you describe. For this
(7) State the exhaust emission torque with engine speed. paragraph (b), treat as separate AECDs
standards or FELs to which the vehicles (b) An engine configuration’s any devices that modulate or activate
are certified (in g/km or g/kW-hr). Also, displacement is the intended swept differently from each other. Include
starting in the 2009 model year, state the volume of the engine rounded to the sufficient detail to allow us to evaluate
FEL that applies for the fuel tank if it nearest 0.5 cubic centimeter. The swept whether the AECDs are consistent with
is different than the otherwise volume of the engine is the product of the defeat device prohibition of
applicable standard. the internal cross-section area of the § 1051.115.
* * * * * cylinders, the stroke length, and the * * * * *
101. Section 1051.137 is amended by number of cylinders. For example, for a
(o) * * *
revising the introductory text read as one-cylinder engine with a circular
(1) Present exhaust emission data for
follows: cylinder having an internal diameter of
hydrocarbons (such as NMHC or THCE,
6.00 cm and a 6.25 cm stroke length, the
§ 1051.137 What are the consumer labeling as applicable), NOX, and CO on an
rounded displacement would be: (1) ×
requirements? emission-data vehicle to show your
(6.00/2)2 × (π) × (6.25) = 176.5 cc.
Label every vehicle certified under vehicles meet the exhaust emission
Calculate the engine’s intended swept
this part with a removable hang-tag standards as specified in subpart B of
volume from the design specifications
showing its emission characteristics this part. Show emission figures before
for the cylinders using enough
relative to other models. The label and after applying deterioration factors
significant figures allow determination
should be attached securely to the for each vehicle or engine. If we specify
of the displacement to the nearest 0.1
vehicle before it is offered for sale in more than one grade of any fuel type
cc.
such a manner that it would not be (c) The nominal power curve and (for example, a summer grade and
accidentally removed prior to sale. Use intended swept volume must be within winter grade of gasoline), you need to
the applicable equations of this section the range of the actual power curves and submit test data only for one grade
to determine the normalized emission swept volumes of production engines unless the regulations of this part
rate (NER) from the FEL for your considering normal production specify otherwise for your engine.
vehicle. If the vehicle is certified variability. If after production begins it * * * * *
without a family emission limit that is is determined that either your nominal (t) Include good-faith estimates of
different than the otherwise applicable power curve or your intended swept U.S.-directed production volumes.
standard, use the final deteriorated volume does not represent production Include a justification for the estimated
emission level. Round the resulting engines, we may require you to amend production volumes if they are
normalized emission rate for your your application for certification under substantially different than actual
vehicle to one decimal place. If the § 1051.225. production volumes in earlier years for
calculated NER value is less than zero, similar models.
consider NER to be zero for that vehicle. Subpart C—[Amended] * * * * *
We may specify a standardized format (w) Name an agent for service located
for labels. At a minimum, the tag should in the United States. Service on this
revising paragraph (a) to read as follows:
include: The manufacturer’s name, agent constitutes service on you or any
vehicle model name, engine description § 1051.201 What are the general of your officers or employees for any
(500 cc two-stroke with DFI), the NER, requirements for obtaining a certificate of action by EPA or otherwise by the
and a brief explanation of the scale (for conformity? United States related to the
example, note that 0 is the cleanest and (a) You must send us a separate requirements of this part.
10 is the least clean). application for a certificate of 105. Section 1051.220 is amended by
* * * * * conformity for each engine family. A revising the introductory text to read as
102. A new § 1051.140 is added to certificate of conformity is valid starting follows:
read as follows: with the indicated effective date, but it
is not valid for any production after § 1051.220 How do I amend the
§ 1051.140 What is my vehicle’s maximum December 31 of the model year for maintenance instructions in my
engine power and displacement? application?
which it is issued. No certificate will be
This section describes how to issued after December 31 of the model You may amend your emission-
quantify your vehicle’s maximum year. related maintenance instructions after
engine power and displacement for the * * * * * you submit your application for
purposes of this part. certification, as long as the amended

(a) An engine configuration’s revising paragraphs (b), (o)(1), (t), and instructions remain consistent with the
maximum engine power is the (w) to read as follows: provisions of § 1051.125. You must send
maximum brake power point on the the Designated Compliance Officer a
nominal power curve for the engine § 1051.205 What must I include in my request to amend your application for
configuration, as defined in this section. application? certification for an engine family if you
Round the power value to the nearest * * * * * want to change the emission-related
maintenance instructions in a way that showing that the original emission-data with corresponding production volumes
could affect emissions. In your request, vehicle is still appropriate for showing to calculate your average emission level
describe the proposed changes to the that the amended family complies with for the model year, as described in
maintenance instructions. We will all applicable requirements. subpart H of this part. If you amend
disapprove your request if we determine (3) If the original emission-data your application without submitting
that the amended instructions are vehicle for the engine family is not new test data, you must use the higher
inconsistent with maintenance you appropriate to show compliance for the FEL for the entire family to calculate
performed on emission-data vehicles. If new or modified vehicle configuration, your average emission level under
operators follow the original include new test data showing that the subpart H of this part.
maintenance instructions rather than new or modified vehicle configuration (2) You may ask to lower the FEL for
the newly specified maintenance, this meets the requirements of this part. your engine family only if you have test
does not allow you to disqualify those (c) We may ask for more test data or data from production engines showing
engines from in-use testing or deny a engineering evaluations. You must give that the engines have emissions below
warranty claim. us these within 30 days after we request the proposed lower FEL. The lower FEL
them. applies only to engines you produce
* * * * * (d) For engine families already
106. Section 1051.225 is revised to after we approve the new FEL. Use the
covered by a certificate of conformity, appropriate FELs with corresponding
read as follows:
we will determine whether the existing production volumes to calculate your
§ 1051.225 How do I amend my application certificate of conformity covers your average emission level for the model
for certification to include new or modified new or modified vehicle configuration. year, as described in subpart H of this
vehicle configurations or to change an You may ask for a hearing if we deny part.
FEL? your request (see § 1051.820). 107. Section 1051.230 is amended by
Before we issue you a certificate of (e) For engine families already revising the paragraphs (a) and (e)(1) to
conformity, you may amend your covered by a certificate of conformity, read as follows:
application to include new or modified you may start producing the new or
vehicle configurations, subject to the modified vehicle configuration any time § 1051.230 How do I select engine
provisions of this section. After we have after you send us your amended families?
issued your certificate of conformity, application, before we make a decision (a) For purposes of certification,
you may send us an amended under paragraph (d) of this section. divide your product line into families of
application requesting that we include However, if we determine that the vehicles as described in this section.
new or modified vehicle configurations affected vehicles do not meet applicable Except as specified in paragraph (f) of
within the scope of the certificate, requirements, we will notify you to this section, you must have separate
subject to the provisions of this section. cease production of the vehicles and engine families for meeting exhaust and
You must amend your application if any may require you to recall the vehicles at evaporative emissions. Your engine
changes occur with respect to any no expense to the owner. Choosing to family is limited to a single model year.
information included in your produce vehicles under this paragraph * * * * *
application. (e) is deemed to be consent to recall all (e) * * *
(a) You must amend your application vehicles that we determine do not meet (1) In unusual circumstances, you
before you take any of the following applicable emission standards or other may group such vehicles in the same
actions: requirements and to remedy the engine family if you show that their
(1) Add a vehicle configuration to an nonconformity at no expense to the emission characteristics during the
engine family. In this case, the vehicle owner. If you do not provide useful life will be similar.
configuration added must be consistent information required under paragraph
(c) of this section within 30 days, you * * * * *
with other vehicle configurations in the
must stop producing the new or 108. Section 1051.235 is amended by
engine family with respect to the criteria
modified vehicle configuration. revising paragraph (d)(1)(i) to read as
listed in § 1051.230.
(f) You may ask us to approve a follows:
(2) Change a vehicle configuration
already included in an engine family in change to your FEL in certain cases after § 1051.235 What emission testing must I
a way that may affect emissions, or the start of production. The changed perform for my application for a certificate
change any of the components you FEL may not apply to vehicles you have of conformity?
described in your application for already introduced into commerce, * * * * *
certification. This includes production except as described in this paragraph (f). (d) * * *
and design changes that may affect If we approve a changed FEL after the (1) * * *
emissions any time during the engine’s start of production, you must include (i) The engine family from the
lifetime. the new FEL on the emission control previous model year differs from the
(3) Modify an FEL for an engine information label for all vehicles current engine family only with respect
family, as described in paragraph (f) of produced after the change. You may ask to model year or other characteristics
this section. us to approve a change to your FEL in unrelated to emissions. You may also
(b) To amend your application for the following cases: ask to add a configuration subject to
certification, send the Designated (1) You may ask to raise your FEL for § 1051.225.
Compliance Officer the following your engine family at any time. In your * * * * *
information: request, you must show that you will 109. Section 1051.240 is amended by
(1) Describe in detail the addition or still be able to meet the emission
revising paragraph (c)(1) to read as

change in the vehicle model or standards as specified in subparts B and follows:
configuration you intend to make. H of this part. If you amend your
(2) Include engineering evaluations or application by submitting new test data § 1051.240 How do I demonstrate that my
data showing that the amended engine to include a newly added or modified engine family complies with exhaust
family complies with all applicable vehicle, as described in paragraph (b)(3) emission standards?
requirements. You may do this by of this section, use the appropriate FELs * * * * *
(c) * * * 110. Section 1051.243 is amended by (6) You may use other testing methods
(1) For vehicles that use revising the introductory text and to determine deterioration factors,
aftertreatment technology, such as paragraph (b)(6) to read as follows: consistent with good engineering
catalytic converters, use a multiplicative judgment, as long as we approve those
deterioration factor for exhaust § 1051.243 How do I determine methods in advance.
emissions. A multiplicative deterioration factors from exhaust
durability testing? * * * * *
deterioration factor is the ratio of 111. Section 1051.245 is amended by
exhaust emissions at the end of the Establish deterioration factors to
determine whether your engines will revising paragraph (e)(1) to read as
useful life and exhaust emissions at the follows:
low-hour test point. In these cases, meet exhaust emission standards for
adjust the official emission results for each pollutant throughout the useful § 1051.245 How do I demonstrate that my
each tested vehicle or engine at the life, as described in subpart B of this engine family complies with evaporative
selected test point by multiplying the part and § 1051.240. This section emission standards?
measured emissions by the deterioration describes how to determine * * * * *
factor. If the factor is less than one, use deterioration factors, either with pre- (e) * * *
one. Multiplicative deterioration factors existing test data or with new emission (1) For certification to the standards
must be specified to three significant measurements. specified in § 1051.110(a) with the
figures. * * * * * control technologies shown in the
* * * * * (b) * * * following table:
TABLE 1 OF § 1051.245.—DESIGN-CERTIFICATION TECHNOLOGIES FOR CONTROLLING TANK PERMEATION

Then you may design-certify with a
If the tank permeability control technology is. . . tank emission level of. . .
(i) A metal fuel tank with no non-metal gaskets or with gaskets made from a low-permeability material. ...... 1.5 g/m2/day.
(ii) A metal fuel tank with non-metal gaskets with an exposed surface area of 1000 mm2 or less. 1.5 .......... 1.5 g/m2/day.
* * * * * Request this exemption in the vehicle or engine per engine family. If

112. Section 1051.250 is amended by application for certification and include we reduce your testing rate, we may
redesignating paragraphs (a) through (d) your basis for projecting a production limit our approval to any number of
as paragraphs (b) through (e), volume below 150 units. You must model years. In determining whether to
respectively, and adding a new promptly notify us if your actual approve your request, we may consider
paragraph (a) to read as follows: production exceeds 150 units during the the number of vehicles or engines that
model year. If you exceed the have failed the emission tests.
§ 1051.250 What records must I keep and
production limit or if there is evidence * * * * *
make available to EPA?
of a nonconformity, we may require you (h) Vehicles certified to the following
(a) If you produce vehicles under any to test production-line engines under
provisions of this part that are related to standards are exempt from the
this subpart, or under 40 CFR part 1068, production-line testing requirements of
production volumes, send the subpart E, even if we have approved an
Designated Compliance Officer a report this subpart if no engine families in the
exemption under this paragraph (a)(2). averaging set have family emission
within 30 days after the end of the
model year describing the total number * * * * * limits that are different than the
of vehicles you produced in each engine (c) Other regulatory provisions otherwise applicable standard:
family. For example, if you use special authorize us to suspend, revoke, or void * * * * *
provisions intended for small-volume your certificate of conformity, or order 114. Section 1051.305 is amended by
manufacturers, report your production recalls for engine families without adding introductory text and revising
volumes to show that you do not exceed regard to whether they have passed paragraph (d) to read as follows:
the applicable limits. these production-line testing
requirements. The requirements of this § 1051.305 How must I prepare and test my
* * * * * production-line vehicles or engines?
subpart do not affect our ability to do
Subpart D—[Amended] selective enforcement audits, as This section describes how to prepare
described in part 1068 of this chapter. and test production-line vehicles or
113. Section 1051.301 is amended by Individual vehicles and engines in engines. Test the engine if your vehicle
revising paragraphs (a), (c), (e), and (h) families that pass these production-line is certified to g/kW-hr standards;
introductory text to read as follows: testing requirements must also conform otherwise test the vehicle. You must
§ 1051.301 When must I test my to all applicable regulations of this part assemble the test vehicle or engine in a
production-line vehicles or engines? and part 1068 of this chapter. way that represents the assembly
(a) If you produce vehicles that are * * * * * procedures for other vehicles or engines
subject to the requirements of this part, (e) If you certify an engine family with in the engine family. You must ask us
you must test them as described in this carryover emission data, as described in to approve any deviations from your
subpart, except as follows: § 1051.235(c), and these equivalent normal assembly procedures for other
(1) Small-volume manufacturers may engine families consistently pass the production vehicles or engines in the
omit testing under this subpart. production-line testing requirements engine family.
(2) We may exempt engine families over the preceding two-year period, you * * * * *
with a projected U.S.-directed may ask for a reduced testing rate for (d) Setting adjustable parameters.
production volume below 150 units further production-line testing for that Before any test, we may require you to
from routine testing under this subpart. family. The minimum testing rate is one adjust any adjustable parameter to any
setting within its physically adjustable (2) In later test periods of the same completed in an engine family, n, is
range. model year, combine the new test result greater than the required sample size, N,
(1) We may require you to adjust idle with all previous testing in the model and the sample mean, x, is less than or
speed outside the physically adjustable year. Then, calculate the required equal to the emission standard. For
range as needed, but only until the sample size for the model year as example, if N = 5.1 after the fifth test,
vehicle or engine has stabilized described in paragraph (c) of this the sample-size calculation does not
emission levels (see paragraph (e) of this section. allow you to stop testing.
section). We may ask you for (3) In the first test period for engine (2) The engine family does not
information needed to establish an families relying on previously submitted comply according to § 1051.315.
alternate minimum idle speed. test data, combine the new test result (3) You test 30 vehicles or engines
(2) We may specify adjustments with the last test result from the from the engine family.
within the physically adjustable range previous model year. Then, calculate (4) You test one percent of your
by considering their effect on emission the required sample size for the model projected annual U.S.-directed
levels, as well as how likely it is year as described in paragraph (c) of this production volume for the engine
someone will make such an adjustment section. Use the last test result from the family, rounded to the nearest whole
with in-use vehicles. previous model year only for this first number. Do not count a vehicle or
(3) We may specify an air-fuel ratio calculation. For all subsequent engine under this paragraph (g)(4) if it
within the adjustable range specified in calculations, use only results from the fails to meet an applicable emission
§ 1051.115(d). current model year. standard.
(c) Calculate the required sample size (5) You choose to declare that the
* * * * *
for each engine family. Separately engine family does not comply with the
calculate this figure for HC, NOX (or requirements of this subpart.
revising paragraphs (a), (b), (c)
HC + NOX), and CO. The required (h) If the sample-size calculation
introductory text, (c)(2), (f), (g), and (h)
sample size is the greater of these allows you to stop testing for one
to read as follows:
calculated values. Use the following pollutant but not another, you must
§ 1051.310 How must I select vehicles or equation: continue measuring emission levels of
engines for production-line testing? N = [(t95 × s)/(x ¥ STD)]2 + 1 all pollutants for any additional tests
(a) Test engines from each engine Where: required under this section. However,
family as described in this section based N = Required sample size for the model year.
you need not continue making the
on test periods, as follows: t95 = 95% confidence coefficient, which calculations specified in this section for
(1) For engine families with projected depends on the number of tests the pollutant for which testing is not
U.S.-directed production volume of at completed, n, as specified in the table in required. This paragraph (h) does not
least 1,600, the test periods are paragraph (c)(1) of this section. It defines affect the number of tests required
consecutive quarters (3 months). 95% confidence intervals for a one-tail under this section or the remedial steps
However, if your annual production distribution. required under § 1051.320.
x = Mean of emission test results of the
period is less than 12 months long, you * * * * *
sample.
may take the following alternative STD = Emission standard (or family emission 116. Section 1051.315 is amended by
approach to define quarterly test limit, if applicable). revising paragraphs (a), (b), and (g) to
periods: s = Test sample standard deviation (see read as follows:
(i) If your annual production period is paragraph (c)(2) of this section).
120 days or less, the whole model year § 1051.315 How do I know when my engine
* * * * * family fails the production-line testing
constitutes a single test period. (2) Calculate the standard deviation, requirements?
(ii) If your annual production period s, for the test sample using the
is 121 to 210 days, divide the annual * * * * *
following formula: (a) Calculate your test results as
production period evenly into two test s = [S(Xi¥x)2/(n¥1)]1⁄2
periods. follows:
Where: (1) Initial and final test results.
(iii) If your annual production period Xi = Emission test result for an individual Calculate and round the test results for
is 211 to 300 days, divide the annual vehicle or engine. each engine. If you do several tests on
production period evenly into three test n = The number of tests completed in an an engine, calculate the initial test
periods. engine family. results, then add them together and
(iv) If your annual production period * * * * * divide by the number of tests and round
is 301 days or longer, divide the annual (f) Distribute the remaining tests for the final test results on that engine.
production period evenly into four test evenly throughout the rest of the year. (2) Final deteriorated test results.
periods. You may need to adjust your schedule Apply the deterioration factor for the
(2) For engine families with projected for selecting vehicles or engines if the engine family to the final test results
U.S.-directed production volume below required sample size changes. If your (see § 1051.240(c)).
1,600, the whole model year constitutes scheduled quarterly testing for the (3) Round deteriorated test results.
a single test period. remainder of the model year is sufficient Round the results to the number of
(b) Early in each test period, randomly to meet the calculated sample size, you decimal places in the emission standard
select and test an engine from the end may wait until the next quarter to do expressed to one more decimal place.
of the assembly line for each engine additional testing. Continue to (b) Construct the following CumSum
family. randomly select vehicles or engines
Equation for each engine family for HC,

(1) In the first test period for newly from each engine family. NOX (HC+NOX), and CO emissions:
certified engines, randomly select and (g) Continue testing until one of the
test one more engine. Then, calculate Ci = Max [0 or Ci–1 + Xi ¥ (STD + 0.25
following things happens:
the required sample size for the model (1) After completing the minimum × s)]
year as described in paragraph (c) of this number of tests required in paragraph Where:
section. (b) of this section, the number of tests Ci = The current CumSum statistic.
Ci–1 = The previous CumSum statistic. For production-line testing conformed Subpart G—[Amended]
the first test, the CumSum statistic is 0 completely with the requirements of 40
(i.e., C1 = 0). CFR part 1051. We have not changed 121. Section 1051.605 is amended by
Xi = The current emission test result for an revising paragraph (d)(7)(ii) to read as
individual vehicle or engine.
production processes or quality-control
STD = Emission standard (or family emission procedures for test engines (or vehicles) follows:
limit, if applicable). in a way that might affect emission
§ 1051.605 What provisions apply to
* * * * * controls. All the information in this engines already certified under the motor-
(g) If the CumSum statistic exceeds report is true and accurate, to the best vehicle program or the Large Spark-ignition
the Action Limit in two consecutive of my knowledge. I know of the program?
tests, the engine family fails the penalties for violating the Clean Air Act * * * * *
production-line testing requirements of and the regulations. (Authorized
(d) * * *
this subpart. Tell us within ten working Company Representative)
(7) * * *
days if this happens. You may request * * * * *
to amend the application for (ii) List the engine or vehicle models
119. Section 1051.350 is amended by you expect to produce under this
certification to raise the FEL of the revising paragraphs (b) and (e) to read
engine family as described in exemption in the coming year and
as follows: describe your basis for meeting the sales
§ 1051.225(f).
* * * * * § 1051.350 What records must I keep? restrictions of paragraph (d)(3) of this
117. Section 1051.325 is amended by section.
* * * * *
revising the section heading and * * * * *
(b) Keep paper records of your
paragraphs (c) and (e) to read as follows: 122. Section 1051.610 is amended by
production-line testing for eight years
after you complete all the testing revising paragraphs (d)(7)(ii) and (g) to
§ 1051.325 What happens if an engine
family fails the production-line testing required for an engine family in a model read as follows:
requirements? year. You may use any additional § 1051.610 What provisions apply to
* * * * * storage formats or media if you like. vehicles already certified under the motor-
(c) Up to 15 days after we suspend the * * * * * vehicle program?
certificate for an engine family, you may * * * * *
ask for a hearing (see § 1051.820). If we (e) If we ask, you must give us
projected or actual production figures (d) * * *
agree before a hearing occurs that we
used erroneous information in deciding for an engine family. We may ask you (7) * * *
to suspend the certificate, we will to divide your production figures by (ii) List the vehicle models you expect
reinstate the certificate. maximum engine power, displacement, to produce under this exemption in the
fuel type, or assembly plant (if you coming year and describe your basis for
* * * * * produce vehicles or engines at more
(e) You may request to amend the meeting the sales restrictions of
than one plant). paragraph (d)(3) of this section.
application for certification to raise the
FEL of the engine family before or after * * * * * * * * * *
we suspend your certificate if you meet (g) Participation in averaging, banking
the requirements of § 1051.225(f). We Subpart F—[Amended]
and trading. Vehicles adapted for
will approve your request if it is clear recreational use under this section may
that you used good engineering 120. Section 1051.505 is amended by
revising paragraphs (a)(1) and (a)(2) to not generate or use emission credits
judgment in establishing the original under this part 1051. These vehicles
FEL. read as follows:
may generate credits under the ABT
118. Section 1051.345 is amended by § 1051.505 What special provisions apply provisions in 40 CFR part 86. These
revising paragraphs (a)(4), (a)(8), and (c) for testing snowmobiles? vehicles must use emission credits
to read as follows: under 40 CFR part 86 if they are
* * * * *
§ 1051.345 What production-line testing certified to an FEL that exceeds an
(a) * * * emission standard that applies.
records must I send to EPA?
(1) For discrete-mode testing, sample 123. Section 1051.635 is amended by
* * * * *
emissions separately for each mode, revising paragraph (a) to read as follows:
(a) * * *
then calculate an average emission level
(4) Describe each test vehicle or
for the whole cycle using the weighting § 1051.635 What provisions apply to new
engine, including the engine family’s manufacturers that are small businesses?
identification and the vehicle’s model factors specified for each mode. In each
year, build date, model number, mode, operate the engine for at least 5 (a) If you are a small business (as
identification number, and number of minutes, then sample emissions for at defined by the Small Business
hours of operation before testing. least 1 minute. Calculate cycle statistics Administration at 13 CFR 121.201) that
for each mode and compare with the manufactures recreational vehicles, but
* * * * * specified values in 40 CFR 1065.514 to
(8) Provide the CumSum analysis does not otherwise qualify for the small-
confirm that the test is valid. volume manufacturer provisions of this
required in § 1051.315 and the sample-
size calculation required in § 1051.310 (2) For ramped-modal testing, start part, you may ask us to designate you
for each engine family. sampling at the beginning of the first to be a small-volume manufacturer. You
mode and continue sampling until the may do this whether you began
* * * * *
end of the last mode. Calculate manufacturing recreational vehicles
(c) An authorized representative of
emissions and cycle statistics the same before, during, or after 2002.
your company must sign the following
statement: as for transient testing as specified in 40 * * * * *
We submit this report under Sections CFR part 1065, subpart G. 124. A new § 1051.650 is added to
208 and 213 of the Clean Air Act. Our * * * * * read as follows:
§ 1051.650 What special provisions apply (b) * * * Light-Duty Engine Group, U.S.
for converting a vehicle to use an alternate (4) The projected and actual Environmental Protection Agency, 2000
fuel? production volumes for the model year Traverwood Drive, Ann Arbor, MI
(a) Converting a certified new vehicle with a point of retail sale in the United 48105.
to run on a different fuel violates 40 States, as described in § 1051.701(d). If * * * * *
CFR 1068.101(a)(1) if the modified you changed an FEL during the model Emission-control system means any
vehicle is not covered by a certificate of year, identify the actual production device, system, or element of design that
conformity. volume associated with each FEL. controls or reduces the emissions of
(b) Converting a certified vehicle that (5) For vehicles that have standards regulated pollutants from an engine.
is not new to run on a different fuel expressed as g/kW-hr, maximum engine
violates 40 CFR 1068.101(b)(1) if the * * * * *
power for each vehicle configuration,
modified vehicle is not covered by a Low-permeability material has the
and the production-weighted average
certificate of conformity. We may meaning given in 40 CFR 1060.801.
engine power for the engine family.
specify alternate certification provisions * * * * *
* * * * *
consistent with the requirements of this 128. Section 1051.735 is amended by Maximum engine power has the
part. revising paragraph (b) to read as follows: meaning given in 40 CFR 90.3 for 2010
and earlier model years and in
Subpart H—[Amended] § 1051.735 What records must I keep? § 1051.140 for 2011 and later model
* * * * * years.
revising paragraph (a) and adding (b) Keep the records required by this * * * * *
paragraph (h) to read as follows: section for at least eight years after the Model year means one of the
due date for the end-of-year report. You following things:
§ 1051.701 General provisions. may not use emission credits on any (1) * * *
(a) You may average, bank, and trade engines if you do not keep all the (ii) Your annual new model
emission credits for purposes of records required under this section. You production period if it is different than
certification as described in this subpart must therefore keep these records to the calendar year. This must include
to show compliance with the standards continue to bank valid credits. Store January 1 of the calendar year for which
of this part. To do this you must certify these records in any format and on any the model year is named. It may not
your engines to Family Emission Limits media, as long as you can promptly begin before January 2 of the previous
(FELs) and show that your average send us organized, written records in calendar year and it must end by
emission levels for all your engine English if we ask for them. You must December 31 of the named calendar
families together are below the emission keep these records readily available. We year. For seasonal production periods
standards in subpart B of this part, or may review them at any time. not including January 1, model year
that you have sufficient credits to offset * * * * * means the calendar year in which the
a credit deficit for the model year (as production occurs, unless you choose to
calculated in § 1051.720). Subpart I—[Amended] certify the applicable emission family
* * * * * with the following model year. For
129. Section 1051.801 is amended as
(h) Families that use emission credits example, if your production period is
follows:
for one pollutant may not generate a. By removing the definition for June 1, 2010 through November 30,
positive emission credits for another ‘‘Maximum test power’’. 2010, your model year would be 2010
pollutant. b. By revising the definitions for unless you choose to certify the
126. Section 1051.720 is amended by ‘‘Designated Compliance Officer’’, emission family for model year 2011.
revising paragraph (a)(2) to read as ‘‘Emission-control system’’, ‘‘Maximum * * * * *
follows: engine power’’, ‘‘Nonmethane (3) For a nonroad engine that has been
hydrocarbon’’, ‘‘Official emission previously placed into service in an
§ 1051.720 How do I calculate my average
result’’, ‘‘Recreational’’, and ‘‘Total application covered by 40 CFR part 90,
emission level or emission credits?
hydrocarbon equivalent’’. 91, 1048, or 1054, where that engine is
(a) * * * installed in a piece of equipment that is
c. By revising paragraphs (1)(ii) and
(2) For vehicles that have standards
(3) of the definition for ‘‘Model year’’ covered by this part 1051, model year
expressed as g/kW-hr and a useful life
and paragraphs (1) and (3) of the means the calendar year in which the
in kilometers, convert the useful life to
definition for ‘‘New’’. engine was originally produced (see
kW-hr based on the maximum power
d. By adding paragraph (5)(iii) to the definition of ‘‘new,’’ paragraph (3)).
output observed over the emission test
definition for ‘‘Model year’’. * * * * *
and an assumed vehicle speed of 30 km/ e. By adding a definition for ‘‘Low-
hr as follows: UL (kW-hr) = UL (km) × (5) * * *
permeability material’’. (iii) For imported engines described
Maximum Engine Power (kW) ÷ 30 km/
hr. (Note: It is not necessary to include § 1051.801 What definitions apply to this in paragraph (5)(iii) of the definition of
a load factor, since credit exchange is part? ‘‘new,’’ model year means the calendar
not allowed between vehicles certified * * * * * year in which the importation occurs.
to g/kW-hr standards and vehicles Designated Compliance Officer means * * * * *
certified to g/km standards.) one of the following things: New means relating to any of the
* * * * * (1) For snowmobiles, Designated following things:
127. Section 1051.730 is amended by Compliance Officer means the Manager, (1) A freshly manufactured vehicle for
revising paragraphs (b)(4) and (b)(5) to Heavy-Duty and Nonroad Engine Group which the ultimate purchaser has never
read as follows: (6405-J), U.S. Environmental Protection received the equitable or legal title. This
Agency, 1200 Pennsylvania Ave., NW., kind of vehicle might commonly be
§ 1051.730 What ABT reports must I send Washington, DC 20460. thought of as ‘‘brand new.’’ In the case
to EPA? (2) For all other vehicles, Designated of this paragraph (1), the vehicle is new
* * * * * Compliance Officer means the Manager, from the time it is produced until the
ultimate purchaser receives the title or Official emission result means the § 1051.810 What materials does this part
the product is placed into service, measured emission rate for an emission- reference?
whichever comes first. data vehicle on a given duty cycle * * * * *
* * * * * before the application of any (a) ASTM material. Table 1 of this
(3) A nonroad engine that has been deterioration factor.
section lists material from the American
previously placed into service in an * * * * * Society for Testing and Materials that
application covered by 40 CFR part 90, Recreational means, for purposes of we have incorporated by reference. The
91, 1048, or 1054, where that engine is this part, relating to snowmobiles, all-
installed in a piece of equipment that is first column lists the number and name
terrain vehicles, off-highway of the material. The second column lists
covered by this part 1051. The engine is motorcycles, and other vehicles that we
no longer new when it is placed into the sections of this part where we
regulate under this part. Note that 40 reference it. Anyone may purchase
service in a recreational vehicle covered CFR parts 90 and 1054 apply to engines
by this part 1051. For example, this copies of these materials from the
used in other recreational vehicles. American Society for Testing and
would apply to a marine propulsion
engine that is no longer used in a * * * * * Materials, 100 Barr Harbor Dr., P.O. Box
marine vessel. Total hydrocarbon equivalent has the C700, West Conshohocken, PA 19428 or
* * * * * meaning given in 40 CFR 1065.1001. www.astm.com. Table 1 follows:
Nonmethane hydrocarbon has the * * * * *
meaning given in 40 CFR 1065.1001. 130. Section 1051.810 is amended by
* * * * * revising paragraph (a) to read as follows:
TABLE 1 OF § 1051.810.—ASTM MATERIALS

Part 1051
ASTM D471–98, Standard Test Method for Rubber Property—Effect of Liquids .............................................................................. 1051.501
* * * * * recordkeeping items for making vehicles available for our testing or

131. A new § 1051.825 is added to demonstrations and getting approval inspection if we make such a request.
read as follows: related to various special compliance (4) In 40 CFR 1068.105 we require
provisions. manufacturers to keep certain records
§ 1051.825 What reporting and (9) In §§ 1051.725, 1051.730, and related to duplicate labels from engine
recordkeeping requirements apply under
this part?
1051.735 we specify certain records manufacturers.
related to averaging, banking, and (5) In 40 CFR 1068.120 we specify
Under the Paperwork Reduction Act trading. recordkeeping related to rebuilding
(44 U.S.C. 3501 et seq), the Office of (b) [Reserved] engines.
Management and Budget approves the (c) We specify the following (6) In 40 CFR part 1068, subpart C, we
reporting and recordkeeping specified requirements related to testing in 40 identify several reporting and
in the applicable regulations. The CFR part 1065: recordkeeping items for making
following items illustrate the kind of (1) In 40 CFR 1065.2 we give an demonstrations and getting approval
reporting and recordkeeping we require overview of principles for reporting related to various exemptions.
for vehicles regulated under this part: information. (7) In 40 CFR part 1068, subpart D, we
(a) We specify the following (2) In 40 CFR 1065.10 and 1065.12 we identify several reporting and
requirements related to certification in specify information needs for recordkeeping items for making
this part 1051: establishing various changes to demonstrations and getting approval
(1) In §§ 1051.20 and 1051.25 we published engine-based test procedures. related to importing engines or vehicles.
describe special provisions for (3) In 40 CFR 1065.25 we establish (8) In 40 CFR 1068.450 and 1068.455
manufacturers to certify recreational basic guidelines for storing test we specify certain records related to
engines instead of vehicles. information. testing production-line engines in a
(2) [Reserved] (4) In 40 CFR 1065.695 we identify selective enforcement audit.
(3) In § 1051.145 we include various data that may be appropriate for (9) In 40 CFR 1068.501 we specify
reporting and recordkeeping collecting during testing of in-use certain records related to investigating
requirements related to interim engines or vehicles using portable and reporting emission-related defects.
provisions. analyzers. (10) In 40 CFR 1068.525 and 1068.530
(4) In subpart C of this part we (d) We specify the following we specify certain records related to
identify a wide range of information requirements related to the general recalling nonconforming vehicles.
required to certify vehicles. compliance provisions in 40 CFR part 132. A new part 1054 is added to
(5) In §§ 1051.345 and 1051.350 we 1068: subchapter U of chapter I to read as
specify certain records related to (1) In 40 CFR 1068.5 we establish a follows:
production-line testing. process for evaluating good engineering
(6) [Reserved] judgment related to testing and PART 1054—CONTROL OF EMISSIONS
(7) In § 1051.501 we specify certification. FROM NEW, SMALL NONROAD

information needs for establishing (2) In 40 CFR 1068.25 we describe SPARK-IGNITION ENGINES AND
various changes to published vehicle- general provisions related to sending EQUIPMENT
based test procedures. and keeping information.
(8) In subpart G of this part we (3) In 40 CFR 1068.27 we require Subpart A—Overview and Applicability
identify several reporting and manufacturers to make engines or Sec.
1054.1 Does this part apply for my engines 1054.315 How do I know when my engine 1054.695 What restrictions apply to
and equipment? family fails the production-line testing assigning a model year to imported
1054.2 Who is responsible for compliance? requirements? engines and equipment?
1054.5 Which nonroad engines are 1054.320 What happens if one of my
excluded from this part’s requirements? production-line engines fails to meet Subpart H—Averaging, Banking, and
1054.10 How is this part organized? emission standards? Trading for Certification
1054.15 Do any other regulation parts apply 1054.325 What happens if an engine family 1054.701 General provisions.
to me? fails the production-line testing 1054.705 How do I generate and calculate
1054.20 What requirements apply to my requirements? exhaust emission credits?
equipment? 1054.330 May I sell engines from an engine
1054.706 How do I generate and calculate
family with a suspended certificate of
Subpart B—Emission Standards and evaporative emission credits?
conformity?
Related Requirements 1054.335 How do I ask EPA to reinstate my 1054.710 How do I average emission
suspended certificate? credits?
1054.101 What exhaust emission standards
1054.340 When may EPA revoke my 1054.715 How do I bank emission credits?
and requirements must my engines
certificate under this subpart and how 1054.720 How do I trade emission credits?
meet?
1054.103 What exhaust emission standards may I sell these engines again? 1054.725 What must I include in my
must my handheld engines meet? 1054.345 What production-line testing application for certification?
1054.105 What exhaust emission standards records must I send to EPA? 1054.730 What ABT reports must I send to
must my nonhandheld engines meet? 1054.350 What records must I keep? EPA?
1054.107 What is the useful life period for 1054.735 What records must I keep?
Subpart E—In-Use Testing
meeting exhaust emission standards? 1054.740 What special provisions apply for
1054.110 What evaporative emission 1054.401 General provisions. generating and using emission credits?
standards must my equipment meet? Subpart F—Test Procedures 1054.745 What can happen if I do not
1054.115 What other requirements apply? comply with the provisions of this
1054.501 How do I run a valid emission
1054.120 What emission-related warranty subpart?
test?
requirements apply to me? 1054.505 How do I test engines?
1054.125 What maintenance instructions Subpart I—Definitions and Other Reference
1054.520 What testing must I perform to Information
must I give to buyers? establish deterioration factors?
1054.130 What installation instructions 1054.801 What definitions apply to this
must I give to equipment manufacturers? Subpart G—Special Compliance Provisions part?
1054.135 How must I label and identify the 1054.601 What compliance provisions 1054.805 What symbols, acronyms, and
engines I produce? apply to these engines? abbreviations does this part use?
1054.136 How must I permanently label the 1054.610 What is the exemption for 1054.810 What materials does this part
equipment I produce? delegated final assembly? reference?
1054.140 What is my engine’s maximum 1054.612 What special provisions apply for 1054.815 What provisions apply to
engine power and displacement? equipment manufacturers modifying confidential information?
1054.145 Are there interim provisions that certified engines? 1054.820 How do I request a hearing?
apply only for a limited time? 1054.615 What is the exemption for engines 1054.825 What reporting and recordkeeping
Subpart C—Certifying Emission Families certified to standards for Large SI requirements apply under this part?
engines? Appendix I to Part 1054—Summary of
1054.201 What are the general requirements 1054.620 What are the provisions for
for obtaining a certificate of conformity? Previous Emission Standards
exempting engines used solely for Appendix II to Part 1054—Duty Cycles for
1054.205 What must I include in my competition?
application? Laboratory Testing
1054.625 What requirements apply under
1054.210 May I get preliminary approval Appendix III to Part 1054—High-Altitude
the Transition Program for Equipment
before I complete my application? Manufacturers? Counties
1054.220 How do I amend the maintenance 1054.626 What special provisions apply to Authority: 42 U.S.C. 7401–7671q.
instructions in my application? equipment imported under the
1054.225 How do I amend my application Transition Program for Equipment Subpart A—Overview and Applicability
for certification to include new or Manufacturers?
modified engines or fuel systems or 1054.627 How does the Transition Program § 1054.1 Does this part apply for my
change an FEL? for Equipment Manufacturers relate to engines and equipment?
1054.230 How do I select emission evaporative emissions?
families? 1054.630 What provisions apply for (a) Except as provided in § 1054.5, the
1054.235 What exhaust emission testing importation of individual items for regulations in this part 1054 apply as
must I perform for my application for a personal use? follows:
certificate of conformity? 1054.635 What special provisions apply for
1054.240 How do I demonstrate that my
(1) The requirements of this part
small-volume engine and equipment
emission family complies with exhaust manufacturers?
related to exhaust emissions apply to
emission standards? 1054.640 What special provisions apply to new, spark-ignition engines with
1054.245 How do I determine deterioration branded engines? maximum engine power at or below 19
factors from exhaust durability testing? 1054.645 What special provisions apply for kW. This includes auxiliary marine
1054.250 What records must I keep and converting an engine to use an alternate spark-ignition engines.
what reports must I send to EPA? fuel?
1054.255 What decisions may EPA make 1054.650 What special provisions apply for
(2) The requirements of this part
regarding my certificate of conformity? adding or changing governors? related to evaporative emissions apply
1054.655 What special provisions apply to as specified in 40 CFR part 1054.110 to
Subpart D—Production-Line Testing installing and removing altitude kits? fuel systems used with engines subject
1054.300 Applicability. 1054.660 What are the provisions for to exhaust emission standards in this
1054.301 When must I test my production- exempting emergency rescue equipment? part if the engines use a volatile liquid
line engines? 1054.685 What are my recall fuel (such as gasoline).
1054.305 How must I prepare and test my responsibilities?
production-line engines? 1054.690 What are the bond requirements (3) This part 1054 applies starting
1054.310 How must I select engines for for importing certified engines and with the model years noted in the
production-line testing? equipment? following table:
TABLE 1 OF § 1054.1.—ART 1054 production-line testing, reporting, etc.). equipment manufacturers, owners,
APPLICABILITY BY MODEL YEAR For provisions related to certification operators, rebuilders, and all others.
with respect to evaporative emissions, (h) Subpart H of this part describes
Engine dis- Model this generally means the equipment how you may generate and use exhaust
Engine type placement year manufacturer or fuel-system component and evaporative emission credits to
manufacturer. Equipment manufacturers certify your engines and equipment.
Handheld ................... all ................ 2010 must meet applicable requirements as (i) Subpart I of this part contains
Nonhandheld ............. displacement 2012
described in § 1054.20. definitions and other reference
< 225 cc.
Nonhandheld ............. displacement 2011 information.
§ 1054.5 Which nonroad engines are
≥ 225 cc. excluded from this part’s requirements? § 1054.15 Do any other regulation parts
This part does not apply to the apply to me?
(4) This part 1054 applies for other
following nonroad engines: (a) Part 1060 of this chapter describes
spark-ignition engines as follows:
(i) The provisions of paragraph (c) of (a) Engines that are certified to meet standards and procedures that apply for
this section apply for the applicable the requirements of 40 CFR part 1051 evaporative emissions from engines
model years shown in Table 1 of this (for example, engines used in fueled by gasoline or other volatile
section. snowmobiles and all-terrain vehicles). liquid fuels and the associated fuel
(ii) The provisions of §§ 1054.620 and Engines that are otherwise subject to 40 systems. See § 1054.110 for information
1054.801 apply for engines used solely CFR part 1051 but not required to be about how that part applies.
for competition beginning January 1, certified (such as engines exempted (b) Part 1065 of this chapter describes
2009. under 40 CFR part 1051) are also procedures and equipment
(iii) The provisions of §§ 1054.660 excluded from this part 1054, unless the specifications for testing engines.
and 1054.801 apply for engines used in regulations in 40 CFR part 1051 Subpart F of this part 1054 describes
emergency rescue equipment beginning specifically require them to comply how to apply the provisions of part 1065
January 1, 2010. with the requirements of this part 1054. of this chapter to determine whether
(5) We specify provisions in (b) Engines that are certified to meet engines meet the emission standards in
§ 1054.145(e) and (f) and in § 1054.740 the requirements of 40 CFR part 1048, this part.
that allow for meeting the requirements subject to the provisions of § 1054.615. (c) The requirements and prohibitions
of this part before the dates shown in (c) Propulsion marine engines. See 40 of part 1068 of this chapter apply to
Table 1 of this section. Engines, fuel- CFR parts 91 and 1045. Note that the everyone, including anyone who
system components, or equipment evaporative emission standards of this manufactures, imports, installs, owns,
certified to these standards are subject part also do not apply with respect to operates, or rebuilds any of the engines
to all the requirements of this part as if auxiliary marine engines as described in subject to this part 1054, or equipment
these optional standards were § 1054.110. containing these engines. Part 1068 of
mandatory. (d) Engines used in reduced-scale this chapter describes general
(b) Although the definition of nonroad models of vehicles that are not capable provisions, including these seven areas:
engine in 40 CFR 1068.30 excludes of transporting a person. (1) Prohibited acts and penalties for
certain engines used in stationary engine manufacturers, equipment
§ 1054.10 How is this part organized?
applications, stationary engines are manufacturers, and others.
required under 40 CFR part 60 to This part 1054 is divided into the (2) Rebuilding and other aftermarket
comply with this part starting with the following subparts: changes.
model years shown in Table 1 of this (a) Subpart A of this part defines the (3) Exclusions and exemptions for
section. applicability of this part 1054 and gives certain engines.
(c) See 40 CFR part 90 for an overview of regulatory requirements. (4) Importing engines.
requirements that apply to engines not (b) Subpart B of this part describes the (5) Selective enforcement audits of
yet subject to the requirements of this emission standards and other your production.
part 1054. requirements that must be met to certify (6) Defect reporting and recall.
(d) In certain cases, the regulations in engines under this part. Note that (7) Procedures for hearings.
this part 1054 apply to engines with § 1054.145 discusses certain interim (d) Other parts of this chapter apply
maximum engine power above 19 kW requirements and compliance if referenced in this part.
that would otherwise be covered by 40 provisions that apply only for a limited
time. § 1054.20 What requirements apply to my
CFR part 1048 or 1051. See 40 CFR
(c) Subpart C of this part describes equipment?
1048.615 and 1051.145(a)(3) for
provisions related to these allowances. how to apply for a certificate of (a) If you manufacture equipment
conformity. using engines certified under this part,
§ 1054.2 Who is responsible for (d) Subpart D of this part describes your equipment must meet all
compliance? general provisions for testing applicable emission standards with the
The requirements and prohibitions of production-line engines. engine and fuel system installed.
this part apply to manufacturers of (e) Subpart E of this part describes (b) Except as specified in paragraph (f)
engines and fuel-system components as general provisions for testing in-use of this section, all equipment subject to
described in § 1054.1. The requirements engines. the exhaust standards of this part must
of this part are generally addressed to (f) Subpart F of this part describes meet the evaporative emission standards
manufacturers subject to this part’s how to test your engines (including of 40 CFR part 1060, as described in
requirements. The term ‘‘you’’ generally references to other parts of the Code of § 1054.110.
means the certifying manufacturer. For Federal Regulations). (c) Except as specified in paragraph (f)
provisions related to exhaust emissions, (g) Subpart G of this part and 40 CFR of this section, identify and label
this generally means the engine part 1068 describe requirements, equipment you produce under this
manufacturer, especially for issues prohibitions, and other provisions that section consistent with the requirements
related to certification (including apply to engine manufacturers, of § 1054.135.
(d) You may need to certify your these optional standards were credits, you must specify a family
equipment or fuel systems as described mandatory. emission limit for each engine family
in 40 CFR 1060.1 and 1060.601. (c) Any engines certified to the you include in the ABT program. These
(e) You must follow all emission- nonhandheld emission standards in family emission limits serve as the
related installation instructions from the § 1054.105 may be used in either emission standards for the engine family
certifying manufacturers as described in handheld or nonhandheld equipment. with respect to all required testing
§ 1054.130, 40 CFR 1060.130, and 40 Engines at or above 80 cc certified to the instead of the standards specified in this
CFR 1068.105. If you do not follow the handheld emission standards in section. An engine family meets
installation instructions, we may § 1054.103 may not be used in emission standards even if its family
consider your equipment to be not nonhandheld equipment. For purposes emission limit is higher than the
covered by the certificates of of the requirements of this part, engines standard, as long as you show that the
conformity. Introduction of such below 80 cc are considered handheld whole averaging set of applicable engine
equipment into U.S. commerce violates engines but may be installed in either families meets the emission standards
40 CFR 1068.101. handheld or nonhandheld equipment. using emission credits and the engines
(f) Motor vehicles and marine vessels See § 1054.701(c) for special provisions within the family meet the family
may contain engines subject to the related to emission credits for engine emission limit. The following are the
exhaust emission standards in this part families with displacement below 80 cc maximum values you may specify for
1054. Evaporative emission standards where those engines are installed in family emission limits:
apply to these products as follows: nonhandheld equipment. (1) 336 g/kW-hr for Class III engines.
(d) Two-stroke snowthrower engines (2) 275 g/kW-hr for Class IV engines.
(1) Marine vessels using spark-
may meet exhaust emission standards
ignition engines are subject to the (3) 186 g/kW-hr for Class V engines.
that apply to handheld engines with the
requirements of 40 CFR part 1045. The (c) Fuel types. The exhaust emission
same engine displacement.
vessels are not required to comply with (e) It is important that you read standards in this section apply for
the evaporative emission standards and § 1054.145 to determine if there are engines using the fuel type on which the
related requirements of this part 1054. other interim requirements or interim engines in the emission family are
(2) Motor vehicles are subject to the compliance provisions that apply for a designed to operate. You must meet the
requirements of 40 CFR part 86. They limited time. numerical emission standards for
are not required to comply with the hydrocarbons in this section based on
evaporative emission standards and § 1054.103 What exhaust emission the following types of hydrocarbon
related requirements of this part 1054. standards must my handheld engines emissions for engines powered by the
meet? following fuels:
Subpart B—Emission Standards and (a) Emission standards. Exhaust (1) Alcohol-fueled engines: THCE
Related Requirements emissions from your handheld engines emissions.
may not exceed the emission standards (2) Natural gas-fueled engines: NMHC
§ 1054.101 What exhaust emission in Table 1 of this section. Measure
standards and requirements must my emissions.
emissions using the applicable steady- (3) Other engines: THC emissions.
engines meet?
state test procedures described in (d) Useful life. Your engines must
(a) You must show that your engines subpart F of this part.
meet the following exhaust emission meet the exhaust emission standards in
standards, except as specified in paragraph (a) of this section over their
TABLE 1 OF § 1054.103.—PHASE 3 full useful life as described in
paragraphs (b) through (d) of this EMISSION STANDARDS FOR
section: § 1054.107.
HANDHELD ENGINES (G/KW-HR) (e) Applicability for testing. The
(1) Handheld engines must meet the
emission standards in this subpart apply
exhaust emission standards in Engine dis- to all testing, including certification,
§ 1054.103. placement HC+NOX CO
class production-line, and in-use testing.
(2) Nonhandheld engines must meet
the exhaust emission standards in § 1054.105 What exhaust emission
Class III ..... 50 805
§ 1054.105. Class IV .... 50 805 standards must my nonhandheld engines
(3) All engines must meet the Class V ..... 72 603 meet?
requirements in § 1054.115. (a) Emission standards. Exhaust
(b) Emission standards regulating HC (b) Averaging, banking, and trading. emissions from your engines may not
and NOX exhaust emissions are optional You may generate or use emission exceed the emission standards in this
for wintertime engines. However, if you credits under the averaging, banking, paragraph (a). Measure emissions using
certify an emission family to such and trading (ABT) program for HC+NOX the applicable steady-state test
standards, those engines are subject to emissions as described in subpart H of procedures described in subpart F of
all the requirements of this part as if this part. To generate or use emission this part.
TABLE 1 OF § 1054.105—PHASE 3 EMISSION STANDARDS FOR NONHANDHELD ENGINES (G/KW-HR)

CO standard
Primary CO for marine
Engine displacement class HC+NOX standard generator en-
gines
Class I .......................................................................................................................................... 10.0 610 5.0

Class II ......................................................................................................................................... 8.0 610 5.0
(b) Averaging, banking, and trading. (i) The median in-use life of requirements of 40 CFR part 1060 that
You may generate or use emission equipment into which the engine is apply are considered also to be
credits under the averaging, banking, expected to be installed. requirements of this part 1054. These
and trading (ABT) program for HC+NOX (ii) The median in-use life of the standards apply starting in the 2011
emissions as described in subpart H of engine without being scrapped or model year for equipment using Class II
this part. To generate or use emission rebuilt. engines and in the 2012 model year for
credits, you must specify a family equipment using Class I engines. These
emission limit for each engine family TABLE 1 TO § 1054.107.—NOMINAL standards apply for handheld
you include in the ABT program. These USEFUL LIFE PERIODS equipment as specified in this section.
family emission limits serve as the Note that 40 CFR 1060.240 allows you
emission standards for the engine family Class or category Useful life hour value to use design-based certification instead
with respect to all required testing of generating new emission data. Marine
instead of the standards specified in this Handheld ................... 50, 125, or 300. vessels using auxiliary marine engines
section. An engine family meets Class I ....................... 125, 250, or 500. subject to this part must meet the
Class II ...................... 250, 500, or 1,000. evaporative emission requirements in 40
emission standards even if its family
emission limit is higher than the CFR 1045.107 instead of the
(2) You may select a longer useful life requirements in this section.
standard, as long as you show that the
for nonhandheld engines than that (a) Fuel line permeation. Nonmetal
whole averaging set of applicable engine
specified in paragraph (a)(1) of this fuel lines must meet the permeation
families meets the emission standards
section in 100-hour increments not to requirements for EPA NRFL or EPA
using emission credits, and the engines
exceed 3,000 hours for Class I engines CWFL fuel lines as specified in 40 CFR
within the family meet the family
or 5,000 hours for Class II engines. For 1060.102. These requirements apply for
emission limit. You may not specify a
engine families generating emission handheld equipment starting in the
family emission limit that exceeds the
credits, you may do this only with our 2012 model year, except that they apply
Phase 2 standards specified in 40 CFR
approval. starting in the 2013 model year for
90.103 and summarized in Appendix I
(3) The minimum useful life period emission families involving cold-
of this part.
for engines with maximum engine weather equipment and all small-
(c) Fuel types. The exhaust emission
power above 19 kW is 1,000 hours (see volume emission families. Handheld
standards in this section apply for
§ 1054.1(d)). equipment manufacturers may generate
engines using the fuel type on which the
(4) Keep any available information to or use emission credits to show
engines in the emission family are
support your selection and make it compliance with the requirements of
designed to operate. You must meet the
available to us if we ask for it. We may this paragraph (a) under the averaging,
numerical emission standards for
require you to certify to a different banking, and trading program described
hydrocarbons in this section based on
useful life value from the table if we in subpart H of this part. Metal fuel
the following types of hydrocarbon
determine that the selected useful life lines are not subject to emission
emissions for engines powered by the
value is not justified by the data. We standards.
following fuels:
(1) Alcohol-fueled engines: THCE may consider any relevant information, (b) Tank permeation. Fuel tanks must
emissions. including your product warranty meet the permeation requirements
(2) Natural gas-fueled engines: NMHC statements and marketing materials specified in 40 CFR 1060.103. These
emissions. regarding engine life, in making this requirements apply for handheld
(3) Other engines: THC emissions. determination. We may void your equipment starting in the 2010 model
(d) Useful life. Your engines must certificate if we determine that you year, except that they apply starting in
meet the exhaust emission standards in intentionally selected an incorrect the 2011 model year for structurally
paragraph (a) of this section over their value. Support your selection based on integrated nylon fuel tanks and in the
full useful life as described in any of the following information: 2013 model year for all small-volume
§ 1054.107. (i) Surveys of the life spans of the emission families. (Note: 40 CFR 90.129
(e) Applicability for testing. The equipment in which the subject engines specifies emission standards for 2009
emission standards in this subpart apply are installed. model year handheld engines and
to all testing, including certification, (ii) Engineering evaluations of field equipment.) Equipment manufacturers
production-line, and in-use testing. aged engines to ascertain when engine may generate or use emission credits to
performance deteriorates to the point show compliance with the requirements
§ 1054.107 What is the useful life period where usefulness and/or reliability is of this paragraph (b) under the
for meeting exhaust emission standards? impacted to a degree sufficient to averaging, banking, and trading program
This section describes an engine necessitate overhaul or replacement. as described in subpart H of this part.
family’s useful life, which is the period (iii) Failure reports from engine Starting in the 2014 model year for Class
during which a new engine is required customers. II equipment and in the 2015 model
to comply with all applicable emission (iv) Engineering evaluations of the year for Class I and handheld
standards. durability, in hours, of specific engine equipment, the following caps on family
(a) Determine the useful life period for technologies, engine materials, or emission limits apply:
exhaust requirements as follows: engine designs. (1) Except as specified in paragraphs
(1) Except as specified in paragraphs (b)(2) and (3) of this section, you may
(a)(2) and (3) of this section, the useful § 1054.110 What evaporative emission not specify a family emission limit that
life period for exhaust requirements is standards must my equipment meet? exceeds 5.0 g/m2/day for testing at a
the number of engine operating hours Except as specified in § 1054.20, new nominal temperature of 28 °C, or
from Table 1 of this section that most equipment using engines that run on a 8.3 g/m2/day for testing at a nominal
closely matches the expected median in- volatile liquid fuel (such as gasoline) temperature of 40 °C.
use life of your engines. The median in- must meet the evaporative emission (2) For structurally integrated nylon
use life of your engine is the shorter of requirements of 40 CFR part 1060 over fuel tanks, you may not specify a family
the following values: a useful life of five years. The emission limit that exceeds 3.0 g/m2/
day for testing at a nominal temperature adjustable range. An operating (1) The conditions of concern were
of 28 °C, or 5.0 g/m2/day for testing at parameter is not considered adjustable if substantially included in the applicable
a nominal temperature of 40 °C. you permanently seal it or if it is not duty-cycle test procedures described in
(3) For small-volume emission normally accessible using ordinary subpart F of this part.
families, you may not specify a family tools. We may require that you set (2) You show your design is necessary
emission limit that exceeds 8.0 g/m2/ adjustable parameters to any to prevent engine (or equipment)
day for testing at a nominal temperature specification within the adjustable range damage or accidents.
of 28 °C, or 13.3 g/m2/day for testing at during any testing, including (3) The reduced effectiveness applies
a nominal temperature of 40 °C. This certification testing, production-line only to starting the engine.
also applies to structurally integrated testing, or in-use testing. You may ask
§ 1054.120 What emission-related warranty
nylon fuel tanks used in small-volume us limit idle-speed or carburetor requirements apply to me?
emission families. adjustments to a smaller range than the
(4) The cap on family emission limits physically adjustable range if you show The requirements of this section
does not apply to fuel caps that are us that the engine will not be adjusted apply to the certifying manufacturer(s).
certified separately to meet permeation outside of this smaller range during in- See 40 CFR part 1060 for the warranty
standards. use operation without significantly requirements related to evaporative
(c) Running loss. Nonhandheld degrading engine performance. emissions.
equipment must meet the running loss (a) General requirements. You must
(c) Altitude adjustments. Engines warrant to the ultimate purchaser and
requirements specified in 40 CFR must meet applicable emission
1060.104. This paragraph (c) does not each subsequent purchaser that the new
standards for valid tests conducted engine, including all parts of its
apply with respect to engines below 80 under the ambient conditions specified
cc. emission control system, meets two
in 40 CFR 1065.520. Except as specified conditions:
(d) Diffusion emissions. Nonhandheld in § 1054.145(c), engines must meet
equipment must meet the diffusion (1) It is designed, built, and equipped
applicable emission standards at so it conforms at the time of sale to the
emission requirements specified in 40 barometric pressures ranging from 94.0
CFR 1060.105. This paragraph (d) does ultimate purchaser with the
to 103.325 kPa in the standard requirements of this part.
not apply with respect to engines below configuration. This generally includes
80 cc. (2) It is free from defects in materials
all altitudes up to about 2,000 feet above and workmanship that may keep it from
(e) Other requirements. The sea level. You may rely on an altitude
requirements of 40 CFR 1060.101(e) and meeting these requirements.
kit that you specify in your application (b) Warranty period. Your emission-
(f) apply to equipment manufacturers for certification to comply at lower
even if they do not obtain a certificate. related warranty must be valid during
pressures. You must identify the the periods specified in this paragraph
§ 1054.115 What other requirements altitude range for which you expect (b). You may offer an emission-related
apply? proper engine performance and warranty more generous than we
The following requirements apply emission control with and without the require. The emission-related warranty
with respect to engines that are required altitude kit in the owners manual; you for the engine may not be shorter than
to meet the emission standards of this must also state that operating the engine any published warranty you offer
part: with the wrong engine configuration at without charge for the engine. Similarly,
(a) Crankcase emissions. Crankcase a given altitude may increase its the emission-related warranty for any
emissions may not be discharged emissions and decrease fuel efficiency component may not be shorter than any
directly into the ambient atmosphere and performance. See § 1054.145(c) for published warranty you offer without
from any engine throughout its useful special provisions that apply for charge for that component. If an engine
life, except as follows: handheld engines. has no hour meter, we base the warranty
(1) Snowthrower engines may (d) Prohibited controls. You may not periods in this paragraph (b) only on the
discharge crankcase emissions to the design your engines with emission- engine’s age (in years). The warranty
ambient atmosphere if the emissions are control devices, systems, or elements of period begins when the engine is placed
added to the exhaust emissions (either design that cause or contribute to an into service. The minimum warranty
physically or mathematically) during all unreasonable risk to public health, periods are as follows:
emission testing. If you take advantage welfare, or safety while operating. For (1) The minimum warranty period is
of this exception, you must do the example, this would apply if the engine two years except as allowed under
following things: emits a noxious or toxic substance it paragraph (b)(2) or (3) of this section.
(i) Manufacture the engines so that all would otherwise not emit that (2) We may establish a shorter
crankcase emissions can be routed into contributes to such an unreasonable warranty period for handheld engines
the applicable sampling systems risk. subject to severe service in seasonal
specified in 40 CFR part 1065. (e) Defeat devices. You may not equip equipment if we determine that these
(ii) Account for deterioration in your engines with a defeat device. A engines are likely to operate for a
crankcase emissions when determining defeat device is an auxiliary emission number of hours greater than the
exhaust deterioration factors. control device that reduces the applicable useful life within 24 months.
(2) For purposes of this paragraph (a), effectiveness of emission controls under You must request this shorter warranty
crankcase emissions that are routed to conditions that the engine may period in your application for
the exhaust upstream of exhaust reasonably be expected to encounter certification or in an earlier submission.
aftertreatment during all operation are during normal operation and use. This (3) For engines equipped with hour
not considered to be discharged directly does not apply for altitude kits installed meters, you may deny warranty claims
into the ambient atmosphere. or removed consistent with § 1054.655. for engines that have accumulated a
(b) Adjustable parameters. Engines This also does not apply to auxiliary number of hours greater than 50 percent
that have adjustable parameters must emission control devices you identify in of the applicable useful life.
meet all the requirements of this part for your certification application if any of (c) Components covered. The
any adjustment in the physically the following is true: emission-related warranty covers all
components whose failure would § 1054.125 What maintenance instructions as specified in paragraph (b) or (c) of
increase an engine’s emissions of any must I give to buyers? this section.
pollutant, including those listed in 40 Give the ultimate purchaser of each (b) Recommended additional
CFR part 1068, Appendix I, and those new engine written instructions for maintenance. You may recommend any
from any other system you develop to properly maintaining and using the additional amount of maintenance on
control emissions. The emission-related engine, including the emission control the components listed in paragraph (a)
warranty covers these components even system as described in this section. The of this section, as long as you state
if another company produces the maintenance instructions also apply to clearly that these maintenance steps are
component. Your emission-related service accumulation on your emission- not necessary to keep the emission-
warranty does not cover components data engines as described in § 1054.245 related warranty valid. If operators do
whose failure would not increase an and in 40 CFR part 1065. the maintenance specified in paragraph
engine’s emissions of any pollutant. (a) Critical emission-related (a) of this section, but not the
(d) Limited applicability. You may maintenance. Critical emission-related recommended additional maintenance,
deny warranty claims under this section maintenance includes any adjustment, this does not allow you to disqualify
if the operator caused the problem cleaning, repair, or replacement of those engines from in-use testing or
through improper maintenance or use, critical emission-related components. deny a warranty claim. Do not take
as described in 40 CFR 1068.115. This may also include additional these maintenance steps during service
(e) Owners manual. Describe in the emission-related maintenance that you accumulation on your emission-data
owners manual the emission-related determine is critical if we approve it in engines.
warranty provisions from this section advance. You may schedule critical (c) Special maintenance. You may
that apply to the engine. Include emission-related maintenance on these specify more frequent maintenance to
instructions for obtaining warranty components if you meet the following address problems related to special
service consistent with the requirements conditions: situations, such as atypical engine
of paragraph (f) of this section. operation. You must clearly state that
(1) You demonstrate that the
(f) Requirements related to warranty this additional maintenance is
maintenance is reasonably likely to be
claims. You are required at a minimum associated with the special situation you
to meet the following conditions to done at the recommended intervals on
are addressing.
ensure that owners will be able to in-use engines. We will accept (d) Noncritical emission-related
promptly obtain warranty repairs: scheduled maintenance as reasonably maintenance. Subject to the provisions
(1) You must provide and monitor a likely to occur if you satisfy any of the of this paragraph (d), you may schedule
toll-free telephone number and an e- following conditions: any amount of emission-related
mail address for owners to receive (i) You present data showing that any inspection or maintenance that is not
information about how to make a lack of maintenance that increases covered by paragraph (a) of this section
warranty claim, and how to make emissions also unacceptably degrades (i.e., maintenance that is neither
arrangements for authorized repairs. the engine’s performance. explicitly identified as critical emission-
(2) You must provide a source of (ii) You present survey data showing related maintenance, nor that we
replacement parts within the United that at least 80 percent of engines in the approve as critical emission-related
States. For parts that you import, this field get the maintenance you specify at maintenance). Noncritical emission-
requires you to have at least one the recommended intervals. If the related maintenance generally includes
distributor within the United States. survey data show that 60 to 80 percent changing spark plugs, changing air
(3) This paragraph (f)(3) applies for all of engines in the field get the filters, re-seating valves, or any other
engines except as specified in paragraph maintenance you specify at the emission-related maintenance on the
(f)(4) of this section. You may limit recommended intervals, you may ask us components we specify in 40 CFR part
warranty repairs to authorized service to consider additional factors such as 1068, Appendix I. You must state in the
centers for owners located within 100 the effect on performance and owners manual that these steps are not
miles of an authorized service center. emissions. For example, we may allow necessary to keep the emission-related
For owners located more than 100 miles you to schedule fuel-injector warranty valid. If operators fail to do
from an authorized service center, you replacement as critical emission-related this maintenance, this does not allow
must state in your warranty that you maintenance if you have survey data you to disqualify those engines from in-
will either pay for shipping costs to and showing this is done at the use testing or deny a warranty claim. Do
from an authorized service center, recommended interval for 65 percent of not take these inspection or
provide for a service technician to come engines and you demonstrate that maintenance steps during service
to the owner to make the warranty performance degradation is roughly accumulation on your emission-data
repair, or pay for the repair to be made proportional to the degradation in engines.
at a local nonauthorized service center. emission control for engines that do not (e) Maintenance that is not emission-
(4) In remote locations, the provisions have their fuel injectors replaced. related. For maintenance unrelated to
of paragraph (f)(3) of this section apply, (iii) You provide the maintenance free emission controls, you may schedule
except that the requirement to take extra of charge and clearly say so in any amount of inspection or
measures to honor warranty claims may maintenance instructions for the maintenance. You may also take these
be based on a distance greater than 100 customer. inspection or maintenance steps during
miles. For example, in sparsely (iv) You otherwise show us that the service accumulation on your emission-
populated areas in Montana, it may be maintenance is reasonably likely to be data engines, as long as they are
acceptable to take the extra steps to done at the recommended intervals. reasonable and technologically
honor warranty claims only for owners (2) You may not schedule critical necessary. This might include adding
located more than 200 miles from an emission-related maintenance within engine oil, changing fuel or oil filters,
authorized service center. However, you the useful life period for aftertreatment servicing engine-cooling systems, and
may not specify a this greater distance devices, pulse-air valves, fuel injectors, adjusting idle speed, governor, engine
for servicing engines for more than 10 oxygen sensors, electronic control units, bolt torque, valve lash, or injector lash.
percent of owners. superchargers, or turbochargers, except You may perform this nonemission-
related maintenance on emission-data federal law (40 CFR 1068.105(b)), informed of the installation
engines at the least frequent intervals subject to fines or other penalties as requirements.
that you recommend to the ultimate described in the Clean Air Act.’’.
purchaser (but not the intervals § 1054.135 How must I label and identify
(3) Describe the instructions needed
the engines I produce?
recommended for severe service). to properly install the exhaust system
(f) Source of parts and repairs. State and any other components. Include The provisions of this section apply to
clearly on the first page of your written instructions consistent with the engine manufacturers.
maintenance instructions that a repair requirements of § 1054.655 related to (a) Assign each engine a unique
shop or person of the owner’s choosing altitude kits. identification number and permanently
may maintain, replace, or repair (4) Describe the steps needed to affix, engrave, or stamp it on the engine
emission control devices and systems. control evaporative emissions in in a legible way.
Your instructions may not require accordance with certificates of (b) At the time of manufacture, affix
components or service identified by conformity that you hold. Include a permanent and legible label
brand, trade, or corporate name. Also, instructions for connecting fuel lines as identifying each engine. The label must
do not directly or indirectly condition needed to prevent running loss be—
your warranty on a requirement that the (1) Attached so it is not removable
emissions, if applicable. Such
engine be serviced by your franchised without being destroyed or defaced.
instructions must include sufficient
dealers or any other service (2) Secured to a part of the engine
detail to ensure that running loss
establishments with which you have a needed for normal operation and not
control will not cause the engine to
commercial relationship. You may normally requiring replacement.
exceed exhaust emission standards. For
disregard the requirements in this (3) Durable and readable for the
example, you may specify a maximum
paragraph (f) if you do one of two engine’s entire life.
vapor flow rate under normal operating (4) Written in English.
things: conditions. Also include notification
(1) Provide a component or service (c) The label must—
that the installer must meet the (1) Include the heading ‘‘EMISSION
without charge under the purchase requirements of § 1054.110 and 40 CFR CONTROL INFORMATION’’.
agreement. part 1060. (2) Include your full corporate name
(2) Get us to waive this prohibition in (5) Describe any limits on the range of and trademark. You may identify
the public’s interest by convincing us applications needed to ensure that the another company and use its trademark
the engine will work properly only with engine remains in its certified instead of yours if you comply with the
the identified component or service. configuration after installation. For
(g) Payment for scheduled provisions of § 1054.640.
example, if you certify engines only for (3) Include EPA’s standardized
maintenance. Owners are responsible rated-speed applications tell equipment
for properly maintaining their engines. designation for the emission family (and
manufacturers that the engine must not subfamily, where applicable).
This generally includes paying for be installed in equipment involving (4) State the following based on the
scheduled maintenance. However, intermediate-speed operation. Also, if useful life requirements in § 1054.107:
manufacturers must pay for scheduled your wintertime engines are not ‘‘EMISSIONS COMPLIANCE PERIOD=
maintenance during the useful life if it certified to the otherwise applicable [identify applicable useful life period]
meets all the following criteria: HC+NOX standards, tell equipment
(1) Each affected component was not HOURS’’.
manufacturers that the engines must be (5) State the engine’s displacement (in
in general use on similar engines before installed in equipment that is used only cubic centimeters); however, you may
1997. in wintertime.
(2) The primary function of each omit this from the label if all the engines
(6) Describe any other instructions to in the emission family have the same
affected component is to reduce make sure the installed engine will
emissions. per-cylinder displacement and total
operate according to design displacement.
(3) Failure to perform the specifications in your application for
maintenance would not cause clear (6) State the date of manufacture
certification. For example, this may [MONTH and YEAR]; however, you may
problems that would significantly include specified limits for catalyst
degrade the engine’s performance. omit this from the label if you stamp or
systems, such as exhaust backpressure, engrave it on the engine.
(h) Owners manual. Explain the
catalyst location, and temperature (7) State the FEL to which the engine
owner’s responsibility for proper
profiles during engine operation. is certified (in g/kW-hr) if certification
maintenance in the owners manual.
(7) State: ‘‘If you install the engine in depends on the ABT provisions of
§ 1054.130 What installation instructions a way that makes the engine’s emission subpart H of this part.
must I give to equipment manufacturers? control information label hard to read (8) Identify the emission control
(a) If you sell an engine for someone during normal engine maintenance, you system. Use terms and abbreviations
else to install in a piece of equipment, must place a duplicate label on the consistent with SAE J1930 (incorporated
give the engine installer instructions for equipment, as described in 40 CFR by reference in § 1054.810). You may
installing it consistent with the 1068.105.’’. omit this information from the label if
requirements of this part. Include all (c) You do not need installation there is not enough room for it and you
information necessary to ensure that an instructions for engines you install in put it in the owners manual instead.
engine will be installed in its certified your own equipment. (9) List specifications and adjustments
configuration. (d) Provide instructions in writing or for engine tuneups; however, you may
(b) Make sure these instructions have in an equivalent format. For example, omit this information from the label if
the following information: you may post instructions on a publicly there is not enough room for it and you
(1) Include the heading: ‘‘Emission- available website for downloading or put it in the owners manual instead.
related installation instructions’’. printing. If you do not provide the (10) Identify the altitude at which an
(2) State: ‘‘Failing to follow these instructions in writing, explain in your altitude kit should be installed if you
instructions when installing a certified application for certification how you specify an altitude kit under
engine in nonroad equipment violates will ensure that each installer is § 1054.115(c). You may omit this
information from the label if there is not § 1054.136 How must I permanently label variability. If after production begins it
enough room for it and you put it in the the equipment I produce? is determined that either your nominal
owners manual instead. The provisions of this section apply to power curve or your intended swept
(11) Identify the fuel type and any equipment manufacturers. volume does not represent production
requirements for fuel and lubricants; (a) You must comply with the engines, we may require you to amend
however, you may omit this information equipment labeling requirements of 40 your application for certification under
from the label if there is not enough CFR part 1060. § 1054.225.
room for it and you put it in the owners (b) If you obscure the engine label (d) Each engine produced under the
manual instead. while installing the engine in the provisions of § 1054.1(d) must have a
(12) State: ‘‘THIS ENGINE COMPLIES equipment such that the label will be total displacement at or below 1000.0 cc
WITH U.S. EPA REGULATIONS FOR hard to read, you must place a duplicate after rounding to the nearest 0.1 cc.
[MODEL YEAR] SPARK-IGNITION label on the equipment consistent with
the requirements of 40 CFR 1068.105. § 1054.145 Are there interim provisions
ENGINES.’’. that apply only for a limited time?
(c) You may include the information
(13) If your nonhandheld engines are required by § 1054.135 on the The provisions in this section apply
certified for use only at rated speed or equipment label required by 40 CFR instead of other provisions in this part.
only at intermediate speed, add the part 1060. (a) Delayed Phase 3 implementation
statement: ‘‘CERTIFIED FOR [rated- for engine manufacturers. Small-volume
speed or intermediate-speed] § 1054.140 What is my engine’s maximum engine manufacturers may delay
APPLICATIONS ONLY’’ or ‘‘CERTIFIED engine power and displacement? complying with otherwise applicable
FOR [identify nominal engine speed or This section describes how to Phase 3 emission standards and
range of speeds for testing] OPERATION quantify your engine’s maximum engine requirements subject to the following
ONLY’’. power and displacement for the conditions:
(14) For wintertime engines state: purposes of this part. (1) You may delay meeting the Phase
‘‘FOR WINTERTIME USE ONLY’’. (a) An engine configuration’s 3 exhaust emission standards until 2013
(d) If others install your engine in maximum engine power is the for Class II engines and until 2014 for
their equipment in a way that obscures maximum brake power point on the Class I engines.
the engine label such that the label nominal power curve for the engine (2) You must certify your engines
cannot be read during normal configuration, as defined in this section. exempted under this section to the
maintenance, we require them to add a Round the power value to the nearest Phase 2 standards and requirements
duplicate label on the equipment (see 40 0.1 kilowatts for nonhandheld engines from specified in 40 CFR 90.103 and
CFR 1068.105); in that case, give them and to the nearest 0.01 kilowatts for summarized in Appendix I of this part.
the number of duplicate labels they handheld engines. The nominal power You must meet the labeling
request and keep the following records curve of an engine configuration is the requirements in 40 CFR 90.114, but use
for at least five years: relationship between maximum the following compliance statement
(1) Written documentation of the available engine brake power and instead of the compliance statement in
request from the equipment engine speed for an engine, using the 40 CFR 90.114(c)(7): ‘‘THIS ENGINE
manufacturer. mapping procedures of 40 CFR part COMPLIES WITH U.S. EPA
(2) The number of duplicate labels 1065, based on the manufacturer’s REGULATIONS FOR [CURRENT
you send for each engine family and the design and production specifications for MODEL YEAR] NONROAD ENGINES
date you sent them. the engine. This information may also UNDER 40 CFR 1054.145(a).’’.
(e) You may add information to the be expressed by a torque curve that (3) After the delays indicated in
emission control information label as relates maximum available engine paragraph (a)(1) of this section, you
follows: torque with engine speed. must comply with the same standards
(b) An engine configuration’s and requirements as all other
(1) You may identify other emission displacement is the intended swept
standards that the engine meets or does manufacturers, except as noted
volume of all the engine’s cylinders. elsewhere in this section.
not meet (such as California standards). The swept volume of the engine is the (4) The provisions of this paragraph
(2) You may add other information to product of the internal cross-section (a) may not be used to circumvent the
ensure that the engine will be properly area of the cylinders, the stroke length, requirements of this part.
maintained and used. and the number of cylinders. Calculate (5) You may generate early credits
(3) You may add appropriate features the engine’s intended swept volume during this two-year period as described
to prevent counterfeit labels. For from the design specifications for the under § 1054.740 as if the emission
example, you may include the engine’s cylinders using enough significant standards applied starting in the 2013
unique identification number on the figures to allow determination of the model year for Class II engines and in
label. displacement to the nearest 0.1 cc. the 2014 model year for Class I engines.
(f) You may ask us to approve Determine the final value by rounding (b) Delayed Phase 3 implementation
modified labeling requirements in this to the nearest cubic centimeter. For for equipment manufacturers. Special
part 1054 if you show that it is example, for a one-cylinder engine with provisions apply to small-volume
necessary or appropriate. We will circular cylinders having an internal equipment manufacturers. The
approve your request if your alternate diameter of 6.00 cm and a 6.25 cm provisions of § 1054.625 describe how
label is consistent with the requirements stroke length, the rounded displacement manufacturers may produce certain
of this part. would be: (1) × (6.00/2)2 × (π) × (6.25) numbers of equipment using Class II
(g) Integrated equipment = 177 cc. engines that meet Phase 2 standards
manufacturers may meet the labeling (c) The nominal power curve and during the first four years that the Phase
requirements of this section by intended swept volume must be within 3 standards apply.
including all the specified information the range of the actual power curves and (c) Special provisions for handheld
on the equipment label required by 40 swept volumes of production engines engines. The following provisions apply
CFR part 1060. considering normal production for handheld engines:
(1) You may use the provisions in 40 1068.101(a)(1) if you earn evaporative limit below 15 g/m2/day. Calculate your
CFR 90.104(g) to rely on assigned allowances, as follows: credits as described in § 1054.706 based
deterioration factors for small-volume (1) You may earn an evaporative on the difference between the family
equipment manufacturers and for small- allowance from each piece of equipment emission limit and the applicable
volume equipment families. certified to California’s evaporative emission rates specified in this
(2) You may use the test procedures emission standards by producing it paragraph (f).
in 40 CFR part 90 instead of those in before the requirements of this part start (g) Useful life for evaporative
subpart F of this part for the 2010 and to apply and selling it outside of emission standards. A useful life period
2011 model years. This applies for California. You may use an evaporative of two years applies for fuel tanks or
certification, production-line, and in- allowance by selling one piece of fuel caps certified to meet the
use testing. You may continue to use equipment that does not meet any EPA permeation emission standards in
test data based on the test procedures in evaporative emission standards even § 1054.110(b) in 2013 and earlier model
40 CFR part 90 for engine families in though it is subject to the EPA years. However, for fuel tanks with a
2012 and later model years, provided standards. family emission limit above or below
that we allow you to use carryover (2) You may earn an evaporative the otherwise applicable standard,
emission data under 40 CFR 1054.235(d) allowance with respect to fuel tank calculate emission credits under
for your emission family. permeation from each piece of § 1054.706 based on a useful life of five
(3) You may perform maintenance on equipment certified to EPA’s years.
emission-data engines during service evaporative emission standards by (h) Use of California data for
accumulation as described in 40 CFR selling it outside of California or in an handheld fuel tank permeation. If you
part 90. application that is preempted from certified handheld fuel tanks to the
California’s standards before EPA’s fuel permeation standards in 40 CFR 90.129
(4) Engines subject to Phase 3
tank permeation standards start to based on emission measurements for
emission standards must meet the
apply. You may use an evaporative demonstrating compliance with
standards at or above barometric
allowance by selling one piece of emission standards for California, you
pressures of 96.0 kPa in the standard
equipment with a fuel tank that does not may continue to use this data as the
configuration. This is intended to allow
meet the otherwise applicable EPA basis for demonstrating compliance
testing under most weather conditions
emission standards even though it is with the requirements of § 1054.110(b)
at all altitudes up to 1,100 feet above sea
subject to the EPA standards. For for the 2010 and 2011 model years,
level. In your application for example, you can earn an evaporative
certification, identify the altitude above provided that we allow you to use
allowance by selling a low-permeation carryover emission data under 40 CFR
which you rely on an altitude kit to fuel tank for Class II equipment before
meet emission standards and describe 1060.235(e) for your emission family.
the 2011 model year, in which case you
your plan for making information and could sell a piece of Class II equipment
parts available such that you would Subpart C—Certifying Emission
in 2011 with a high-permeation fuel Families
reasonably expect that altitude kits tank. You may not generate allowances
would be widely used at all such under this paragraph (e)(2) based on § 1054.201 What are the general
altitudes. your sales of metal fuel tanks. requirements for obtaining a certificate of
(d) Alignment of model years for (3) Evaporative allowances you earn conformity?
exhaust and evaporative standards. under this paragraph (e) from Engine manufacturers must certify
Evaporative emission standards equipment with Class I engines may be their engines with respect to the exhaust
generally apply based on the model year used only for other equipment with emission standards in this part.
of the equipment, which is determined Class I engines. Similarly, evaporative Manufacturers of engines, equipment, or
by the equipment’s date of final allowances you earn under this fuel-system components may need to
assembly. However, in the first year of paragraph (e) from equipment with certify their products with respect to
new emission standards, equipment Class II engines may be used only for evaporative emission standards as
manufacturers may apply evaporative other equipment with Class II engines. described in 40 CFR 1060.1 and
emission standards based on the model (4) You must label any equipment 1060.601. The following general
year of the engine as shown on the using allowances under this paragraph requirements apply for obtaining a
engine’s emission control information (e) with the following statement: certificate of conformity:
label. For example, for the fuel line ‘‘EXEMPT FROM EMISSION (a) You must send us a separate
permeation standards starting in 2012, STANDARDS UNDER 40 CFR application for a certificate of
equipment manufacturers may order a 1054.145(e).’’. conformity for each emission family. A
batch of 2011 model year engines for (5) You may not use the allowances certificate of conformity is valid starting
installation in 2012 model year you generate under this paragraph (e) with the indicated effective date, but it
equipment, subject to the anti- for 2014 and later model year is not valid for any production after
stockpiling provisions of 40 CFR equipment with Class II engines or for December 31 of the model year for
1068.105(a). The equipment with the 2015 and later model year equipment which it is issued. No certificate will be
2011 model year engines would not with Class I engines. issued after December 31 of the model
need to meet fuel line permeation (f) Early banking for evaporative year. If you certify with respect to both
standards, as long as the equipment is emission standards—handheld exhaust and evaporative emissions, you
fully assembled by December 31, 2012. equipment manufacturers. You may must submit separate applications.
(e) Early compliance with evaporative earn emission credits for handheld (b) The application must contain all
emission standards—nonhandheld equipment you produce before the the information required by this part
equipment manufacturers. You may evaporative emission standards of and must not include false or
produce nonhandheld equipment that § 1054.110 apply. To do this, your incomplete statements or information
does not meet the otherwise applicable equipment must use fuel tanks with a (see § 1054.255).
evaporative emission standards without family emission limit below 1.5 g/m2/ (c) We may ask you to include less
violating the prohibition in 40 CFR day or fuel lines with a family emission information than we specify in this
subpart, as long as you maintain all the from the specified duty cycle for specified in § 1054.505(b). If we specify
information required by § 1054.250. certification, describe how the fuel- more than one grade of any fuel type
(d) You must use good engineering metering system responds to varying (for example, low-temperature and all-
judgment for all decisions related to speeds and loads not represented by the season gasoline), you need to submit
your application (see 40 CFR 1068.5). duty cycle. test data only for one grade, unless the
(e) An authorized representative of (c) [Reserved] regulations of this part specify
your company must approve and sign (d) Describe the engines, equipment, otherwise for your engine.
the application. and fuel system components you (2) Present evaporative test data for
(f) See § 1054.255 for provisions selected for testing and the reasons for hydrocarbons to show your engine or
describing how we will process your selecting them. equipment meets the evaporative
application. (e) Describe the test equipment and emission standards we specify in
(g) We may require you to deliver procedures that you used, including any subpart B of this part. If you did not
your test engines to a facility we special or alternate test procedures you perform the testing, identify the source
designate for our testing (see used. For handheld engines, describe of the test data.
§ 1054.235(c)). how you selected the value for rated (3) Note that §§ 1054.235 and
speed. 1054.245 allow you to submit an
(f) Describe how you operated the application in certain cases without new
application?
emission-data engine before testing, emission data.
This section specifies the information including the duty cycle and the (p) Report all test results, including
that must be in your application, unless number of engine operating hours used those from invalid tests, whether or not
we ask you to include less information to stabilize emission levels. Explain they were conducted according to the
under § 1054.202(c). We may require why you selected the method of service test procedures of subpart F of this part.
you to provide additional information to accumulation. Describe any scheduled If you measure CO2, report those
evaluate your application. The maintenance you did. emission levels. We may ask you to
provisions of this section apply to (g) List the specifications of the test send other information to confirm that
integrated equipment manufacturers fuel to show that it falls within the your tests were valid under the
and engine manufacturers selling loose required ranges we specify in 40 CFR requirements of this part and 40 CFR
engines. Nonintegrated equipment part 1065. parts 1060 and 1065.
manufacturers must follow the (h) Identify the emission family’s (q) Describe all adjustable operating
requirements of 40 CFR part 1060. useful life. Describe the basis for parameters (see § 1054.115(b)),
(a) Describe the emission family’s selecting useful life values with respect including production tolerances.
specifications and other basic to exhaust emissions (see § 1054.107). Include the following in your
parameters of the engine’s design and (i) Include the maintenance and description of each parameter:
emission controls. List the fuel type on warranty instructions you will give to (1) The nominal or recommended
which your engines are designed to the ultimate purchaser of each new setting.
operate (for example, all-season engine (see §§ 1054.120 and 1054.125). (2) The intended physically adjustable
gasoline). List each distinguishable (j) Include the emission-related range.
engine configuration in the emission installation instructions you will (3) The limits or stops used to
family. For each engine configuration in provide if someone else installs your establish adjustable ranges.
which the maximum modal power of engines in nonroad equipment (see (4) Information showing why the
the emission-data engine is at or above § 1054.130). limits, stops, or other means of
15 kW, list the maximum engine power (k) Describe your emission control inhibiting adjustment are effective in
and the range of values for maximum information label (see § 1054.135). preventing adjustment of parameters on
engine power resulting from production (l) Identify the emission standards or in-use engines to settings outside your
tolerances, as described in § 1054.140. FELs for the emission family. intended physically adjustable ranges.
(b) Explain how the emission control (m) Identify the emission family’s (r) Describe how your engines comply
systems operate. Describe the deterioration factors and describe how with emission standards at varying
evaporative emission controls and show you developed them (see § 1054.245). atmospheric pressures. Include a
how your design will prevent running Present any emission test data you used description of altitude kits you design to
loss emissions, if applicable. Also for this. comply with the requirements of
describe in detail all system (n) State that you operated your § 1054.115(c). Identify the part number
components for controlling exhaust emission-data engines as described in of each component you describe.
emissions, including all auxiliary the application (including the test Identify the altitude range for which you
emission control devices (AECDs) and procedures, test parameters, and test expect proper engine performance and
all fuel-system components you will fuels) to show you meet the emission control with and without the
install on any production or test engine. requirements of this part. altitude kit. State that your engines will
Identify the part number of each (o) Present emission data to show that comply with applicable emission
component you describe (or the you meet emission standards, as standards throughout the useful life
alphanumeric designation for catalysts follows: with the altitude kit installed according
described in § 1054.610, if applicable). (1) Present emission data for to your instructions. Describe any
For this paragraph (b), treat as separate hydrocarbons (such as THC or THCE, as relevant testing, engineering analysis, or
AECDs any devices that modulate or applicable), NOX, and CO on an other information in sufficient detail to
activate differently from each other. emission-data engine to show your support your statement. In addition,
Include sufficient detail to allow us to engines meet the applicable exhaust describe your plan for making
evaluate whether the AECDs are emission standards as specified in information and parts available such
consistent with the defeat device § 1054.101. Show emission figures that you would reasonably expect that
prohibition of § 1054.115. For example, before and after applying deterioration altitude kits would be widely used in
if your engines will routinely factors for each engine. Include test data the high-altitude counties specified in
experience in-use operation that differs from each applicable duty cycle Appendix III of this part. For example,
engine owners should have ready access (3) The location of test facilities in the (b) You need not request approval if
to information describing when an United States where you can test your you are making only minor corrections
altitude kit is needed and how to obtain engines if we select them for testing (such as correcting typographical
this service. Similarly, parts and service under a selective enforcement audit, as mistakes), clarifying your maintenance
information should be available to specified in 40 CFR part 1068, instructions, or changing instructions
qualified service facilities in addition to subpart E. for maintenance unrelated to emission
authorized service centers if that is control.
needed for owners to have such altitude § 1054.210 May I get preliminary approval
before I complete my application? § 1054.225 How do I amend my application
kits installed locally.
If you send us information before you for certification to include new or modified
(s) If your engines are subject to engines or fuel systems or change an FEL?
handheld emission standards on the finish the application, we will review it
and make any appropriate Before we issue you a certificate of
basis of meeting weight limitations
determinations, especially for questions conformity, you may amend your
described in the definition of
related to emission family definitions, application to include new or modified
‘‘handheld,’’ describe your analysis
auxiliary emission control devices, engine or fuel-system configurations,
showing that you meet the applicable
deterioration factors, useful life, testing subject to the provisions of this section.
weight-related restrictions.
for service accumulation, maintenance, After we have issued your certificate of
(t) State whether your certification is
and delegated final assembly. Decisions conformity, you may send us an
limited for certain engines. If this is the
made under this section are considered amended application requesting that we
case, describe how you will prevent use
to be preliminary approval, subject to include new or modified configurations
of these engines in applications for
final review and approval. We will within the scope of the certificate,
which they are not certified. This
generally not reverse a decision where subject to the provisions of this section.
applies for engines such as the
we have given you preliminary You must amend your application if any
following:
approval, unless we find new changes occur with respect to any
(1) Wintertime engines not certified to
information supporting a different information included in your
the otherwise applicable HC+NOX
decision. If you request preliminary application.
standard. (a) You must amend your application
(2) Two-stroke snowthrower engines approval related to the upcoming model
year or the model year after that, we will before you take any of the following
using the provisions of § 1054.101(d). actions:
(u) Unconditionally certify that all the make best-efforts to make the
appropriate determinations as soon as (1) Add an engine or fuel-system
engines in the emission family comply configuration to an emission family. In
with the requirements of this part, other practicable. We will generally not
provide preliminary approval related to this case, the configuration added must
referenced parts of the CFR, and the be consistent with other configurations
Clean Air Act. a future model year more than two years
ahead of time. in the emission family with respect to
(v) Include good-faith estimates of the criteria listed in § 1054.230.
U.S.-directed production volumes. § 1054.220 How do I amend the (2) Change a configuration already
Include a justification for the estimated maintenance instructions in my included in an emission family in a way
production volumes if they are application? that may affect emissions, or change any
substantially different than actual You may amend your emission- of the components you described in
production volumes in earlier years for related maintenance instructions after your application for certification. This
similar models. you submit your application for includes production and design changes
(w) Describe how you meet the certification, as long as the amended that may affect emissions any time
requirements for posting bond as instructions remain consistent with the during the engine’s lifetime.
specified in §§ 1054.685 and 1054.690, provisions of § 1054.125. You must send (3) Modify an FEL for an emission
or describe why those requirements do the Designated Compliance Officer a family with respect to exhaust
not apply. written request to amend your emissions as described in paragraph (f)
(x) Include the information required application for certification for an of this section.
by other subparts of this part. For engine family if you want to change the (b) To amend your application for
example, include the information emission-related maintenance certification, send the Designated
required by § 1054.725 if you participate instructions in a way that could affect Compliance Officer the following
in the ABT program. emissions. In your request, describe the information:
(y) Include other applicable proposed changes to the maintenance (1) Describe in detail the addition or
information, such as information instructions. We will disapprove your change in the model or configuration
specified in this part or 40 CFR part request if we determine that the you intend to make.
1068 related to requests for exemptions. amended instructions are inconsistent (2) Include engineering evaluations or
(z) Name an agent for service located with maintenance you performed on data showing that the amended
in the United States. Service on this emission-data engines. If operators emission family complies with all
agent constitutes service on you or any follow the original maintenance applicable requirements. You may do
of your officers or employees for any instructions rather than the newly this by showing that the original
action by EPA or otherwise by the specified maintenance, this does not emission-data engine or emission-data
United States related to the allow you to disqualify those engines equipment is still appropriate for
requirements of this part. from in-use testing or deny a warranty showing that the amended family
(aa) For imported engines or claim. complies with all applicable
equipment, identify the following: (a) If you are changing the specified requirements.
(1) The port(s) at which you will maintenance in a way that could affect (3) If the original emission-data
import your engines or equipment. emissions, you may distribute the new engine or emission-data equipment for
(2) The names and addresses of the maintenance instructions to your the emission family is not appropriate to
agents you have authorized to import customers only after we approve your show compliance for the new or
your engines or equipment. request. modified configuration, include new
test data showing that the new or the higher FEL for the entire family to emission family if you show that their
modified configuration meets the calculate your production-weighted emission characteristics during the
requirements of this part. average FEL under subpart H of this useful life will be similar.
(c) We may ask for more test data or part. (2) If you are a small-volume engine
engineering evaluations. You must give (2) You may ask to lower the FEL for manufacturer, you may group any
us these within 30 days after we request your emission family only if you have nonhandheld engines with the same
them. test data from production engines useful life that are subject to the same
(d) For emission families already showing that emissions are below the emission standards into a single
covered by a certificate of conformity, proposed lower FEL. The lower FEL emission family.
we will determine whether the existing applies only to engines you produce (3) The provisions of this paragraph
certificate of conformity covers your after we approve the new FEL. Use the (e) do not exempt any engines from
new or modified configuration. You appropriate FELs with corresponding meeting all the applicable standards and
may ask for a hearing if we deny your production volumes to calculate your requirements in subpart B of this part.
request (see § 1054.820). production-weighted average FEL for (f) Select test engines from the
(e) For emission families already the model year, as described in subpart emission family as described in 40 CFR
covered by a certificate of conformity, H of this part. 1065.401. Select test components
you may start producing the new or related to evaporative emission control
modified configuration anytime after § 1054.230 How do I select emission
families?
systems that are most likely to exceed
you send us your amended application the applicable emission standards. For
and before we make a decision under (a) For purposes of certification, example, select a fuel tank with the
paragraph (d) of this section. However, divide your product line into families of smallest average wall thickness (or
if we determine that the affected engines that are expected to have barrier thickness, as appropriate) of
configurations do not meet applicable similar emission characteristics those tanks you include in the same
requirements, we will notify you to throughout the useful life as described family.
cease production of the configurations in this section. You must have separate (g) You may combine engines from
and may require you to recall the engine emission families for meeting exhaust different classes into a single emission
or equipment at no expense to the and evaporative emissions. Your family under paragraph (e)(1) of this
owner. Choosing to produce engine emission family is limited to a single section if you certify the emission
under this paragraph (e) is deemed to be model year. family to the more stringent set of
consent to recall all engines or (b) Group engines in the same
standards from the two classes in that
equipment that we determine do not emission family for exhaust emissions if
model year.
meet applicable emission standards or they are the same in all the following
other requirements and to remedy the aspects: § 1054.235 What exhaust emission testing
nonconformity at no expense to the (1) The combustion cycle and fuel. must I perform for my application for a
owner. If you do not provide (2) The cooling system (liquid-cooled certificate of conformity?
information required under paragraph vs. air-cooled). This section describes the exhaust
(c) of this section within 30 days, you (3) Valve configuration (side-valve vs. emission testing you must perform to
must stop producing the new or overhead valve). show compliance with the emission
modified engine or equipment. (4) Method of air aspiration (for standards in §§ 1054.103 and 1054.105.
(f) You may ask us to approve a example, turbocharged vs. naturally See §§ 1054.240 and 1054.245 and 40
change to your FEL with respect to aspirated). CFR part 1065, subpart E, regarding
exhaust emissions in certain cases after (5) The number, location, volume, and service accumulation before emission
the start of production. The changed composition of catalytic converters. testing.
(6) The number, arrangement, and
FEL may not apply to engines you have (a) Select an emission-data engine
already introduced into U.S. commerce, approximate bore diameter of cylinders.
(7) Engine class, as defined in from each engine family for testing as
except as described in this paragraph (f). described in 40 CFR 1065.401. Select a
§ 1054.801.
If we approve a changed FEL after the (8) Method of control for engine configuration that is most likely to
start of production, you must include operation, other than governing exceed the HC+NOX standard, using
the new FEL on the emission control (mechanical or electronic). good engineering judgment. Consider
information label for all engines (9) The numerical level of the the emission levels of all exhaust
produced after the change. You may ask emission standards that apply to the constituents over the full useful life of
us to approve a change to your FEL in engine. the engine when operated in nonroad
the following cases: (10) Useful life. equipment. Configurations must be
(1) You may ask to raise your FEL for (c) For evaporative emissions, group tested as they will be produced,
your emission family at any time. In engines into emission families as including installed governors, whether
your request, you must show that you described in 40 CFR 1060.230. you or the equipment manufacturer
will still be able to meet the emission (d) You may subdivide a group that is installs the governor.
standards as specified in subparts B and identical under paragraph (b) or (c) of (b) Test your emission-data engines
H of this part. If you amend your this section into different emission using the procedures and equipment
application by submitting new test data families if you show the expected specified in subpart F of this part.
to include a newly added or modified emission characteristics are different (c) We may measure emissions from
engine, as described in paragraph (b)(3) during the useful life. any of your test engines or other engines
of this section, use the appropriate FELs (e) You may group engines that are from the emission family, as follows:
with corresponding production volumes not identical with respect to the things (1) We may decide to do the testing
to calculate your production-weighted listed in paragraph (b) or (c) of this at your plant or any other facility. If we
average FEL for the model year, as section in the same emission family, as do this, you must deliver the test engine
described in subpart H of this part. If follows: to a test facility we designate. The test
you amend your application without (1) In unusual circumstances, you engine you provide must include
submitting new test data, you must use may group such engines in the same appropriate manifolds, aftertreatment
devices, electronic control units, and considered to be the applicable § 1054.245 How do I determine
other emission-related components not emission standards with which you deterioration factors from exhaust
normally attached directly to the engine must comply if you participate in the durability testing?
block. If we do the testing at your plant, ABT program in subpart H of this part. Establish deterioration factors to
you must schedule it as soon as possible determine whether your engines will
(b) Your emission family is deemed meet the exhaust emission standards for
and make available the instruments, not to comply if any emission-data
personnel, and equipment we need. each pollutant throughout the useful
engine representing that family has test life, as described in subpart B of this
(2) If we measure emissions on one of
results showing a deteriorated emission part and § 1054.240. This section
your test engines, the results of that
level above an applicable emission describes how to determine
testing become the official emission
standard for any pollutant. deterioration factors, either with pre-
results for the engine.
(3) We may set the adjustable (c) Determine a deterioration factor to existing test data or with new emission
parameters of your emission-data engine compare emission levels from the measurements.
to any point within the physically emission-data engine with the (a) You may ask us to approve
adjustable ranges (see § 1054.115(b)). applicable emission standards. Section deterioration factors for an emission
(4) We may calibrate your emission- 1054.245 specifies how to test engines family based on emission measurements
data engine within normal production to develop deterioration factors that from similar engines if you have already
tolerances for anything we do not represent the expected deterioration in given us these data for certifying other
consider an adjustable parameter. emissions over your engines’ full useful engines in the same or earlier model
(d) You may ask to use emission data life. Calculate a multiplicative years. Use good engineering judgment to
from a previous model year instead of deterioration factor as described in decide whether the two engines are
doing new tests, but only if all the § 1054.245(b). If the deterioration factor similar.
following are true: is less than one, use one. Specify the (b) If you are unable to determine
(1) The emission family from the deterioration factor to one more deterioration factors for an emission
previous model year differs from the significant figure than the emission family under paragraph (a) of this
current emission family only with standard. You may use assigned section, select engines, subsystems, or
respect to model year or other deterioration factors that we establish components for testing. Determine
characteristics unrelated to emissions. deterioration factors based on service
for up to 10,000 nonhandheld engines
You may also ask to add a configuration accumulation and related testing.
from small-volume emission families in
subject to § 1054.225. Include consideration of wear and other
each model year, except that small-
(2) The emission-data engine from the causes of deterioration expected under
volume engine manufacturers may use
previous model year remains the typical consumer use. Determine
assigned deterioration factors for all
appropriate emission-data engine under deterioration factors as follows:
their engine families. (1) You must measure emissions from
paragraph (b) of this section.
(3) The data show that the emission- (d) Adjust the official emission results the emission-data engine at a low-hour
data engine would meet all the for each tested engine at the selected test point and the end of the useful life,
requirements that apply to the emission test point by multiplying the measured except as specifically allowed by this
family covered by the application for emissions by the deterioration factor, paragraph (b). You may also test at
certification. For engines originally then rounding the adjusted figure to the evenly spaced intermediate points.
tested under the provisions of 40 CFR same number of decimal places as the Collect emission data using
part 90, you may consider those test emission standard. Compare the measurements to one more decimal
procedures to be equivalent to the rounded emission levels to the emission place than the emission standard.
procedures we specify in subpart F of standard for each emission-data engine. (2) Operate the engine over a
this part. In the case of HC+NOX standards, add representative duty cycle for a period at
(e) We may require you to test a the emission results and apply the least as long as the useful life (in hours).
second engine of the same or different deterioration factor to the sum of the You may operate the engine
configuration in addition to the engine pollutants before rounding. However, if continuously. You may also use an
tested under paragraph (b) of this your deterioration factors are based on engine installed in nonroad equipment
section. emission measurements that do not to accumulate service hours instead of
(f) If you use an alternate test cover the engine’s full useful life, apply running the engine only in the
procedure under 40 CFR 1065.10 and deterioration factors to each pollutant laboratory.
later testing shows that such testing and then add the results before (3) You may perform maintenance on
does not produce results that are rounding. emission-data engines as described in
equivalent to the procedures specified § 1054.125 and 40 CFR part 1065,
(e) The provisions of this paragraph subpart E.
in subpart F of this part, we may reject (e) apply only for engine families with
data you generated using the alternate (4) Calculate your deterioration factor
a useful life at or below 300 hours. To as follows:
procedure. apply the deterioration factor to engines (i) If you measure emissions at only
§ 1054.240 How do I demonstrate that my other than the original emission-data two points to calculate your
emission family complies with exhaust engine, they must be operated for the deterioration factor by dividing
emission standards? same number of hours before starting measured exhaust emissions at the end
(a) For purposes of certification, your emission measurements that you used of the useful life by measured exhaust
emission family is considered in for the original emission-data engine, emissions at the low-hour test point.
compliance with the emission standards within one hour. For example, if the (ii) If you measure emissions at three
in § 1054.101(a) if all emission-data original emission-data engine operated or more points, use a linear least-
engines representing that family have for 8 hours before the low-hour squares fit of your test data, but treat the
test results showing deteriorated emission test, operate the other test low-hour test point as occurring at hour
emission levels at or below these engines for 7 to 9 hours before starting zero. Your deterioration factor is the
standards. Note that your FELs are emission measurements. ratio of the calculated emission level at
the point representing the full useful life (i) The emission-data engine’s (c) In addition, we may deny your
to the calculated emission level at zero construction, including its origin and application or suspend or revoke your
hours. buildup, steps you took to ensure that certificate if you do any of the
(5) If you test more than one engine it represents production engines, any following:
to establish deterioration factors, components you built specially for it, (1) Refuse to comply with any testing
average the deterioration factors from all and all the components you include in or reporting requirements.
the engines before rounding. your application for certification. (2) Submit false or incomplete
(6) If your durability engine fails (ii) How you accumulated engine information (paragraph (e) of this
between 80 percent and 100 percent of operating hours (service accumulation), section applies if this is fraudulent).
useful life, you may use the last including the dates and the number of (3) Render inaccurate any test data.
emission measurement as the test point hours accumulated. (4) Deny us from completing
representing the full useful life, (iii) All maintenance, including authorized activities (see 40 CFR
provided it occurred after at least 80 modifications, parts changes, and other 1068.20). This includes a failure to
percent of the useful life. service, and the dates and reasons for provide reasonable assistance.
(7) If your useful life is 1,000 hours or the maintenance. (5) Produce engines or equipment for
longer and your durability engine fails (iv) All your emission tests, including importation into the United States at a
between 50 percent and 100 percent of documentation on routine and standard location where local law prohibits us
useful life, you may extrapolate your tests, as specified in part 40 CFR part from carrying out authorized activities.
emission results to determine the 1065, and the date and purpose of each (6) Fail to supply requested
emission level representing the full test. information or amend your application
useful life, provided emissions were (v) All tests to diagnose engine or to include all engines or equipment
measured at least once after 50 percent emission control performance, giving being produced.
of the useful life. the date and time of each and the (7) Take any action that otherwise
(8) Use good engineering judgment for reasons for the test. circumvents the intent of the Act or this
all aspects of the effort to establish (vi) Any other significant events. part.
deterioration factors under this (4) Production figures for each (d) We may void your certificate if
paragraph (b). emission family divided by assembly you do not keep the records we require
(9) You may use other testing methods plant. or do not give us information as
to determine deterioration factors, (5) Keep a list of engine identification required under this part or the Act.
consistent with good engineering numbers for all the engines you produce (e) We may void your certificate if we
judgment, as long as we approve those under each certificate of conformity. find that you intentionally submitted
methods in advance. (c) Keep data from routine emission false or incomplete information.
(c) Include the following information tests (such as test cell temperatures and (f) If we deny your application or
in your application for certification: relative humidity readings) for one year suspend, revoke, or void your
(1) If you use test data from a different after we issue the associated certificate certificate, you may ask for a hearing
emission family, explain why this is of conformity. Keep all other (see § 1054.820).
appropriate and include all the emission information specified in paragraph (a) of
measurements on which you base the this section for eight years after we issue Subpart D—Production-line Testing
deterioration factor. your certificate.
(2) If you do testing to determine (d) Store these records in any format § 1054.300 Applicability.
deterioration factors, describe the form and on any media, as long as you can This subpart specifies requirements
and extent of service accumulation, promptly send us organized, written for engine manufacturers to test their
including the method you use to records in English if we ask for them. production engines for exhaust
accumulate hours. You must keep these records readily emissions to ensure that the engines are
available. We may review them at any being produced as described in the
§ 1054.250 What records must I keep and time. application for certification. The
what reports must I send to EPA? (e) Send us copies of any engine production-line verification described
(a) If you produce engines under any maintenance instructions or in 40 CFR part 1060, subpart D, applies
provisions of this part that are related to explanations if we ask for them. for equipment and components for
production volumes, send the evaporative emissions.
Designated Compliance Officer a report § 1054.255 What decisions may EPA make
within 30 days after the end of the regarding my certificate of conformity? § 1054.301 When must I test my
model year describing the total number (a) If we determine your application is production-line engines?
of engines you produced in each engine complete and shows that the emission (a) If you produce engines that are
family. For example, if you use special family meets all the requirements of this subject to the requirements of this part,
provisions intended for small-volume part and the Act, we will issue a you must test them as described in this
engine manufacturers, report your certificate of conformity for your subpart, except as follows:
production volumes to show that you do emission family for that model year. We (1) Small-volume engine
not exceed the applicable limits. may make the approval subject to manufacturers may omit testing under
(b) Organize and maintain the additional conditions. this subpart.
following records: (b) We may deny your application for (2) We may exempt small-volume
(1) A copy of all applications and any certification if we determine that your emission families from routine testing
summary information you send us. emission family fails to comply with under this subpart. Request this
(2) Any of the information we specify emission standards or other exemption in the application for
in § 1054.205 that you were not required requirements of this part or the Act. Our certification and include your basis for
to include in your application. decision may be based on a review of all projecting a production volume below
(3) A detailed history of all emission- information available to us. If we deny 5,000 units. You must promptly notify
data equipment. For each engine, your application, we will explain why us if your actual production exceeds
describe all of the following: in writing. 5,000 units during the model year. If
you exceed the production limit or if deviations from your normal assembly (2) For engine families with a useful
there is evidence of a nonconformity, procedures for other production engines life above 300 hours, operate each
we may require you to test production- in the engine family. engine for no more than the greater of
line engines under this subpart, or (a) Test procedures. Test your two periods:
under 40 CFR part 1068, subpart E, even production-line engines using the (i) 12 hours.
if we have approved an exemption applicable testing procedures in subpart (ii) The number of hours you operated
under this paragraph (a)(2). F of this part to show you meet the your emission-data engine for certifying
(b) We may suspend or revoke your emission standards in subpart B of this the engine family (see 40 CFR part 1065,
certificate of conformity for certain part. subpart E, or the applicable regulations
engine families if your production-line (b) Modifying a test engine. Once an governing how you should prepare your
engines do not meet the requirements of engine is selected for testing (see test engine).
this part or you do not fulfill your § 1054.310), you may adjust, repair, (f) Damage during shipment. If
obligations under this subpart (see prepare, or modify it or check its shipping an engine to a remote facility
§§ 1054.32fs5 and 1054.340). emissions only if one of the following is for production-line testing makes
(c) Other regulatory provisions true: necessary an adjustment or repair, you
authorize us to suspend, revoke, or void (1) You document the need for doing must wait until after the initial emission
your certificate of conformity, or order so in your procedures for assembling test to do this work. We may waive this
recalls for engine families without and inspecting all your production requirement if the test would be
regard to whether they have passed engines and make the action routine for impossible or unsafe, or if it would
these production-line testing all the engines in the engine family. permanently damage the engine. Report
requirements. The requirements of this (2) This subpart otherwise specifically to us, in your written report under
subpart do not affect our ability to do allows your action. § 1054.345, all adjustments or repairs
selective enforcement audits, as (3) We approve your action in you make on test engines before each
described in 40 CFR part 1068. advance. test.
Individual engines in families that pass (c) Engine malfunction. If an engine (g) Retesting after invalid tests. You
these production-line testing malfunction prevents further emission may retest an engine if you determine
requirements must also conform to all testing, ask us to approve your decision an emission test is invalid under
applicable regulations of this part and to either repair the engine or delete it subpart F of this part. Explain in your
40 CFR part 1068. from the test sequence. written report reasons for invalidating
(d) You may ask to use an alternate (d) Setting adjustable parameters. any test and the emission results from
program for testing production-line Before any test, we may require you to all tests. If you retest an engine, you
engines. In your request, you must show adjust any adjustable parameter to any may ask us to substitute results of the
us that the alternate program gives equal setting within its physically adjustable new tests for the original ones. You
assurance that your products meet the range. must ask us within ten days of testing.
requirements of this part. We may waive (1) We may require you to adjust idle We will generally answer within ten
some or all of this subpart’s speed outside the physically adjustable days after we receive your information.
requirements if we approve your range as needed, but only until the
alternate program. engine has stabilized emission levels § 1054.310 How must I select engines for
(e) If you certify an engine family with production-line testing?
(see paragraph (e) of this section). We
carryover emission data, as described in (a) Test engines from each engine
may ask you for information needed to
§ 1054.235(c), and these equivalent family as described in this section based
establish an alternate minimum idle
engine families consistently pass the on test periods, as follows:
speed.
production-line testing requirements (1) For engine families with projected
(2) We may specify adjustments
over the preceding two-year period, you U.S.-directed production volume of at
within the physically adjustable range
may ask for a reduced testing rate for least 1,600, the test periods are
by considering their effect on emission
further production-line testing for that consecutive quarters (3 months).
levels, as well as how likely it is
family. The minimum testing rate is one However, if your annual production
someone will make such an adjustment
engine per engine family. If we reduce period is less than 12 months long, you
with in-use equipment.
your testing rate, we may limit our may take the following alternative
(3) We may specify an air-fuel ratio
approval to any number of model years. approach to define quarterly test
within the adjustable range specified in
In determining whether to approve your periods:
§ 1054.115(b).
request, we may consider the number of (i) If your annual production period is
(e) Stabilizing emission levels. Use
engines that have failed the emission 120 days or less, the whole model year
good engineering judgment to operate
tests. constitutes a single test period.
(f) We may ask you to make a your engines before testing such that
deterioration factors can be applied (ii) If your annual production period
reasonable number of production-line
appropriately. Determine the is 121 to 210 days, divide the annual
engines available for a reasonable time
stabilization period as follows: production period evenly into two test
so we can test or inspect them for
(1) For engine families with a useful periods.
compliance with the requirements of
life at or below 300 hours, operate the (iii) If your annual production period
this part. See 40 CFR 1068.27.
engine for the same number of hours is 211 to 300 days, divide the annual
§ 1054.305 How must I prepare and test my before starting emission measurements production period evenly into three test
production-line engines? that you used for the emission-data periods.
This section describes how to prepare engine, within one hour. For example, (iv) If your annual production period
and test production-line engines. You if the emission-data engine operated for is 301 days or longer, divide the annual
must assemble the test engine in a way 8 hours before the low-hour emission production period evenly into four test
that represents the assembly procedures test, operate the test engines for 7 to 9 periods.
for other engines in the engine family. hours before starting emission (2) For engine families with projected
You must ask us to approve any measurements. U.S.-directed production volume below
1,600, the whole model year constitutes (3) In the first test period for engine N = [(t95 × s)/(x ¥ STD)]2 + 1
a single test period. families relying on previously submitted Where:
(b) Early in each test period, randomly test data, combine the new test result
select and test an engine from the end N = Required sample size for the model year.
with the last test result from the
of the assembly line for each engine t95 = 95% confidence coefficient, which
previous model year. Then, calculate depends on the number of tests
family. the required sample size for the model
(1) In the first test period for newly completed, n, as specified in the table in
year as described in paragraph (c) of this paragraph (c)(1) of this section. It defines
certified engines, randomly select and section. Use the last test result from the
test one more engine. Then, calculate 95% confidence intervals for a one-tail
previous model year only for this first distribution.
the required sample size for the model calculation. For all subsequent
year as described in paragraph (c) of this x = Mean of emission test results of the
calculations, use only results from the sample.
section.
(2) In later test periods of the same current model year. STD = Emission standard (or family emission
model year, combine the new test result (c) Calculate the required sample size limit, if applicable).
with all previous testing in the model for each engine family. Separately s = Test sample standard deviation (see
year. Then, calculate the required calculate this figure for HC+NOX and paragraph (c)(2) of this section).
sample size for the model year as CO. The required sample size is the (1) Determine the 95% confidence
described in paragraph (c) of this greater of these calculated values. Use coefficient, t95, from the following table:
section. the following equation:
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, completed in an engine family, n, is require under this section. Include these
s, for the test sample using the greater than the required sample size, N, engines in the sample-size calculations.
following formula: and the sample mean, x, is less than or
§ 1054.315 How do I know when my engine
s = [S(Xi ¥ x)2/(n ¥ 1)]1/2 equal to the emission standard. For
family fails the production-line testing
example, if N = 5.1 after the fifth test, requirements?
Where:
the sample-size calculation does not
Xi = Emission test result for an individual This section describes the pass-fail
allow you to stop testing.
engine.
(2) The engine family does not criteria for the production-line testing
n = The number of tests completed in an requirements. We apply these criteria on
engine family. comply according to § 1054.315.
(3) You test 30 engines from the an emission-family basis. See § 1054.320
(d) Use final deteriorated test results engine family. for the requirements that apply to
to calculate the variables in the (4) You test one percent of your individual engines that fail a
equations in paragraph (c) of this projected annual U.S.-directed production-line test.
section (see § 1054.315(a)). production volume for the engine (a) Calculate your test results as
(e) After each new test, recalculate the family, rounded to the nearest whole follows:
required sample size using the updated number. Do not count an engine under (1) Initial and final test results.
mean values, standard deviations, and this paragraph (g)(4) if it fails to meet an Calculate and round the test results for
the appropriate 95-percent confidence applicable emission standard. each engine. If you do several tests on
coefficient. (5) You choose to declare that the an engine, calculate the initial test
(f) Distribute the remaining engine engine family does not comply with the results, then add them together and
tests evenly throughout the rest of the requirements of this subpart. divide by the number of tests and round
year. You may need to adjust your (h) If the sample-size calculation for the final test results on that engine.
schedule for selecting engines if the allows you to stop testing for one (2) Final deteriorated test results.
required sample size changes. If your pollutant but not another, you must Apply the deterioration factor for the
scheduled quarterly testing for the continue measuring emission levels of engine family to the final test results
remainder of the model year is sufficient all pollutants for any additional tests (see § 1054.240(c)).
to meet the calculated sample size, you required under this section. However, (3) Round deteriorated test results.
may wait until the next quarter to do you need not continue making the Round the results to the number of
additional testing. Continue to calculations specified in this section for decimal places in the emission standard
randomly select engines from each the pollutant for which testing is not expressed to one more decimal place.
(b) Construct the following CumSum

engine family. required. This paragraph (h) does not
(g) Continue testing until one of the Equation for each engine family for
affect the number of tests required
following things happens: HC+NOX and CO emissions:
under this section or the remedial steps
(1) After completing the minimum required under § 1054.320. Ci = Max [0 or Ci¥1 + Xi ¥ (STD + 0.25
number of tests required in paragraph (i) You may elect to test more × s)]
(b) of this section, the number of tests randomly chosen engines than we Where:
Ci = The current CumSum statistic. noncompliant engines only at one family complies with all the emission
Ci¥1 = The previous CumSum statistic. For facility. standards that apply.
the first test, the CumSum statistic is 0 (b) We will tell you in writing if we
(i.e. C1 = 0). suspend your certificate in whole or in § 1054.340 When may EPA revoke my
Xi = The current emission test result for an part. We will not suspend a certificate certificate under this subpart and how may
individual engine. I sell these engines again?
STD = Emission standard (or family emission
until at least 15 days after the engine
family fails. The suspension is effective (a) We may revoke your certificate for
limit, if applicable). an engine family in the following cases:
when you receive our notice.
(c) Use final deteriorated test results (c) Up to 15 days after we suspend the (1) You do not meet the reporting
to calculate the variables in the equation certificate for an engine family, you may requirements.
in paragraph (b) of this section (see ask for a hearing (see § 1054.820). If we (2) Your engine family fails to comply
§ 1054.315(a)). agree before a hearing occurs that we with the requirements of this subpart
(d) After each new test, recalculate the used erroneous information in deciding and your proposed remedy to address a
CumSum statistic. to suspend the certificate, we will suspended certificate under § 1054.325
(e) If you test more than the required reinstate the certificate. is inadequate to solve the problem or
number of engines, include the results (d) Section 1054.335 specifies steps requires you to change the engine’s
from these additional tests in the you must take to remedy the cause of design or emission control system.
CumSum Equation. the engine family’s production-line (b) To sell engines from an engine
(f) After each test, compare the failure. All the engines you have family with a revoked certificate of
current CumSum statistic, Ci, to the produced since the end of the last test conformity, you must modify the engine
recalculated Action Limit, H, defined as period are presumed noncompliant and family and then show it complies with
H = 5.0 × s. should be addressed in your proposed the requirements of this part.
(g) If the CumSum statistic exceeds remedy. We may require you to apply (1) If we determine your proposed
the Action Limit in two consecutive the remedy to engines produced earlier design change may not control
tests, the engine family fails the if we determine that the cause of the emissions for the engine’s full useful
production-line testing requirements of failure is likely to have affected the life, we will tell you within five working
this subpart. Tell us within ten working earlier engines. days after receiving your report. In this
days if this happens. You may request (e) You may request to amend the case we will decide whether
to amend the application for application for certification to raise the production-line testing will be enough
certification to raise the FEL of the FEL of the engine family before or after for us to evaluate the change or whether
entire engine family as described in we suspend your certificate if you meet you need to do more testing.
§ 1054.225(f). the requirements of § 1054.225(f). We (2) Unless we require more testing,
(h) If you amend the application for will approve your request if the failure you may show compliance by testing
is not caused by a defect and it is clear production-line engines as described in
certification for an engine family under
that you used good engineering this subpart.
§ 1054.225, do not change any previous
judgment in establishing the original (3) We will issue a new or updated
calculations of sample size or CumSum
FEL. certificate of conformity when you have
statistics for the model year.
§ 1054.330 May I sell engines from an
met these requirements.
§ 1054.320 What happens if one of my engine family with a suspended certificate
production-line engines fails to meet § 1054.345 What production-line testing
of conformity? records must I send to EPA?
emission standards?
You may sell engines that you Do all the following things unless we
(a) If you have a production-line produce after we suspend the engine
engine with final deteriorated test ask you to send us less information:
family’s certificate of conformity under (a) Within 30 calendar days of the end
results exceeding one or more emission § 1054.315 only if one of the following
standards (see § 1054.315(a)), the of each test period, send us a report
occurs: with the following information:
certificate of conformity is automatically (a) You test each engine you produce
suspended for that failing engine. You (1) Describe any facility used to test
and show it complies with emission production-line engines and state its
must take the following actions before standards that apply.
your certificate of conformity can cover location.
(b) We conditionally reinstate the
that engine: (2) State the total U.S.-directed
certificate for the engine family. We may
(1) Correct the problem and retest the production volume and number of tests
do so if you agree to recall all the
engine to show it complies with all for each engine family.
affected engines and remedy any
emission standards. (3) Describe how you randomly
noncompliance at no expense to the
(2) Include in your written report a selected engines.
owner if later testing shows that the
description of the test results and the (4) Describe each test engine,
engine family still does not comply.
remedy for each engine (see § 1054.345). including the engine family’s
(b) You may request to amend the § 1054.335 How do I ask EPA to reinstate identification and the engine’s model
application for certification to raise the my suspended certificate? year, build date, model number,
FEL of the entire engine family at this (a) Send us a written report asking us identification number, and number of
point (see § 1054.225). to reinstate your suspended certificate. hours of operation before testing.
In your report, identify the reason for (5) Identify how you accumulated
§ 1054.325 What happens if an engine noncompliance, propose a remedy for hours of operation on the engines and
family fails the production-line testing the engine family, and commit to a date describe the procedure and schedule
requirements? for carrying it out. In your proposed you used.

(a) We may suspend your certificate of remedy include any quality control (6) Provide the test number; the date,
conformity for an engine family if it fails measures you propose to keep the time and duration of testing; test
under § 1054.315. The suspension may problem from happening again. procedure; initial test results before and
apply to all facilities producing engines (b) Give us data from production-line after rounding; final test results; and
from an engine family, even if you find testing that shows the remedied engine final deteriorated test results for all
tests. Provide the emission results for all (1) A description of all test equipment designed to operate without throttle
measured pollutants. Include for each test cell that you can use to test control at a nominally constant speed
information for both valid and invalid production-line engines. (or a user-selectable speed); see 40 CFR
tests and the reason for any (2) The names of supervisors involved 1065.10 for instructions for using
invalidation. in each test. alternate procedures if following the
(7) Describe completely and justify (3) The name of anyone who specified procedures would result in
any nonroutine adjustment, authorizes adjusting, repairing, emission measurements that do not
modification, repair, preparation, preparing, or modifying a test engine represent in-use emissions.
maintenance, or test for the test engine and the names of all supervisors who (2) Use the fuels and lubricants
if you did not report it separately under oversee this work. specified in 40 CFR part 1065, subpart
this subpart. Include the results of any (4) If you shipped the engine for H, for all the testing we require in this
emission measurements, regardless of testing, the date you shipped it, the part. For service accumulation, use the
the procedure or type of engine. associated storage or port facility, and test fuel or any commercially available
(8) Provide the CumSum analysis the date the engine arrived at the testing fuel that is representative of the fuel that
required in § 1054.315 and the sample- facility. in-use engines will use.
size calculation required in § 1054.310 (5) Any records related to your (3) Perform testing under the ambient
for each engine family. production-line tests that are not in the conditions specified in 40 CFR
(9) Report on each failed engine as written report. 1065.520. Emissions may not be
described in § 1054.320. (6) A brief description of any corrected for the effects of test
(10) State the date the test period significant events during testing not temperature, pressure, or humidity.
ended for each engine family. otherwise described in the written (4) 40 CFR 1065.405 describes how to
(b) We may ask you to add report or in this section. prepare an engine for testing, including
information to your written report so we (7) Any information specified in steps to ensure that emission levels are
can determine whether your new § 1054.345 that you do not include in stabilized. For engine families with a
engines conform with the requirements your written reports. useful life of 300 hours or less, the
of this subpart. (e) If we ask, you must give us a more following provisions apply:
(c) An authorized representative of detailed description of projected or (i) We will not approve a stabilization
your company must sign the following actual production figures for an engine period longer than 12 hours even if you
statement: family. We may ask you to divide your show that emissions are not yet
We submit this report under sections production figures by maximum engine stabilized.
208 and 213 of the Clean Air Act. Our power, displacement, fuel type, or (ii) Identify the number of hours you
production-line testing conformed assembly plant (if you produce engines use to stabilize engines for low-hour
completely with the requirements of 40 at more than one plant). emission measurements. You may
CFR part 1054. We have not changed (f) Keep a list of engine identification consider emissions stable at any point
production processes or quality-control numbers for all the engines you produce less than 12 hours. For example, you
procedures for test engines in a way that under each certificate of conformity. may choose a point at which emission
might affect emission controls. All the Give us this list within 30 days if we ask levels reach a low value before the
information in this report is true and for it. effects of deterioration are established.
accurate to the best of my knowledge. I (g) We may ask you to keep or send (5) Prepare your engines for testing by
know of the penalties for violating the other information necessary to installing a governor that you normally
Clean Air Act and the regulations. implement this subpart. use on production engines, consistent
(Authorized Company Representative) with §§ 1054.235(b) and 1054.505.
(d) Send electronic reports of Subpart E—In-use Testing (6) During testing, supply the engine
production-line testing to the § 1054.401 General provisions.
with fuel in a manner consistent with
Designated Compliance Officer using an how it will be supplied with fuel in use.
We may perform in-use testing of any
approved information format. If you If you sell engines with complete fuel
engine or equipment subject to the
want to use a different format, send us systems and your production engines
standards of this part.
a written request with justification for a will be equipped with a vapor line that
waiver. Subpart F—Test Procedures routes running loss vapors into the
(e) We will send copies of your engine’s intake system, you must
reports to anyone from the public who § 1054.501 How do I run a valid emission measure exhaust emissions using a
asks for them. Section 1054.815 test? complete fuel system representing a
describes how we treat information you (a) Applicability. This subpart is production configuration that sends fuel
consider confidential. addressed to you as a manufacturer, but vapors to the test engine’s intake system
it applies equally to anyone who does in a way that represents the expected in-
§ 1054.350 What records must I keep? testing for you, and to us when we use operation.
(a) Organize and maintain your perform testing to determine if your (c) Special and alternate procedures.
records as described in this section. We engines or equipment meet emission If you are unable to run the test cycle
may review your records at any time. standards. specified in this part for your engine,
(b) Keep paper records of your (b) General requirements. Use the use an alternate test cycle that will
production-line testing for eight years equipment and procedures for spark- result in a cycle-weighted emission
after you complete all the testing ignition engines in 40 CFR part 1065 to measurement equivalent to the expected
required for an engine family in a model determine whether engines meet the average in-use emissions. This cycle
year. You may use any additional exhaust emission standards, as follows: must be approved under 40 CFR
storage formats or media if you like. (1) Measure the emissions of all 1065.10. You may use other special or
(c) Keep a copy of the written reports regulated pollutants as specified in alternate procedures to the extent we
described in § 1054.345. § 1054.505 and 40 CFR part 1065. Note allow them under 40 CFR 1065.10.
(d) Keep the following additional that this subpart F generally specifies (d) Wintertime engines. You may test
records: test procedures for engines that are wintertime engines at the ambient
temperatures specified in 40 CFR nominal speed specified in paragraph (3) The provisions of this paragraph
1065.520, even though this does not (d) of this section or let the installed (d) apply instead of the engine mapping
represent in-use operation for these governor (in the production procedures in 40 CFR 1065.510.
engines (40 CFR 1065.10(c)(1)). configuration) control engine speed. The (e) See 40 CFR part 1065 for detailed
governor may be adjusted before specifications of tolerances and
§ 1054.505 How do I test engines? calculations.
emission sampling to target the nominal
(a) This section describes how to test speed identified in paragraph (d) of this
engines under steady-state conditions. § 1054.520 What testing must I perform to
section, but the installed governor must establish deterioration factors?
For handheld engines you must perform control engine speed throughout the
tests with discrete-mode sampling. For Sections 1054.240 and 1054.245
emission-sampling period whether the
nonhandheld engines we allow you to describe the required methods for
governor is adjusted or not. (Note:
perform tests with either discrete-mode testing to establish deterioration factors
Ramped-modal testing involves
or ramped-modal testing methods. You for an emission family.
continuous sampling, so governor
must use the same modal testing adjustments may not occur during such
method for certification and all other Subpart G—Special Compliance
a test.) Provisions
testing you perform for an engine
family. If we test your engines to (c) During idle mode for nonhandheld
engines, operate the engine with the § 1054.601 What compliance provisions
confirm that they meet emission apply to these engines?
standards, we will use the modal testing following parameters:
(1) Allow the engine to operate at the Engine and equipment manufacturers,
method you select for your own testing. as well as owners, operators, and
We may also perform other testing as idle speed determined by the installed
governor. If any production engines rebuilders of engines subject to the
allowed by the Clean Air Act. Conduct requirements of this part, and all other
duty-cycle testing as follows: from the engine family have a user-
selectable idle speed, operate the engine persons, must observe the provisions of
(1) For discrete-mode testing, sample this part, the requirements and
emissions separately for each mode, with an installed governor that controls
engine speed to the lowest speed setting prohibitions in 40 CFR part 1068, and
then calculate an average emission level the provisions of the Act.
for the whole cycle using the weighting from the engine family.
factors specified for each mode. In each (2) Keep engine torque under 5 § 1054.610 What is the exemption for
mode, operate the engine for at least 5 percent of maximum test torque. delegated final assembly?
minutes, then sample emissions for at (3) You must conduct testing at the (a) The provisions of 40 CFR 1068.260
least 1 minute. Calculate cycle statistics idle mode even if the allowable torque related to delegated final assembly do
for each mode and compare with the values overlap with those for another not apply for handheld engines certified
specified values in 40 CFR 1065.514 to specified mode. under this part 1054. The provisions of
confirm that the test is valid. (d) Establish full-load operating this section apply for nonhandheld
(2) For ramped-modal testing, start parameters for nonhandheld engines as engines instead of the provisions of 40
sampling at the beginning of the first follows: CFR 1068.260 related to delegated final
mode and continue sampling until the assembly.
end of the last mode. Calculate (1) In normal circumstances, select a (b) Shipping an engine separately
emissions and cycle statistics the same test speed of either 3060 rpm or 3600 from emission-related components that
as for transient testing as specified in 40 rpm that is most appropriate for the you have specified as part of its certified
CFR part 1065, subpart G. engine family. If all the engines in the configuration will not be a violation of
(b) Measure emissions by testing the engine family are used in intermediate- the prohibitions in 40 CFR
engine on a dynamometer with the test speed equipment, select a test speed of 1068.101(a)(1) if you follow the
procedures for constant-speed engines 3060 rpm. The test associated with provisions of paragraphs (c) through (e)
in 40 CFR part 1065 while using one of intermediate-speed operation is referred of this section. These provisions apply
the steady-state duty cycles listed in this to as the A Cycle. If all the engines in without request; however, note that
paragraph (b) to determine whether it the engine family are used in rated- engines produced under this section
meets the exhaust emission standards speed equipment, select a test speed of may be subject to higher bond payments
specified in § 1054.101(a). This 3600 rpm. The test associated with under § 1054.690.
requirement applies for all engines, rated-speed operation is referred to as (c) If you do not manufacture the
including those not meeting the the B Cycle. If an engine family includes equipment in which the engine will be
definition of ‘‘constant-speed engine’’ in engines used in both intermediate-speed installed, you must meet all the
40 CFR 1065.1001. equipment and rated-speed equipment, following conditions with respect to
(1) For handheld engines, use the two- select the test speed for emission-data aftertreatment components:
mode duty cycle described in paragraph engines that will result in worst-case (1) Apply for and receive a certificate
(a) of Appendix II of this part. emissions. In unusual circumstances, of conformity for the engine and its
(2) For nonhandheld engines, use the you may ask to use a test speed different emission control system before
six-mode duty cycle or the than that specified in this paragraph shipment.
corresponding ramped-modal cycle (d)(1) if it better represents in-use (2) Provide installation instructions in
described in paragraph (b) of Appendix operation. enough detail to ensure that the engine
II of this part. Control engine speeds and (2) Operate the engine ungoverned at will be in its certified configuration if
torques during idle mode as specified in wide-open throttle at the test speed someone follows these instructions.
paragraph (c) of this section and during established in paragraph (d)(1) of this Provide the installation instructions in a
full-load operating modes as specified section until the engine reaches thermal timely manner, generally directly after
in paragraph (d) of this section. For all stability as described in 40 CFR you receive an order for shipping
other modes, control torque as needed 1065.530(a)(2)(ii). Record the torque engines or earlier. If you apply
to meet the cycle-validation criteria in value after stabilization. Use this value temporary labels as described in
40 CFR 1065.514; control the engine for the full-load torque setting and for paragraph (c)(7)(i) of this section,
speed to within 5 percent of the denormalizing the rest of the duty cycle. include an instruction for the
equipment manufacturer to remove the install the aftertreatment device, or manufacturers, divide all the affected
temporary label after installing the otherwise bring the engine into its equipment manufacturers into quartiles
appropriate aftertreatment component. certified configuration, is a violation of based on the number of engines they
(3) Have a contractual agreement with federal law subject to civil penalty. buy from you; select equal numbers of
each equipment manufacturer obligating (ii) Add the statement ‘‘DELEGATED equipment manufacturers from each
the equipment manufacturer to ASSEMBLY’’ to the permanent emission quartile each model year as much as
complete the engine assembly so it is in control information label. possible. Vary the equipment
its certified configuration when final (iii) Add an alphanumeric code that manufacturers selected for auditing
assembly is complete. The contractual you identify in your application for from year to year, though audits may be
agreement must include a commitment certification to the permanent emission repeated in later model years if you find
that the equipment manufacturer will control information label and include or suspect that a particular equipment
do the following things: additional label features such as manufacturer is not properly installing
(i) Purchase the aftertreatment coloring or shading to ensure that the aftertreatment devices.
components you have specified in your equipment manufacturer will recognize (ii) If you sell engines to fewer than
application for certification. that the engine needs an aftertreatment 48 equipment manufacturers under the
(ii) Provide the affidavits required component to be in its certified provisions of this section, set up a plan
under paragraph (c)(4) of this section. configuration. to perform or arrange for audits of each
(iii) Provide production records that (8) Engine manufacturers must equipment manufacturer on average
demonstrate compliance with your establish an alphanumeric designation once every four model years.
instructions. This may involve records to identify each unique catalyst design (iii) Starting with the 2019 model
to document purchases of aftertreatment (including size, washcoat, precious year, you may ask us to approve a
components. metal loading, supplier, and any other reduced auditing rate if you sell engines
(iv) Perform or allow audits as appropriate factors). Include this to fewer than 120 equipment
described in paragraph (c)(10) of this alphanumeric designation in the manufacturers under the provisions of
section. application for certification as described this section. We may approve an
(4) Take appropriate additional steps in § 1054.205. Engine manufacturers alternate plan that involves performing
to ensure that all engines will be in their must also give instructions as or arranging for audits of each
certified configuration when installed appropriate to ensure that the external equipment manufacturer on average
by the equipment manufacturer. At a surface of the exhaust system includes once every ten model years, as long as
minimum, you must obtain annual stamping or other means to permanently you show that you have met the
affidavits from every equipment display this designation and that it will auditing requirements in preceding
manufacturer to whom you sell engines be readily visible as much as possible years without finding noncompliance or
under this section. The affidavits must when the equipment is fully assembled, improper procedures. You may also ask
identify the part numbers of the consistent with the objective of us to approve a reduced auditing rate
aftertreatment devices (or the verifying the identity of the installed after you have audited all affected
corresponding alphanumeric catalyst. equipment manufacturers at least once.
designation established under paragraph (9) You must have written (iv) To meet these audit requirements,
(c)(8) of this section) that the equipment confirmation that the vehicle you or your agent must at a minimum
manufacturer installs on each engine manufacturer has ordered the either review the equipment
model they purchase from you under appropriate type of aftertreatment manufacturers production records and
this section and include confirmation components for an initial shipment of procedures, inspect the equipment
that the number of aftertreatment engines under this section. For the manufacturer’s production operations,
devices received were sufficient for the purpose of this paragraph, initial or inspect the final assembled products.
number of engines involved. shipment means the first shipment of You or your agent must review the
(5) Describe in your application for engines in a model year to a given available information as needed to
certification how you plan to use the equipment manufacturer for a given demonstrate that the equipment
provisions of this section and any steps engine model. You must receive the manufacturer is complying with your
you plan to take under paragraph (c)(4) written confirmation within 30 days of installation instructions. This must
of this section. shipment. If you do not receive written include confirmation that the number of
(6) Keep records to document how confirmation within 30 days, you may aftertreatment devices shipped was
many engines you produce under this not ship any more engines from that sufficient for the number of engines
exemption. Also, keep records to engine family to that equipment involved. Inspection of final assembled
document your contractual agreements manufacturer until you have the written products may occur at any point in the
under paragraph (c)(3) of this section. confirmation. Note that it may be product distribution system after the
Keep all these records for five years after appropriate to obtain subsequent exemption defined in this section
the end of the model year and make written confirmations to ensure expires. For example, you or your agent
them available to us upon request. compliance with this section, as may inspect products at the equipment
(7) Make sure the engine has the described in paragraph (c)(4) of this manufacturer’s assembly or storage
emission control information label we section. facilities, at regional distribution
require under the standard-setting part. (10) You must perform or arrange for centers, or at retail locations.
Include additional labeling using one of audits of equipment manufacturers as (v) You must keep records of these
the following approaches: follows: audits for five years after the end of the
(i) Apply an additional temporary (i) If you sell engines to 48 or more model year.
label or tag in a way that makes it equipment manufacturers under the (11) In your application for
unlikely that the engine will be installed provisions of this section, you must certification, give a detailed plan for
in equipment other than in its certified annually perform or arrange for audits performing audits as described in
configuration. The label or tag must of twelve equipment manufacturers to paragraph (c)(10) of this section.
identify the engine as incomplete and whom you sell engines under this (12) If one of your engines produced
include a clear statement that failing to section. To select individual equipment under this section is selected for
production-line testing, you must distributor to be your agent in all (j) You are liable for the in-use
arrange to get a randomly selected matters related to compliance with the compliance of any engine that is exempt
aftertreatment component that will be requirements of this section. under this section.
used with the engine; you may not use (2) Without the contractual (k) It is a violation of the Act for any
aftertreatment components from your arrangement specified in paragraph person to introduce into U.S. commerce
own inventory. You may obtain such (g)(2) of this section, a participating a previously exempted engine,
aftertreatment components from any distributor is considered to be the including as part of equipment, without
point in the normal distribution from equipment manufacturer for all complying fully with the installation
the aftertreatment component applicable requirements and instructions.
manufacturer to the equipment prohibitions. Such distributors must (l) [Reserved]
manufacturer. Keep records showing bring engines into their final certified (m) You may ask us to provide a
how you randomly selected these configuration. This may include temporary exemption to allow you to
aftertreatment components, consistent shipping the engine with the complete production of your engines at
with the requirements of § 1054.305. appropriate catalyst and air filter, but different facilities, as long as you
(d) If you manufacture engines and without completing the assembly with maintain control of the engines until
install them in equipment you also all the components. The exemptions they are in their certified configuration.
produce, you must take steps to ensure expire for such engines when the We may require you to take specific
that your facilities, procedures, and distributor no longer has control of steps to ensure that such engines are in
production records are set up to ensure them. their certified configuration before
that equipment and engines are reaching the ultimate purchaser. You
assembled in their proper certified (h) You must notify us within 15 days may request an exemption under this
configurations. You may demonstrate if you find from an audit or another paragraph (m) in your application for
compliance with this requirement by source that engines produced under this certification, or in a separate
maintaining a database showing how section are not in their certified submission.
you pair aftertreament components with configuration at the point of final
the appropriate engines. assembly. If this occurs, send us a report § 1054.612 What special provisions apply
(e) The following provisions apply if within 90 days of the audit describing for equipment manufacturers modifying
the circumstances related to the certified engines?
you ship engines without air filters or
other portions of the air intake system noncompliance. (a) General provisions. If you buy
such that the shipped engine is not in (i) We may suspend, revoke, or void certified nonhandheld engines for
its certified configuration (for example, an exemption under this section, as installation in equipment you produce,
if you identify specific part numbers of follows: but you install the engines such that
air filters needed to ensure that the they use intake or exhaust systems that
(1) We may suspend, revoke, or void
engine will meet emission standards but are not part of the originally certified
your exemption for a specific equipment
do not include those with the shipped configuration, you become the engine
manufacturer if any of the engines are
engine): manufacturer for those engines and
not in their certified configuration after
(1) If you are using the provisions of must certify that they will meet
installation in that manufacturer’s
this section to ship an engine without emission standards. We will allow you
equipment, or if we determine that the
aftertreatment, apply all the provisions to utilize the provisions for simplified
equipment manufacturer has otherwise
of this section to ensure that each certification specified in paragraph (b)
failed to comply with the requirements
engine, including its intake system, is in of this section, as long as your design
of this section.
its certified configuration before it stays within the overall specifications
(2) We may suspend, revoke, or void from the original engine manufacturer
reaches the ultimate purchaser.
(2) If you are not using the provisions your exemption for the entire engine (such as exhaust backpressure) and you
of this section to ship an engine without family if we determine that you have use a catalyst as described in the
aftertreatment, shipping an engine failed to comply with the requirements original engine manufacturer’s
without air-intake components that you of this section. If we make an adverse application for certification.
have specified as part of its certified decision with respect to the exemption (b) Simplified certification. You must
configuration will not be a violation of for any of your engine families under perform testing with an emission-data
the prohibitions in 40 CFR 1068.101(a) this paragraph (i), this exemption will engine to show that you meet exhaust
if you follow the provisions specified in not apply for future certificates unless emission standards; however, you may
paragraphs (c)(1) through (7) of this you demonstrate that the factors causing use the deterioration factor from the
section. If we find there is a problem, the noncompliance do not apply to the original engine manufacturer. The
we may require you to perform audits as other engine families. production-line testing requirements in
specified in paragraph (c)(10) of this (3) We may void your exemption for subpart D of this part do not apply for
section. the entire engine family if you engines certified under this section. You
(f) Once the equipment manufacturer intentionally submit false or incomplete must meet all the other requirements
takes possession of an engine exempted information or fail to keep and provide that apply to engine manufacturers for
under this section and the engine to EPA the records required by this engines subject to standards under this
reaches the point of final equipment section. Note that all records and reports part. The engine’s model year is
assembly, the exemption expires and required under this section (whether determined by its date of final assembly.
the engine is subject to all the generated by the engine manufacturer, The engine family must have the same
prohibitions in 40 CFR 1068.101(a)(1). equipment manufacturer, or others) are useful life value specified by the
(g) You may use the provisions of this subject to the prohibition in 40 CFR original engine manufacturer for that
section for engines you sell to a 1068.101(a)(2), which prohibits the engine. In your application for
distributor, subject to the following submission of false or incomplete certification describe any differences
provisions: information. For example, the affidavits between the original engine
(1) You may establish a contractual required by this section are considered manufacturer’s design and yours and
arrangement in which you designate the a submission. explain why the deterioration data
generated by the original engine § 1054.620 What are the provisions for other noncompetitive purpose. Any use
manufacturer is appropriate for your exempting engines used solely for of exempt engines in recreational events
configuration. competition? is a violation of 40 CFR 1068.101.
(c) Engine exemption. As an engine The provisions of this section apply (f) You must permanently label
manufacturer, you may produce for new engines and equipment built on engines exempted under this section to
nonconforming engines for equipment or after January 1, 2009. clearly indicate that they are to be used
manufacturers as allowed under this (a) We may grant you an exemption only for competition. Failure to properly
section. You do not have to request this from the standards and requirements of label an engine will void the exemption
exemption for your engines, but you this part for a new engine on the for that engine.
must have written assurance from grounds that it is to be used solely for (g) If we request it, you must provide
equipment manufacturers that they need competition. The requirements of this us any information we need to
a certain number of exempted engines part, other than those in this section, do determine whether the engines are used
under this section. Add a label or tag to not apply to engines that we exempt for solely for competition. This would
the engine with at least the following use solely for competition. include documentation regarding the
(b) We will exempt engines that we number of engines and the ultimate
information:
determine will be used solely for purchaser of each engine as well as any
(1) The heading ‘‘EMISSION competition. The basis of our documentation showing an equipment
CONTROL INFORMATION’’. determination is described in manufacturer’s request for an exempted
(2) Your corporate name and paragraphs (c) and (d) of this section. engine. Keep these records for five
trademark. Exemptions granted under this section years.
(3) Engine displacement (in cubic are good for only one model year and
centimeters). you must request renewal for each § 1054.625 What requirements apply under
the Transition Program for Equipment
(4) The following statement: ‘‘THIS subsequent model year. We will not
Manufacturers?
ENGINE IS TEMPORARILY EXEMPT approve your renewal request if we
determine the engine will not be used The provisions of this section allow
FROM EMISSION STANDARDS AND
solely for competition. equipment manufacturers to produce
RELATED REQUIREMENTS UNDER 40
(c) Engines meeting all the following equipment with Class II engines that are
CFR 1054.612.’’.
criteria are considered to be used solely subject to less stringent exhaust
§ 1054.615 What is the exemption for for competition: emission standards after the Phase 3
engines certified to standards for Large SI (1) Neither the engine nor any emission standards begin to apply. To
engines? equipment containing the engine may be eligible to use these provisions, you
(a) An engine is exempt from the be displayed for sale in any public must follow all the instructions in this
requirements of this part if it is in an dealership or otherwise offered for sale section. See § 1054.626 for requirements
emission family that has a valid to the general public. that apply specifically to companies that
certificate of conformity showing that it (2) Sale of the equipment in which the manufacture equipment outside the
meets emission standards and other engine is installed must be limited to United States and to companies that
requirements under 40 CFR part 1048 professional competition teams, import such equipment without
for the appropriate model year. professional competitors, or other manufacturing it. Engines and
(b) The only requirements or qualified competitors. equipment you produce under this
prohibitions from this part that apply to (3) The engine and the equipment in section are exempt from the
an engine that is exempt under this which it is installed must have prohibitions in 40 CFR 1068.101(a)(1)
section are in this section. See performance characteristics that are with respect to exhaust emissions,
paragraph (f) of this section to substantially superior to noncompetitive subject to the provisions of this section.
determine what evaporative models. Equipment exempted under this section
requirements apply for equipment using (4) The engines are intended for use must meet all applicable requirements
these engines. only as specified in paragraph (e) of this related to evaporative emissions, except
section. as described in § 1054.627.
(c) If your engines do not have the (d) You may ask us to approve an (a) General. If you are an equipment
certificate required in paragraph (a) of exemption for engines not meeting the manufacturer, you may introduce into
this section, they will be subject to the criteria listed in paragraph (c) of this U.S. commerce limited numbers of
provisions of this part. Introducing section as long as you have clear and nonroad equipment with Class II
these engines into U.S. commerce convincing evidence that the engines engines exempted under this section.
without a valid exemption or certificate will be used solely for competition. You may use the exemptions in this
of conformity violates the prohibitions (e) Engines are considered to be used section only if you have primary
in 40 CFR 1068.101(a). solely for competition only if their use responsibility for designing and
(d) Engines exempted under this is limited to competition events manufacturing equipment and your
section are subject to all the sanctioned by a state or federal manufacturing procedures include
requirements affecting engines under 40 government agency or another widely installing some engines in this
CFR part 1048. The requirements and recognized public organization with equipment. Consider all U.S.-directed
restrictions of 40 CFR part 1048 apply authorizing permits for participating equipment production in showing that
to anyone manufacturing these engines, competitors. Operation of such engines you meet the requirements of this
anyone manufacturing equipment that may include only competition events or section, including those from any parent
uses these engines, and all other persons trials to qualify for competition events. or subsidiary companies and those from
in the same manner as if these were Authorized attempts to set performance any other companies you license to
nonroad spark-ignition engines above 19 records (and the associated official produce equipment for you. If you
kW. trials) are also considered competition produce a type of equipment that has
(e) Engines exempted under this events. Engines will not be considered more than one engine, count each
section may not generate or use to be used solely for competition if they engine separately. These provisions are
emission credits under this part 1054. are ever used for any recreational or available during the first four model
years that the Phase 3 exhaust emission of engines not certified to new emission (iii) The calendar years in which you
standards apply. standards, do not include these units in expect to use the exemption provisions
(b) Allowances. Calculate how many your count of equipment with exempted of this section.
pieces of equipment with exempted engines under paragraph (g)(2) of this (iv) The name and address of the
engines you may produce under this section. company that produces the engines you
section by determining your total U.S.- (2) If you install engines that are will be using for the equipment
directed production volume of exempted from the Phase 3 standards exempted under this section.
equipment with Class II engines from for any reason, other than for (v) How many pieces of equipment
January 1, 2007 through December 31, equipment-manufacturer allowances with exempted engines you may sell
2009, calculating your annual average under this section, do not include these under this section, as described in
production, and multiplying this total units in your count of equipment with paragraph (b) of this section. Include
by 0.3. The same calculation applies for exempted engines under paragraph your production figures for the period
small-volume equipment manufacturers, (g)(2) of this section. For example, if we from January 1, 2007 through December
except that average annual production is grant a hardship exemption for the 31, 2009, including figures broken down
multiplied by 2.0. For companies with engine manufacturer, you may count by equipment model and calendar year.
no eligible production in a given year, these as compliant engines under this You may send corrected figures with
calculate annual average production section. This paragraph (d)(2) applies lower production volumes anytime after
based only on those years in which you only if the engine has a permanent label your initial notification. To make a
produce equipment with Class II describing why it is exempted from the correction for higher production
engines for sale in the United States. Phase 3 standards. volumes, send us the corrected figures
Use these allowances for equipment (e) Standards. If you produce by September 30, 2010. We may ask you
using model year 2011 and later Class equipment with exempted engines to give us additional information to
II engines. You may use these under this section, the engines must confirm your production figures.
allowances for equipment you produce meet the Phase 2 emission standards (2) For each year that you use the
before December 31, 2014. specified in 40 CFR part 90. provisions of this section, send the
(c) Access to exempted engines. You (f) Equipment labeling. You must add Designated Compliance Officer and the
may use one of the following a permanent label, written legibly in Designated Enforcement Officer a
approaches to get exempted engines English, to the engine or another readily written report by March 31 of the
under this section: visible part of each piece of equipment following year. Identify in your report
(1) Request a certain number of how many pieces of equipment with
with exempted engines you produce
exempted Class II engines from the exempted engines you sold in the
under this section. This label, which
engine manufacturer as described in preceding year, based on actual U.S.-
supplements the engine manufacturer’s
paragraph (j)(1) of this section. directed production information. If you
emission control information label,
(2) You may make arrangements with produce equipment in the 2010 calendar
must include at least the following
the engine manufacturer to receive an year with exempted engines from the
items:
engine without an exhaust system and 2011 model year, include these units in
install exhaust systems without (1) The label heading ‘‘EMISSION
CONTROL INFORMATION’’. your March 31, 2012 report. Also
aftertreatment that would otherwise be identify cumulative figures describing
required to meet Phase 3 standards, as (2) Your corporate name and
trademark. how many pieces of equipment with
described in paragraph (j)(2) of this exempted engines you have produced
section. You must follow the engine (3) The calendar year in which the
equipment is manufactured. for all the years you used the provisions
manufacturer’s instructions for of this section.
installing noncatalyzed mufflers. You (4) The name, e-mail address, and
(3) If you send your initial notification
must keep records to show which phone number of a person to contact for
under paragraph (g)(1) of this section
engines you modify as described in this further information.
after the specified deadline, we may
paragraph (c)(2) and make them (5) The following statement: THIS approve your use of allowances under
available to the engine manufacturer for EQUIPMENT [or identify the type of this section. In your request, describe
any auditing under the provisions of equipment] HAS AN ENGINE THAT why you were unable to meet the
§ 1054.610. If you do not place the label MEETS U.S. EPA EMISSION deadline.
we specify in paragraph (f) of this STANDARDS UNDER 40 CFR 1054.625. (h) Recordkeeping. Keep the following
section adjacent to the engine (g) Notification and reporting. You records of all equipment with exempted
manufacturer’s emission control must notify us of your intent to produce engines you produce under this section
information label, you must place an equipment under the provisions of this until at least December 31, 2019:
additional permanent label as close as section and send us an annual report to (1) The model number for each piece
possible to the engine’s emission control verify that you are not exceeding the of equipment.
information label where it will be production limits for equipment with (2) Detailed figures for determining
readily visible in the final installation exempted engines, as follows: how many pieces of equipment with
with at least the following items: (1) Send the Designated Compliance exempted engines you may produce
(i) Your corporate name and Officer and the Designated Enforcement under this section, as described in
trademark. Officer a written notice of your intent by paragraph (b) of this section.
(ii) The following statement: ‘‘THIS June 30, 2010 including all the (3) The notifications and reports we
ENGINE MEETS PHASE 2 STANDARDS following: require under paragraph (g) of this
UNDER § 1054.625(c)(2).’’. (i) Your company’s name and address, section.
(d) Inclusion of engines not subject to and your parent company’s name and (i) Enforcement. Producing more
Phase 3 standards. The following address, if applicable. Also identify the exempted engines or equipment than we
provisions apply to engines that are not names of any other companies operating allow under this section or installing
subject to Phase 3 standards: under the same parent company. engines that do not meet the emission
(1) If you use the provisions of 40 CFR (ii) Whom to contact for more standards of paragraph (e) of this section
1068.105(a) to use up your inventories information. violates the prohibitions in 40 CFR
1068.101(a)(1). You must give us the assembled engine will meet the (a) As a foreign equipment
records we require under this section if emission standards specified in manufacturer, you or someone else may
we ask for them (see 40 CFR paragraph (e) of this section. You may import equipment with exempted
1068.101(a)(2)). identify an appropriate range of engines under this section if you
(j) Provisions for engine backpressures, but this may not involve comply with the provisions in
manufacturers. As an engine any instructions related to changing the § 1054.625 and commit to the following:
manufacturer, you may produce fuel system for different fueling rates. (1) Give any EPA inspector or auditor
exempted engines without request (iv) If your engine family generates complete and immediate access to
under this section using one of the exhaust emission credits under subpart inspect and audit, as follows:
following approaches: H of this part, you must multiply the (i) Inspections and audits may be
(1) The provisions of this paragraph credits calculated under § 1054.705 by announced or unannounced.
(j)(1) apply if you do not use the 0.9. This is based on the expectation (ii) Inspections and audits may be
delegated-assembly provisions of performed by EPA employees or EPA
that equipment manufacturers will
§ 1054.610 for any of the engines in an contractors.
modify 10 percent of the engines to no
engine family. You must have written (iii) You must provide access to any
longer meet Phase 3 standards.
assurance from equipment location where—
manufacturers or your authorized (k) Additional exemptions for mid- (A) Any nonroad engine, equipment,
distributors that they need a certain sized companies. If your average annual or vehicle is produced or stored.
number of exempted engines under this production of equipment with Class II (B) Documents related to
section. Keep these records for at least engines as described in paragraph (b) of manufacturer operations are kept.
five years after you stop producing this section is between 5,000 and 50,000 (C) Equipment, engines, or vehicles
engines under this section. The engines units, you may request additional are tested or stored for testing.
must meet the emission standards in engine allowances under this section. (iv) You must provide any documents
paragraph (e) of this section and you To do this, notify us by January 31, 2010 requested by an EPA inspector or
must meet all the requirements of 40 if you believe the provisions of this auditor that are related to matters
CFR 1068.265. You must label the section will not allow you to sell certain covered by the inspections or audit.
engines using one of the following equipment models starting in the 2011 (v) EPA inspections and audits may
approaches: model year. In your notification, show include review and copying of any
(i) Meet the labeling requirements in us that you will be able to produce a documents related to demonstrating
40 CFR 90.114, but add the following number of Class II equipment models compliance with the exemptions in
statement instead of the compliance representing at least half your total U.S.- § 1054.625.
statement in 40 CFR 90.114(b)(7): THIS directed production volume in the 2011 (vi) EPA inspections and audits may
ENGINE MEETS U.S. EPA EMISSION model year that will be compliant with include inspection and evaluation of
STANDARDS UNDER 40 CFR 1054.625 all Phase 3 exhaust and evaporative complete or incomplete equipment,
AND MUST BE USED ONLY UNDER emission standards. Also describe why engines, or vehicles, and interviewing
THOSE FLEXIBILITY PROVISIONS. you need more allowances under this employees.
(ii) Meet the labeling requirements in section to accommodate anticipated (vii) You must make any of your
§ 1054.135 for Phase 3 engines and add changes in engine designs resulting employees available for interview by the
the separate label described in from engine manufacturers’’ compliance EPA inspector or auditor, on request,
paragraph (c)(2) of this section. with changing exhaust emission within a reasonable time period.
(2) The following provisions apply if standards. Include a proposal for the (viii) You must provide English
you notify us that you plan to use the number of additional allowances you language translations of any documents
delegated-assembly provisions of would need, with supporting rationale. to an EPA inspector or auditor, on
§ 1054.610 for one or more equipment We may approve allowances up to a request, within 10 working days.
manufacturers for an engine family: total of 100 percent of the average (ix) You must provide English-
(i) Include test data in your annual U.S.-directed production volume language interpreters to accompany EPA
application for certification showing you report under paragraph (b) of this inspectors and auditors, on request.
that your engines will meet the section (in place of the 30 percent that (2) Name an agent for service located
standards specified in paragraph (e) of is otherwise allowed). in the United States. Service on this
this section if they have a noncatalyzed agent constitutes service on you or any
muffler in place of the aftertreatment § 1054.626 What special provisions apply of your officers or employees for any
to equipment imported under the Transition
that is part of the certified configuration. action by EPA or otherwise by the
Program for Equipment Manufacturers?
This may be based on emission United States related to the
measurements from previous model This section describes requirements requirements of this part.
years if the data is still appropriate for that apply to equipment manufacturers (3) The forum for any civil or criminal
the current engine configuration. using the provisions of § 1054.625 for enforcement action related to the
(ii) Produce all your engines with the equipment produced outside the United provisions of this section for violations
emission control information label we States. Note that § 1054.625 limits these of the Clean Air Act or regulations
specify in § 1054.135. The engines must provisions to equipment manufacturers promulgated thereunder shall be
also have the label we specify in that install some engines and have governed by the Clean Air Act.
§ 1054.610(c)(7), with additional primary responsibility for designing and (4) The substantive and procedural
information summarizing the equipment manufacturing equipment. Companies laws of the United States shall apply to
manufacturers obligations under that import equipment into the United any civil or criminal enforcement action
paragraph (c)(2) of this section. States without meeting these criteria are against you or any of your officers or
(iii) Include in the installation not eligible for allowances under employees related to the provisions of
instructions required under § 1054.610 § 1054.625. Such importers may import this section.
any appropriate instructions or equipment with exempted engines only (5) Provide the notification required
limitations on installing noncatalyzed as described in paragraph (b) of this by § 1054.625(g). Include in the notice
mufflers to ensure that the fully section. of intent in § 1054.625(g)(1) a
commitment to comply with the Compliance Officer and the Designated § 1054.630 What provisions apply for
requirements and obligations of Enforcement Officer a written notice of importation of individual items for personal
§ 1054.625 and this section. This your intent, including: use?
commitment must be signed by the (i) Your company’s name and address, (a) Any individual may import
owner or president. and your parent company’s name and previously used nonconforming engines
(6) You, your agents, officers, and address, if applicable. for purposes other than resale, but no
employees must not seek to detain or to (ii) The name and address of the more than once in any five-year period.
impose civil or criminal remedies companies that produce the equipment This may include up to three
against EPA inspectors or auditors, and engines you will be importing nonconforming engines imported at the
whether EPA employees or EPA under this section. same time. To import engines under this
contractors, for actions performed (iii) Your best estimate of the number section, provide to the Customs official
within the scope of EPA employment of units you will import under this the following information:
related to the provisions of this section. section in the upcoming calendar year, (1) Identify your name, address, and
(7) By submitting notification of your broken down by equipment telephone number.
intent to use the provisions of manufacturer. (2) If you are importing engines under
§ 1054.625, producing and exporting for (2) For each year that you use the this section on behalf of another person,
resale to the United States nonroad provisions of this section, send the identify the ultimate engine owner’s
equipment under this section, or taking Designated Compliance Officer and the name, address, and telephone number.
other actions to comply with the Designated Enforcement Officer a (3) Identify the total number of
requirements of this part, you, your written report by March 31 of the engines you are importing and specify
agents, officers, and employees, without following year. Include in your report the make, model, identification number,
exception, become subject to the full the total number of engines you and original production year of each
operation of the administrative and imported under this section in the engine.
judicial enforcement powers and (4) State: ‘‘I am importing these
preceding calendar year, broken down
provisions of the United States as previously used engines for personal
by engine manufacturer and by
described in 28 U.S.C. 1605(a)(2), use. I have not imported any engines
equipment manufacturer.
without limitation based on sovereign under the provisions of 40 CFR
immunity, for conduct that violates the § 1054.627 How does the Transition 1054.630 within the previous five years.
requirements applicable to you under Program for Equipment Manufacturers I am not importing these engines for
this part 1054—including such conduct relate to evaporative emissions? purpose of resale. I authorize EPA
that violates 18 U.S.C. 1001, 42 U.S.C. The provisions of this section allow enforcement officers to inspect my
7413(c)(2), or other applicable equipment manufacturers to produce engines and my facilities as permitted
provisions of the Clean Air Act—with equipment that does not comply with by the Clean Air Act.’’.
respect to actions instituted against you certain requirements related to (b) We may require you to send us
and your agents, officers, and employees evaporative emissions in conjunction additional information, but you do not
in any court or other tribunal in the with the Transition Program for need written approval from us to import
United States. Equipment Manufacturers in § 1054.625. engines under this section. We will also
(8) Any report or other document you (a) You may use the provisions of this not require a U.S. Customs Service bond
submit to us must be in the English section only after you have used up any for engines you import under this
language, or include a complete available allowances under section.
translation in English. § 1054.145(e). (c) The provisions of this section may
(9) You must post a bond to cover any (b) For any equipment using Class II not be used to circumvent emission
potential enforcement actions under the engines that you produce under the standards that apply to new engines
Clean Air Act before you or anyone else flexibility provisions of § 1054.625, the under this part. For example, you may
imports your equipment with exempted following special provisions apply with not purchase new engines and use them
engines under this section, as specified respect to evaporative emissions: in a trivial manner outside of the United
in § 1054.690. Use the bond amount (1) You may use rotation-molded fuel States to qualify for importation under
specified in § 1054.690 without tanks that do not meet requirements this section.
(d) If you violate the provisions of this
adjusting for inflation. Note that you related to the fuel tank permeation
section, or submit false information to
may post a single bond to meet the standards specified in § 1054.110. You
obtain this exemption, you will be
requirements of this section and may not apply the provisions of this
subject to civil penalties as specified in
§ 1054.690 together. paragraph (b)(1) to fuel tanks that are
(b) The provisions of this paragraph 40 CFR 1068.101(a)(2) and (b)(5).
not rotation-molded.
(b) apply to importers that do not install (2) You may produce equipment that § 1054.635 What special provisions apply
engines into equipment and do not have does not meet requirements related to for small-volume engine and equipment
primary responsibility for designing and the running loss standard specified in manufacturers?
manufacturing equipment. Such § 1054.110. This section describes how we apply
importers may import equipment with (3) If you use the provisions of this the special provisions in this part for
engines exempted under § 1054.625 section, add the following statement to small-volume engine and equipment
only if each engine is exempted under the label specified in § 1054.625(f): manufacturers.
an allowance provided to an equipment THIS EQUIPMENT [or identify the (a) If you qualify under paragraph (1)
manufacturer meeting the requirements type of equipment] IS EXEMPT FROM or (2) of the definition of small-volume
of § 1054.625 and this section. You must [fuel tank permeation or running loss engine manufacturer or under paragraph
notify us of your intent to use the standards, as applicable] UNDER 40 (1) or (2) of the definition small-volume
provisions of this section and send us CFR 1054.627. equipment manufacturer in § 1054.801,
an annual report, as follows: (c) You may not use the provisions of the small-volume provisions apply as
(1) Before January 1 of the first year this section for equipment that you do specified in this part.
you intend to use the provisions of this not produce under the flexibility (b) If you are a small business (as
section, send the Designated provisions of § 1054.625. defined by the Small Business
Administration at 13 CFR 121.201) that certificate of conformity. We may procedures for modifying engines
manufactures nonroad spark-ignition specify alternate certification provisions (including part numbers of the parts you
engines or equipment, but you do not consistent with the requirements of this install), and a description of the
qualify under paragraph (1) or (2) of the part. reasonable technical basis described in
definition of small-volume engine (c) Engines may be certified as paragraph (b)(1) of this section. Keep
manufacturer or under paragraph (1) or required in this section based on the these records for five years after you
(2) of the definition of small-volume certification procedures for new engines modify the engines. Store these records
equipment manufacturer in § 1054.801, or on those for aftermarket parts in any format and on any media, as long
you may ask us to designate you to be specified in 40 CFR part 85, subpart V. as you can promptly send us organized,
a small-volume engine or equipment written records in English if we ask for
§ 1054.650 What special provisions apply
manufacturer. You may do this whether them. You must keep these records
for adding or changing governors?
you began manufacturing engines readily available. We may review them
before, during, or after 2007. We may set The special provisions in this section at any time.
other reasonable conditions that are apply for engines that will not have
consistent with the intent of this section constant-speed governors when § 1054.655 What special provisions apply
installed in equipment. Paragraph (a) of to installing and removing altitude kits?
and the Act.
(c) If you use any of the provisions of this section also applies for any engines (a) An action for the purpose of
this part that apply specifically to small- shipped without installed governors. installing or removing altitude kits and
volume manufacturers and we find that (a) The representative-testing performing other changes to compensate
you exceed the production limits or requirements of 40 CFR 1065.10(c)(1) for changing altitude is not considered
otherwise do not qualify as a small- related to in-use duty cycles do not a prohibited act under 40 CFR
volume manufacturer, we may consider apply to engines you produce and ship 1068.101(b), as long as it is done
you to be in violation of the without constant-speed governors if you consistent with the provisions of this
requirements that apply for companies comply with all the following section.
that are not small-volume manufacturers requirements: (b) You may install or remove an
(1) You must have test data showing altitude kit as long as you are using
for those engines produced in excess of
that the effectiveness of the engine’s replacement parts that are specified in
the specified production limits.
emission controls over the expected the engine manufacturer’s application
§ 1054.640 What special provisions apply range of in-use operation will be similar for certification.
to branded engines? to that measured over the specified duty
cycle. Alternatively, if your emission § 1054.660 What are the provisions for
The following provisions apply if you
controls depend on maintaining a exempting emergency rescue equipment?
identify the name and trademark of
another company instead of your own consistent air-fuel ratio, you may The provisions of this section apply
on your emission control information demonstrate that the engine is calibrated for new equipment built on or after
label, as provided by § 1054.135(c)(2): to maintain a consistent air-fuel ratio January 1, 2009.
(a) You must have a contractual over the expected range of in-use (a) Equipment manufacturers may
agreement with the other company that operation. introduce into U.S. commerce
obligates that company to take the (2) Describe in your application for equipment that is not certified to
following steps: certification the data and analysis that current emission standards under the
(1) Meet the emission warranty supports your conclusion. following conditions if the equipment
requirements that apply under (b) As a distributor or equipment will be used solely in emergency rescue
§ 1054.120. This may involve a separate manufacturer, it is not a violation of the situations:
agreement involving reimbursement of tampering provisions in 40 CFR (1) You must determine annually that
warranty-related expenses. 1068.101(b)(1) for you to remove a no engines certified to current emission
(2) Report all warranty-related constant-speed governor that is covered standards are available to power the
information to the certificate holder. by a certificate of conformity, as long as equipment safely and practically. We
(b) In your application for you meet all the following requirements: may review your records supporting this
certification, identify the company (1) You must have a reasonable determination at any time.
whose trademark you will use and technical basis for believing that the (2) You may not use exempted
describe the arrangements you have effectiveness of the modified engine’s engines to power generators, alternators,
made to meet your requirements under emission controls over the expected compressors, or pumps.
this section. range of in-use operation will be similar (3) If engines that meet less stringent
(c) You remain responsible for to that measured over the specified duty emission standards are capable of
meeting all the requirements of this cycle. This may require that you have powering your equipment safely and
chapter, including warranty and defect- test data. You are not required to apply practically, you must use them as a
reporting provisions. for a new certificate of conformity. condition of this exemption. You must
(2) You must notify the engine use available engines meeting the most
§ 1054.645 What special provisions apply manufacturer before modifying the stringent standards feasible.
for converting an engine to use an alternate engine. You must follow any (4) You must send the engine
fuel? instructions from the engine manufacturer a written request for each
(a) Converting a certified new engine manufacturer related to the emission exempted equipment model.
to run on a different fuel violates 40 control system. (5) You must notify the Designated
CFR 1068.101(a)(1) if the modified (3) You may not make any other Compliance Officer of your intent to use
engine is not covered by a certificate of changes to the engine that would the provisions of this section. We may
conformity. remove it from its certified require you to notify us annually or to
(b) Converting a certified engine that configuration. send us annual reports describing how
is not new to run on a different fuel (4) You must keep record of the you meet the conditions of this section.
violates 40 CFR 1068.101(b)(1) if the number of engines you modify in each (b) For the purposes of this section,
modified engine is not covered by a model year, a description of your ‘‘emergency rescue situations’’ means
firefighting or other situations in which (a) Prior to introducing engines into ‘‘Companies Holding Certificates of
a person is retrieved from imminent U.S. commerce, you must post a bond Authority as Acceptable Sureties on
danger. to cover any potential compliance or Federal Bonds and as Acceptable
(c) As an engine manufacturer, you enforcement actions under the Clean Air Reinsuring Companies’’ (http://
may produce exempt engines under this Act unless you demonstrate to us that www.fms.treas.gov/c570/
section without our prior approval if you will meet any compliance-or c570.html#certified). You must maintain
you have a written request for an enforcement-related obligations. For this bond for 5 years.
exempted engine for use in emergency example, it would be a sufficient (d) If you forfeit some or all of your
rescue equipment from the equipment demonstration if you show that you bond in an enforcement action, you
manufacturer. You must permanently have manufactured or imported engines must post any appropriate bond for
label engines exempted under this for the U.S. market for a significant continuing sale within 90 days after you
section to clearly indicate that they are period of time without failing a test forfeit the bond amount.
to be used solely for emergency rescue conducted by EPA officials or having (e) You will forfeit the proceeds of the
equipment. Failure to properly label an been found by the EPA not to be in bond posted under this section if you
engine will void the exemption. compliance with applicable regulations. need to satisfy any United States
(d) We may discontinue an exemption (b) The value of the bond is based on administrative final order or judicial
under this section if we find that the per-engine bond values shown in judgment against you arising from your
engines are not used solely for Table 1 of this section and on the U.S.- conduct in violation of this chapter,
emergency rescue equipment or if we directed production volume from each including such conduct that violates 18
find that a certified engine is available displacement grouping for the calendar U.S.C. 1001, 42 U.S.C. 7413(c)(2), or
to power the equipment safely and year. For example, if you have projected other applicable provisions of the Clean
practically. U.S.-directed production volumes of Air Act.
10,000 engines with 180 cc (f) This paragraph (f) applies if you
§ 1054.685 What are my recall displacement and 5,000 engines with sell, or import for resale, engines that
responsibilities? 400 cc displacement in 2013, the have been certified by someone else (or
(a) You are responsible to meet all appropriate bond amount is $500,000. equipment containing such engines).
applicable recall requirements in 40 Adjust the value of the bond as follows: (1) You and the certificate holder are
CFR 1068, subpart F. You must also (1) If your estimated or actual U.S.- each responsible for compliance with
meet the additional requirements of this directed production volume in any later the requirements of this part and the
section. calendar year increases beyond the level Clean Air Act. For example, we may
(b) You must demonstrate at the time appropriate for your current bond require you to comply with the warranty
of certification that you will be able to payment, you must post additional bond requirements in the standard-setting
meet these requirements. Except as to reflect the increased volume within part.
allowed in paragraph (c) of this section, 90 days after you change your estimate (2) You do not need to post bond if
your demonstration must include at or determine the actual production the certificate holder complies with the
least one of the following: volume. You may not decrease your bond requirements of this section.
(1) You have assembly facilities in the bond.
United States that are available for (2) The per-engine bond values listed § 1054.695 What restrictions apply to
processing recall repairs. are in 2008 dollars. Adjust these values assigning a model year to imported engines
in 2010 and later calendar years by and equipment?
(2) You have a repair network in the
United States capable of processing comparing the Consumer Price Index This section includes limitations on
recall repairs. To qualify under this values published by the Bureau of Labor assigning a model year to engines and
paragraph (b)(2), you must have at least Statistics for the preceding June and equipment that are imported in a year
100 authorized repair facilities in the June 2008 (see ftp://ftp.bls.gov/pub/ later than the model year in which they
United States or at least one such special.requests/cpi/cpiai.txt). Round were manufactured, except as specified
facility for each 5000 engines you sell in calculated values to the nearest dollar. in paragraph (e) of this section.
the United States, whichever is less. (3) If you sell engines without (a) The term ‘‘model year’’ is defined
(c) If you do not have the assembly or aftertreatment components under the in each of the standard-setting parts.
repair facilities required under provisions of § 1054.610, you must These definitions may vary slightly to
paragraph (b) of this section, you may increase the per-engine bond values for address the different categories of
instead rely on independent contractors the current year by 20 percent. Round engines and equipment. Except as
that you name in your application for calculated values to the nearest dollar. specified in paragraphs (b) and (c) of
certification to perform recalls, but you this section, the emission standards and
must provide assurance that you can TABLE 1 TO § 1054.690—PER-ENGINE other emission-related requirements that
fulfill recall obligations, such as posting BOND VALUES apply for an imported engine or piece of
bond. equipment are determined by the model
For engines with displace- The per-en- year as defined in the applicable
§ 1054.690 What are the bond ment falling in the following gine bond standard-setting part and the provisions
requirements for importing certified ranges. . . value is . . . of 40 CFR 1068.105(a).
engines and equipment? (b) This paragraph (b) applies for the
Disp. < 225 cc ...................... $25
As specified in this section, we are 225 ≤ Disp. < 740 cc ............ 50 importation of new engines and new
considering whether to require you to 740 ≤ Disp. ≤ 1,000 cc ......... 100 equipment in any calendar year that is
post a bond if you introduce into U.S. Disp. > 1,000 cc ................... 200 more than one year after the named
commerce engines that are subject to the model year of the engine or equipment
standards of this part. See paragraph (f) (c) You may meet the bond where emission requirements applying
of this section for the requirements requirements of this section by to current engines are different than for
related to selling or importing engines obtaining a bond from a third-party engines or equipment in the named
that have been certified by someone surety that is cited in the U.S. model year. Regardless of what other
else. Department of Treasury Circular 570, provisions of this subchapter U specify
for the model year of the engine or (b) The definitions of subpart I of this engines with displacement below 80 cc
equipment, such engines and equipment part apply to this subpart. The following are presumed to be handheld engines.
are deemed to have an applicable model definitions also apply: You may treat these as nonhandheld
year no more than one year earlier than (1) Actual emission credits means engines for calculating exhaust or
the calendar year in which they are emission credits you have generated evaporative emission credits only for
being imported. For example, a new that we have verified by reviewing your those engines you can demonstrate will
engine identified as a 2007 model-year final report. be installed in nonhandheld equipment.
product that is imported on January 31, (2) Averaging set means a set of For example, if 50 percent of engines in
2010 will be treated as a 2009 model- engines (or equipment) in which an emission family will be used in
year engine; the same engine will be emission credits may be exchanged only nonhandheld equipment, you may
treated as a 2010 model-year engine if with other engines (or equipment) in the calculate the emission credits for 50
it is imported any time in calendar year same averaging set. percent of the engines to be
2011. (3) Broker means any entity that nonhandheld credits using the
facilitates a trade of emission credits appropriate calculation methods.
(c) If you claim that an engine or piece between a buyer and seller. (d) You may not generate evaporative
of equipment is not subject to (4) Buyer means the entity that credits based on permeation
standards—or is subject to standards receives emission credits as a result of measurements from metal fuel tanks.
less stringent than those currently in a trade. (e) You may not use emission credits
place—based on its original (5) Family means engine family for generated under this subpart to offset
manufacture date because it has already exhaust credits or emission family for any emissions that exceed an FEL or
been placed into service, you must evaporative credits. standard. This applies for all testing,
provide clear and convincing evidence (6) Reserved emission credits means including certification testing, in-use
that it has already been placed into emission credits you have generated testing, selective enforcement audits,
service. Such evidence must generally that we have not yet verified by and other production-line testing.
include, but not be limited to, reviewing your final report. However, if exhaust emissions from an
documentary evidence of purchase and (7) Seller means the entity that engine exceed an exhaust FEL or
maintenance history and visible wear provides emission credits during a standard (for example, during a
that is consistent with the reported trade. selective enforcement audit), you may
manufacture date. Importing products (8) Standard means the emission use emission credits to recertify the
for resale or importing more than one standard that applies under subpart B of family with a higher FEL that applies
engine or piece of equipment at a time this part for engines or fuel-system only to future production.
would generally require a greater degree components not participating in the (f) Emission credits may be used in
of evidence under this paragraph (c). If ABT program of this subpart. the model year they are generated
you do not satisfactorily demonstrate (9) Trade means to exchange emission (averaging) and in future model years
that the engine has already been placed credits, either as a buyer or seller. (banking). Emission credits may not be
into service, the provisions of paragraph (c) The use of emission credits is used for past model years.
(b) of this section apply. limited to averaging sets, as follows: (g) You may increase or decrease an
(d) Nothing in this section should be (1) You may not average or exchange exhaust FEL during the model year by
interpreted to allow circumvention of exhaust credits with evaporative credits, amending your application for
the requirements of this part by or vice versa. certification under § 1054.225.
misstating or mislabeling the model year (2) Handheld engines and
nonhandheld engines are in separate § 1054.705 How do I generate and
of engines or equipment. For example, calculate exhaust emission credits?
this section does not permit engines averaging sets with respect to exhaust
emissions except as specified in The provisions of this section apply
imported in the same year as for calculating exhaust emission credits.
manufactured to be treated as an engine § 1054.740(e). You may use emission
credits generated under 40 CFR part 90 You may generate exhaust emission
manufactured in the previous year. To credits only if you are a certifying
verify compliance with the provisions of for handheld engines subject to the
standards in § 1054.103 only if you can engine manufacturer.
this section, we may require you to (a) For each participating family,
verify the original manufacture date of demonstrate that those credits were
generated by handheld engines, except calculate positive or negative emission
the engine or equipment based on credits relative to the otherwise
manufacturing records, title-transfer as specified in § 1054.740(e). You may
use emission credits generated under 40 applicable emission standard. Calculate
documents, service records, or other positive emission credits for a family
documentation. CFR part 90 for nonhandheld engines
only if you can demonstrate that those that has an FEL below the standard.
(e) If all the current emission credits were generated by nonhandheld Calculate negative emission credits for a
requirements are the same as in the engines, subject to the provisions of family that has an FEL above the
named model year, the provisions of § 1054.740. standard. Sum your positive and
this section do not apply. (3) Equipment using handheld negative credits for the model year
engines, Class I engines, and Class II before rounding. Round calculated
Subpart H—Averaging, Banking, and engines are in separate averaging sets emission credits to the nearest kilogram
Trading for Certification with respect to evaporative emissions. (kg), using consistent units throughout
You may not average or exchange the following equation:
§ 1054.701 General provisions. Emission credits (kg) = (Std¥FEL) ×
evaporative credits between any of these
(a) You may average, bank, and trade averaging sets. (Volume) × (Power) × (UL) × (LF) ×
(ABT) emission credits for purposes of (4) You may combine evaporative (10¥3)
certification as described in this subpart emission credits for fuel tanks and fuel Where:
to show compliance with the standards lines for handheld equipment. Std = the emission standard, in g/kW-hr.
of this part. Participation in this (5) For purposes of calculating FEL = the family emission limit for the
program is voluntary. emission credits under this subpart, family, in g/kW-hr.
Volume = the number of engines eligible to (a) For each participating family, (d) To qualify for generating emission
participate in the averaging, banking, calculate positive or negative emission credits with fuel lines for cold-weather
and trading program within the given credits relative to the otherwise equipment, the FEL must be at or below
family during the model year, as
described in paragraph (c) of this section.
applicable emission standard. Calculate 15 g/m2/day. Calculate positive
Power = the maximum modal power of the positive emission credits for a family emission credits under this section
emission-data engine as calculated from that has an FEL below the standard. relative to an emission standard of 15 g/
the applicable test procedure described Calculate negative emission credits for a m2/day. Calculate negative emission
in subpart F of this part, in kilowatts. family that has an FEL above the credits under this section relative to an
UL = the useful life for the given family, in standard. Sum your positive and emission standard of 175 g/m2/day.
hours. negative credits for the model year (e) In your application for
LF = load factor. Use 0.47 for nonhandheld certification, base your showing of
before rounding. Round calculated
engines and 0.85 for handheld engines.
We may specify a different load factor if emission credits to the nearest kilogram compliance on projected production
we approve the use of special test (kg), using consistent units throughout volumes for engines intended for sale in
procedures for an engine family under 40 the following equation: the United States. As described in
CFR 1065.10(c)(2), consistent with good Emission credits (kg) = (Std¥FEL) × § 1054.730, compliance with the
engineering judgment. (Total Area) × (UL) × (AF) × (365) requirements of this subpart is
(b) [Reserved] × (10¥3) determined at the end of the model year
(c) In your application for based on actual production volumes for
Where: engines intended for sale in the United
certification, base your showing of
Std = the emission standard, in g/m2/day. States. Do not include any of the
compliance on projected production
FEL = the family emission limit for the following equipment to calculate
volumes for engines intended for sale in family, in g/m2/day, as described in
the United States. As described in paragraph (b) of this section.
emission credits:
§ 1054.730, compliance with the Total Area = The combined internal surface (1) Equipment exempted under
requirements of this subpart is area of all fuel tanks or fuel lines in the subpart G of this part or under 40 CFR
determined at the end of the model year family, in m2. part 1068.
based on actual production volumes for UL = the useful life for the given family, in (2) Equipment intended for export.
engines intended for sale in the United years. (3) Equipment that is subject to state
States. AF = adjustment factor. Use 0.60 for fuel tank emission standards for that model year.
Do not include any of the following permeation testing performed at 40 °C; However, this restriction does not apply
use 1.0 for all other testing. if we determine that the state standards
engines or equipment to calculate
emission credits: (b) For calculating credits under and requirements are equivalent to
(1) Engines exempted under subpart G paragraph (a) of this section, determine those of this part and that equipment
of this part or under 40 CFR part 1068. the FEL for fuel lines based on sold in such a state will not generate
(2) Engines intended for export, measured emission levels. Determine credits under the state program. For
unless there is reason to believe that the the FEL for fuel tanks using any of the example, you may not include
engines will be later imported into the following values: equipment certified for California if it
United States after installation in (1) The FEL to which the fuel tank is has more stringent emission standards
equipment. certified, as long as the FEL is at or for these equipment or that equipment
(3) Engines that are subject to state below 3.0 g/m2/day. generates or uses emission credits under
emission standards for that model year. (2) 10.4 g/m2/day. However, if you the California program.
However, this restriction does not apply use this value to establish the FEL for (4) Equipment not subject to the
if we determine that the state standards any of your fuel tanks, you must use this requirements of this part, such as those
and requirements are equivalent to value to establish the FEL for every tank excluded under § 1054.5.
those of this part and that engines sold (5) Any other equipment, where we
not covered by paragraph (b)(1) of this
in such a state will not generate credits indicate elsewhere in this part 1054 that
section.
under the state program. For example, they are not to be included in the
(3) The measured permeation rate of
you may not include engines certified calculations of this subpart.
the fuel tank or the measured
for California if it has more stringent permeation rate of a thinner-walled tank § 1054.710 How do I average emission
emission standards for these engines or of the same material. However, if you credits?
those engines generate or use emission use this approach to establish the FEL (a) Averaging is the exchange of
credits under the California program. for any of your fuel tanks, you must
(4) Engines not subject to the emission credits among your families.
establish an FEL based on emission You may average emission credits only
requirements of this part, such as those
measurements for every tank not within the same averaging set.
excluded under § 1054.5.
(5) Any other engines, where we covered by paragraph (b)(1) of this (b) You may certify one or more
indicate elsewhere in this part 1054 that section. families to an FEL above the emission
they are not to be included in the (c) To qualify for generating emission standard, subject to the FEL caps and
calculations of this subpart. credits with structurally integrated other provisions in subpart B of this
nylon fuel tanks used with handheld part, if you show in your application for
§ 1054.706 How do I generate and equipment, the FEL must be at or below certification that your projected balance
calculate evaporative emission credits? 1.5 g/m2/day for testing at a nominal of all emission-credit transactions in
The provisions of this section apply temperature of 28 °C, or 2.5 g/m2/day for that model year is greater than or equal
for calculating evaporative emission testing at a nominal temperature of to zero.
credits. This applies for fuel line 40 °C. Calculate positive emission (c) If you certify a family to an FEL
permeation for handheld equipment and credits under this section relative to an that exceeds the otherwise applicable
for fuel tank permeation from all emission standard of 1.5 g/m2/day. standard, you must obtain enough
equipment. You may generate credits Calculate negative emission credits emission credits to offset the family’s
only if you are a certifying equipment under this section relative to an deficit by the due date for the final
manufacturer. emission standard of 2.5 g/m2/day. report required in § 1054.730. The
emission credits used to address the § 1054.725 What must I include in my example, you might keep a list of engine
deficit may come from your other application for certification? or equipment identification numbers
families that generate emission credits (a) You must declare in your that correspond with certain FEL values.
in the same model year, from emission application for certification your intent (4) The projected and actual
credits you have banked, or from to use the provisions of this subpart for production volumes for the model year
emission credits you obtain through each family that will be certified using with a point of retail sale in the United
trading. the ABT program. You must also declare States, as described in §§ 1054.705(c)
the FELs you select for the family for and 1054.706(c). For fuel tanks and fuel
§ 1054.715 How do I bank emission each pollutant for which you are using lines, state the production volume in
credits?
the ABT program. Your FELs must terms of total surface area. If you
(a) Banking is the retention of comply with the specifications of changed an engine’s FEL during the
emission credits by the manufacturer subpart B of this part, including the FEL model year, identify the actual
generating the emission credits for use caps. FELs must be expressed to the production volume associated with each
in averaging or trading in future model same number of decimal places as the FEL.
years. You may use banked emission emission standard. (5) The maximum modal power of the
credits only within the averaging set in (b) Include the following in your emission-data engine or the appropriate
which they were generated, except as application for certification: internal surface area of the fuel tank or
described in this subpart. (1) A statement that, to the best of fuel line.
(b) In your application for your belief, you will not have a negative (6) Useful life.
certification, designate any emission balance of emission credits for any (7) Calculated positive or negative
credits you intend to bank. These averaging set when all emission credits emission credits for the whole family.
emission credits will be considered are calculated at the end of the year. Identify any emission credits that you
reserved credits. During the model year (2) Detailed calculations of projected traded, as described in paragraph (d)(1)
and before the due date for the final emission credits (positive or negative) of this section.
report, you may redesignate these based on projected production volumes. (c) Your end-of-year and final reports
emission credits for averaging or If your family will generate positive must include the following additional
trading. emission credits, state specifically information:
(c) You may use banked emission where the emission credits will be (1) Show that your net balance of
credits from the previous model year for applied (for example, to which family emission credits from all your
averaging or trading before we verify they will be applied in averaging, participating families in each averaging
them, but we may revoke these emission whether they will be traded, or whether set in the applicable model year is not
credits if we are unable to verify them they will be reserved for banking). If you negative.
after reviewing your reports or auditing have projected negative emission credits (2) State whether you will reserve any
your records. for a family, state the source of positive emission credits for banking.
(d) Reserved credits become actual emission credits to offset the negative (3) State that the report’s contents are
emission credits only when we verify emission credits. Describe whether the accurate.
them in reviewing your final report. emission credits are actual or reserved (d) If you trade emission credits, you
and whether they will come from must send us a report within 90 days
§ 1054.720 How do I trade emission
credits? averaging, banking, trading, or a after the transaction, as follows:
combination of these. Identify from (1) As the seller, you must include the
(a) Trading is the exchange of following information in your report:
which of your families or from which
emission credits between (i) The corporate names of the buyer
manufacturer the emission credits will
manufacturers. You may use traded and any brokers.
come.
emission credits for averaging, banking, (ii) A copy of any contracts related to
or further trading transactions. Traded § 1054.730 What ABT reports must I send the trade.
emission credits may be used only to EPA? (iii) The families that generated
within the averaging set in which they (a) If any of your families are certified emission credits for the trade, including
were generated, except as described in using the ABT provisions of this the number of emission credits from
this subpart. subpart, you must send an end-of-year each family.
(b) You may trade actual emission report within 90 days after the end of (2) As the buyer, you must include the
credits as described in this subpart. You the model year and a final report within following information in your report:
may also trade reserved emission 270 days after the end of the model year. (i) The corporate names of the seller
credits, but we may revoke these We may waive the requirement to send and any brokers.
emission credits based on our review of the end-of year report, as long as you (ii) A copy of any contracts related to
your records or reports or those of the send the final report on time. the trade.
company with which you traded (b) Your end-of-year and final reports (iii) How you intend to use the
emission credits. You may trade banked must include the following information emission credits, including the number
credits to any certifying engine or for each family participating in the ABT of emission credits you intend to apply
equipment manufacturer. program: to each family (if known).
(c) If a negative emission credit (1) Family designation. (e) Send your reports electronically to
balance results from a transaction, both (2) The emission standards that would the Designated Compliance Officer
the buyer and seller are liable, except in otherwise apply to the family. using an approved information format.
cases we deem to involve fraud. See (3) The FEL for each pollutant. If you If you want to use a different format,
§ 1054.255(e) for cases involving fraud. changed an FEL during the model year, send us a written request with
We may void the certificates of all identify each FEL you used and justification for a waiver.
families participating in a trade that calculate the positive or negative (f) Correct errors in your end-of-year
results in a manufacturer having a emission credits under each FEL. Also, report or final report as follows:
negative balance of emission credits. describe how the FEL can be identified (1) You may correct any errors in your
See § 1054.745. for each engine you produced. For end-of-year report when you prepare the
final report, as long as you send us the value of transitional emission credits as engine class (Class I or Class II) as
final report by the time it is due. described in § 1054.705, based on follows:
(2) If you or we determine within 270 setting STD equal to 15.0 g/kW-hr and (1) Calculate a Phase 2 credit
days after the end of the model year that FEL equal to 10.0 g/kW-hr. You may use allowance for each engine class based
errors mistakenly decrease your balance these transitional credits only for Class on production information for model
of emission credits, you may correct the I engines in 2012 through 2014 model years 2007, 2008, and 2009 using the
errors and recalculate the balance of years. You may not use these following equation:
emission credits. You may not make transitional credits for Class II engines. Credit allowance (kg) = (Emissions
these corrections for errors that are (2) Enduring credits are based on Delta) × (Volume) × (Avg. Power) × (Avg.
determined more than 270 days after the reducing emissions below Phase 3 UL) × (LF) × (10¥3)
end of the model year. If you report a levels. Calculate the value of enduring Where:
negative balance of emission credits, we credits as described in § 1054.705, based
Emissions Delta = 1.6 g/kW-hr for Class I and
may disallow corrections under this on setting STD equal to 10.0 g/kW-hr 2.1 g/kW-hr for Class II.
paragraph (f)(2). and FEL to the value of the family Volume = the number of engines eligible to
(3) If you or we determine anytime emission limit you select for the engine participate in the averaging, banking,
that errors mistakenly increase your family. You may use these enduring and trading program, as described in
balance of emission credits, you must credits for any nonhandheld engines § 1054.705(c), based on actual U.S.-
correct the errors and recalculate the certified to the Phase 3 standards under directed production volumes.
balance of emission credits. this part, except as specified in Avg. Power = the production-weighted
paragraph (d) of this section. average value of the maximum modal
§ 1054.735 What records must I keep? power for all engine families in the
(b) You may generate Phase 3 engine class, as described in
(a) You must organize and maintain emission credits from 2008 through
your records as described in this § 1054.705(a), in kilowatts.
2010 model year Class II engines if you Avg. UL = the production-weighted average
section. We may review your records at voluntarily meet the Phase 3 exhaust value of the useful life for all engine
any time. emission standards specified in families in the engine class, in hours.
(b) Keep the records required by this § 1054.105. Divide these into LF = load factor. Use 0.47.
section for at least eight years after the transitional and enduring emission
due date for the end-of-year report. You (2) Do not include wintertime engines
credits as follows: in the calculation of credit allowances
may not use emission credits for any (1) Transitional credits are based on
engines or equipment if you do not keep unless they are certified to meet the
reducing emissions from Phase 2 levels otherwise applicable HC+NOX emission
all the records required under this down to Phase 3 levels. Calculate the
section. You must therefore keep these standard.
value of transitional emission credits as (3) Calculate the average annual Phase
records to continue to bank valid described in § 1054.705, based on
credits. Store these records in any 2 credit allowance for each engine class
setting STD equal to 11.0 g/kW-hr and over three model years as specified in
format and on any media, as long as you FEL equal to 8.0 g/kW-hr. You may use
can promptly send us organized, written paragraph (c)(1) of this section. The
these transitional credits only for Class resulting value is the maximum number
records in English if we ask for them. II engines in 2011 through 2013 model
You must keep these records readily of Phase 2 emission credits you may use
years. You may not use these under this paragraph (c) for each engine
available. We may review them at any transitional credits for Class I engines.
time. class.
(2) Enduring credits are based on (4) For 2013 and earlier model years,
(c) Keep a copy of the reports we
reducing emissions below Phase 3 include in the reports described in
require in §§ 1054.725 and 1054.730.
levels. Calculate the value of enduring § 1054.730 the total allowable number of
(d) Keep the following additional
credits as described in § 1054.705, based Phase 2 emission credits and your
records for each engine or piece of
on setting STD equal to 8.0 g/kW-hr and cumulative totals of Phase 2 credits you
equipment you produce that generates
FEL to the value of the family emission have used to comply with the
or uses emission credits under the ABT
limit you select for the engine family. requirements of this part.
program:
You may use these enduring credits for (d) If you generate enduring emission
(1) Family designation.
(2) Engine or equipment identification any nonhandheld engines certified to credits from Class I engines under
number. the Phase 3 standards under this part, paragraph (a) of this section, you may
(3) FEL and useful life. except as specified in paragraph (d) of not use these for Class II engines in the
(4) Build date and assembly plant. this section 2011 or 2012 model year. Similarly, If
(e) We may require you to keep (c) You may use emission credits you generate enduring emission credits
additional records or to send us relevant generated by nonhandheld engines from Class II engines under paragraph
information not required by this section. subject to Phase 2 emission standards (b) of this section, you may not use
under 40 CFR part 90 to demonstrate these for Class I engines in the 2012
§ 1054.740 What special provisions apply compliance with the Phase 3 exhaust model year. These restrictions also
for generating and using emission credits? emission standards, but only after you apply for emission credits you generate
(a) You may generate Phase 3 have exhausted all credits from engines for engines subject to the standards of
emission credits from 2008 through meeting Phase 3 standards, subject to this part in the 2011 or 2012 model year.
2011 model year Class I engines if you the conditions of paragraph (d) of this (e) You may use Phase 2 or Phase 3
voluntarily meet the Phase 3 exhaust section. You may use these Phase 2 emission credits from nonhandheld
emission standards specified in emission credits only in the 2012 and engines to demonstrate compliance with
§ 1054.105. Divide these into 2013 model years for Class I engines and the Phase 3 standards for handheld
transitional and enduring emission only in the 2011 through 2013 model engines subject to the following
credits as follows: years for Class II engines. Determine a restrictions:
(1) Transitional credits are based on maximum number of Phase 2 emission (1) The handheld engine family must
reducing emissions from Phase 2 levels credits for demonstrating compliance be certified in 2008 and all later model
down to Phase 3 levels. Calculate the with the Phase 3 standards for a given years using carryover of emission data
from an engine family that was most adjusted in a way that affects emissions Class IV means relating to handheld
recently certified with new emission during in-use operation. engines with total displacement at or
data in 2007 or an earlier model year. Aftertreatment means relating to a above 20 cc but below 50 cc.
(2) The handheld engine family’s FEL catalytic converter, particulate filter, Class V means relating to handheld
may not increase above the level thermal reactor, or any other system, engines with total displacement at or
selected for the 2007 model year in later component, or technology mounted above 50 cc.
years, unless such an increase is based downstream of the exhaust valve (or Cold-weather equipment includes the
on emission data from production exhaust port) whose design function is following types of handheld equipment:
engines. to decrease emissions in the engine Chainsaws, cut-off saws, clearing saws,
exhaust before it is exhausted to the brush cutters with engines at or above
§ 1054.745 What can happen if I do not
environment. Exhaust-gas recirculation 40cc, commercial earth and wood drills,
comply with the provisions of this subpart?
(EGR) and turbochargers are not and ice augers. This includes earth
(a) For each family participating in aftertreatment. augers if they are also marketed as ice
the ABT program, the certificate of Amphibious vehicle means a vehicle augers.
conformity is conditional upon full with wheels or tracks that is designed Crankcase emissions means airborne
compliance with the provisions of this primarily for operation on land and substances emitted to the atmosphere
subpart during and after the model year. secondarily for operation in water. from any part of the engine crankcase’s
You are responsible to establish to our Applicable emission standard or ventilation or lubrication systems. The
satisfaction that you fully comply with applicable standard means an emission crankcase is the housing for the
applicable requirements. We may void standard to which an engine is subject; crankshaft and other related internal
the certificate of conformity for a family or, where an engine has been or is being parts.
if you fail to comply with any certified another standard or FEL, Critical emission-related component
provisions of this subpart. applicable emission standards means means any of the following components:
(b) You may certify your family to an the FEL and other standards to which (1) Electronic control units,
FEL above an emission standard based the engine has been or is being certified. aftertreatment devices, fuel-metering
on a projection that you will have This definition does not apply to components, EGR-system components,
enough emission credits to offset the subpart H of this part. crankcase-ventilation valves, all
deficit for the family. However, we may Auxiliary emission control device components related to charge-air
void the certificate of conformity if you means any element of design that senses compression and cooling, and all
cannot show in your final report that temperature, motive speed, engine RPM, sensors and actuators associated with
you have enough actual emission credits transmission gear, or any other any of these components.
to offset a deficit for any pollutant in a parameter for the purpose of activating, (2) Any other component whose
family. modulating, delaying, or deactivating primary purpose is to reduce emissions.
(c) We may void the certificate of the operation of any part of the emission Designated Compliance Officer means
conformity for a family if you fail to control system. the Manager, Heavy-Duty and Nonroad
keep records, send reports, or give us Brake power means the usable power Engine Group (6405–J), U.S.
information we request. output of the engine, not including Environmental Protection Agency, 1200
(d) You may ask for a hearing if we power required to fuel, lubricate, or heat Pennsylvania Ave., NW., Washington,
void your certificate under this section the engine, circulate coolant to the DC 20460.
(see § 1054.820). engine, or to operate aftertreatment Designated Enforcement Officer
Subpart I—Definitions and Other devices. means the Director, Air Enforcement
Reference Information Calibration means the set of Division (2242A), U.S. Environmental
specifications and tolerances specific to Protection Agency, 1200 Pennsylvania
§ 1054.801 What definitions apply to this a particular design, version, or Ave., NW.,Washington, DC 20460.
part? application of a component or assembly Deteriorated emission level means the
The following definitions apply to capable of functionally describing its emission level that results from
this part. The definitions apply to all operation over its working range. applying the appropriate deterioration
subparts unless we note otherwise. All Certification means relating to the factor to the official emission result of
undefined terms have the meaning the process of obtaining a certificate of the emission-data engine.
Act gives to them. The definitions conformity for an emission family that Deterioration factor means the
follow: complies with the emission standards relationship between emissions at the
Act means the Clean Air Act, as and requirements in this part. end of useful life and emissions at the
amended, 42 U.S.C. 7401–7671q. Certified emission level means the low-hour test point. See §§ 1054.240
Adjustable parameter means any highest deteriorated emission level in an and 1054.245.
device, system, or element of design that emission family for a given pollutant Discrete-mode means relating to the
someone can adjust (including those from either transient or steady-state discrete-mode type of steady-state test
which are difficult to access) and that, testing. described in § 1054.505.
if adjusted, may affect emissions or Class I means relating to nonhandheld Displacement has the meaning given
engine performance during emission engines with total displacement below in § 1054.140.
testing or normal in-use operation. This 225 cc. See § 1054.101 for special Dry weight means the weight of the
includes, but is not limited to, provisions that apply for engines with equipment as sold, without fuel, oil, or
parameters related to injection timing total displacement below 80 cc. engine coolant.
and fueling rate. You may ask us to Class II means relating to Emission control system means any
exclude a parameter that is difficult to nonhandheld engines with total device, system, or element of design that
access if it cannot be adjusted to affect displacement at or above 225 cc. controls or reduces the emissions of
emissions without significantly Class III means relating to handheld regulated pollutants from an engine.
degrading engine performance, or if you engines with total displacement below Emission-data engine means an
otherwise show us that it will not be 20 cc. engine that is tested for certification.
This includes engines tested to establish Family emission limit (FEL) means an from falling, slipping, or sinking,
deterioration factors. emission level declared by the without carrying it.
Emission-data equipment means an manufacturer to serve in place of an (ii) The operator provides support or
engine, piece of equipment, or fuel otherwise applicable emission standard attitudinal control for the equipment
system component that is tested for under the ABT program in subpart H of throughout the performance of its
certification. This includes units tested this part. The family emission limit intended function. Attitudinal control
to establish deterioration factors. must be expressed to the same number involves regulating the horizontal or
Emission-related maintenance means of decimal places as the emission vertical position of the equipment.
maintenance that substantially affects standard it replaces. The family (iii) The engine powers a pump or is
emissions or is likely to substantially emission limit serves as the emission a generator-set engine.
affect emission deterioration. standard for the emission family with (4) It is a one-person auger, with a
Engine has the meaning given in 40 respect to all required testing. combined engine and equipment dry
CFR 1068.30. This includes complete Fuel line means hose or tubing weight under 21.0 kilograms.
and partially complete engines. designed to contain liquid fuel. This (5) It is used in a recreational
Engine configuration means a unique does not include any of the following: application with a combined total
combination of engine hardware and (1) Fuel tank vent lines. vehicle dry weight under 20.0
calibration within an emission family. (2) Segments of hose or tubing whose kilograms. Note that snowmobiles,
Engines within a single engine external surface is normally exposed to offroad motorcycles, and all terrain
configuration differ only with respect to liquid fuel inside the fuel tank. vehicles are regulated under 40 CFR
normal production variability. (3) Hose or tubing designed to return part 1051 and marine vessels are
Emission family has the meaning unused fuel from the carburetor to the regulated under 40 CFR part 1045.
fuel tank for handheld engines. Hydrocarbon (HC) means the
given in § 1054.230. We may refer to
(4) Primer bulbs that contain liquid hydrocarbon group on which the
emission families as ‘‘engine families’’
fuel only for priming the engine before emission standards are based for each
where provisions relate only to exhaust
starting. fuel type, as described in subpart B of
emissions from engines.
Fuel system means all components this part.
Engine manufacturer means the Identification number means a unique
involved in transporting, metering, and
manufacturer of the engine. See the specification (for example, a model
mixing the fuel from the fuel tank to the
definition of ‘‘manufacturer’’ in this number/serial number combination)
combustion chamber(s), including the
section. that allows someone to distinguish a
fuel tank, fuel tank cap, fuel pump, fuel
Equipment includes engines and fuel particular engine from other similar
filters, fuel lines, carburetor or fuel-
system components installed in engines.
injection components, and all fuel-
equipment. Integrated equipment manufacturer
system vents.
Equipment manufacturer means a Fuel type means a general category of means an equipment manufacturer that
manufacturer that assembles nonroad fuels such as gasoline or natural gas. also manufactures the engines for its
equipment. All nonroad equipment There can be multiple grades within a equipment. Equipment manufacturers
manufacturing entities under the control single fuel type, such as low- that manufacture the engines for some
of the same person are considered to be temperature or all-season gasoline. but not all of their equipment are
a single nonroad equipment Generator-set engine means an engine considered to be integrated
manufacturer. used primarily to operate an electrical manufacturers for that equipment using
Evaporative means relating to fuel generator or alternator to produce the manufacturer’s own engines.
emissions controlled by 40 CFR part electric power for other applications. Intermediate-speed equipment means
1060. This generally includes emissions Good engineering judgment has the nonroad equipment in which the
that result from permeation of fuel meaning given in 40 CFR 1068.30. See installed engine is intended for
through the fuel-system materials, from 40 CFR 1068.5 for the administrative operation at speeds substantially below
ventilation of the fuel system. process we use to evaluate good 3600 rpm.
Excluded means relating to an engine engineering judgment. Low-hour means relating to an engine
that either: Handheld means relating to that is considered to have stabilized
(1) Has been determined not to be a equipment that meets any of the emissions and represents the
nonroad engine, as specified in 40 CFR following criteria: undeteriorated emission level. A low-
1068.30; or (1) It is carried by the operator hour engine typically operates no more
(2) Is a nonroad engine that, according throughout the performance of its than a few hours beyond the minimum
to § 1054.5, is not subject to this part intended function. stabilization period. However, a low-
1054. (2) It is designed to operate hour engine could have more hours, as
Exempted has the meaning given in multipositionally, such as upside down long as emissions remain stable. In the
40 CFR 1068.30. or sideways, to complete its intended absence of other information, a low-
Exhaust-gas recirculation means a function. hour engine with a useful life of 300
technology that reduces emissions by (3) It has a combined engine and hours or less would generally have
routing exhaust gases that had been equipment dry weight under 15.0 operated 12 to 15 hours and a low-hour
exhausted from the combustion kilograms, has no more than two engine with a longer useful would
chamber(s) back into the engine to be wheels, and at least one of the following generally have operated no more than
mixed with incoming air before or attributes is also present: 24 hours.
during combustion. The use of valve (i) The operator provides support or Manufacture means the physical and
timing to increase the amount of carries the equipment throughout the engineering process of designing,
residual exhaust gas in the combustion performance of its intended function. constructing, and assembling an engine
chamber(s) that is mixed with incoming Carry means to completely bear the or piece of equipment.
air before or during combustion is not weight of the equipment, including the Manufacturer has the meaning given
considered exhaust-gas recirculation for engine. Support means to hold a piece in section 216(1) of the Act. In general,
the purposes of this part. of equipment in position to prevent it this term includes any person who
manufactures an engine, vehicle, vessel, calendar year in which the engine was engine that is no longer used in a
or piece of equipment for sale in the originally produced (see definition of marine vessel.
United States or otherwise introduces a ‘‘new nonroad engine,’’ paragraph (2)). (4) An engine not covered by
new nonroad engine or piece of (3) For a nonroad engine excluded paragraphs (1) through (3) of this
equipment into U.S. commerce. This under § 1054.5 that is later converted to definition that is intended to be
includes importers who import engines, operate in an application that is not installed in new nonroad equipment.
equipment, or vehicles for resale, but excluded, model year means the The engine is no longer new when the
not dealers. All manufacturing entities calendar year in which the engine was ultimate purchaser receives a title for
under the control of the same person are originally produced (see definition of the equipment or the product is placed
considered to be a single manufacturer. ‘‘new nonroad engine,’’ paragraph (3)). into service, whichever comes first. This
Marine engine means a nonroad (4) For engines that are not freshly generally includes installation of used
engine that is installed or intended to be manufactured but are installed in new engines in new equipment.
installed on a vessel. This includes a nonroad equipment, model year means (5) An imported nonroad engine,
portable auxiliary marine engine only if the calendar year in which the engine is subject to the following provisions:
its fueling, cooling, or exhaust system is installed in the new nonroad equipment (i) An imported nonroad engine
an integral part of the vessel. There are (see definition of ‘‘new nonroad covered by a certificate of conformity
two kinds of marine engines: engine,’’ paragraph (4)). issued under this part that meets the
(1) Propulsion marine engine means a (5) For imported engines: criteria of one or more of paragraphs (1)
marine engine that moves a vessel (i) For imported engines described in through (4) of this definition, where the
through the water or directs the vessel’s paragraph (5)(i) of the definition of original engine manufacturer holds the
movement. ‘‘new nonroad engine,’’ model year has certificate, is new as defined by those
(2) Auxiliary marine engine means a the meaning given in paragraphs (1) applicable paragraphs.
marine engine not used for propulsion. (ii) An imported nonroad engine
through (4) of this definition.
Marine generator engine means an covered by a certificate of conformity
(ii) For imported engines described in
auxiliary marine engine used primarily issued under this part, where someone
paragraph (5)(ii) of the definition of
to operate an electrical generator or other than the original engine
‘‘new nonroad engine,’’ model year
alternator to produce electric power. manufacturer holds the certificate (such
means the calendar year in which the
Marine vessel has the meaning given as when the engine is modified after its
engine is assembled in its final certified
in 1 U.S.C. 3, except that it does not initial assembly), becomes new when it
configuration.
include amphibious vehicles. The is imported. It is no longer new when
(iii) For imported engines described
definition in 1 U.S.C. 3 very broadly the ultimate purchaser receives a title
in paragraph (5)(iii) of the definition of
includes every craft capable of being for the engine or it is placed into
‘‘new nonroad engine,’’ model year
used as a means of transportation on service, whichever comes first.
means the calendar year in which the (iii) An imported nonroad engine that
water.
Maximum engine power has the importation occurs. is not covered by a certificate of
meaning given in § 1054.140. Motor vehicle has the meaning given conformity issued under this part at the
Maximum test speed has the meaning in 40 CFR 85.1703(a). time of importation is new, but only if
given in 40 CFR 1065.1001. New nonroad engine means any of the it was produced during or after the 1997
Maximum test torque has the meaning following things: model year. This addresses uncertified
given in 40 CFR 1065.1001. (1) A freshly manufactured nonroad engines and equipment initially placed
Model year has the meaning given in engine for which the ultimate purchaser into service that someone seeks to
40 CFR part 1060 for equipment and has never received the equitable or legal import into the United States.
means one of the following things for title. This kind of engine might Importation of this kind of engine (or
engines: commonly be thought of as ‘‘brand equipment containing such an engine) is
(1) For freshly manufactured engines new.’’ In the case of this paragraph (1), generally prohibited by 40 CFR part
(see definition of ‘‘new nonroad the engine is new from the time it is 1068.
engine,’’ paragraph (1)), model year produced until the ultimate purchaser New nonroad equipment means either
means your annual new model receives the title or the product is of the following things:
production period. This must include placed into service, whichever comes (1) A nonroad piece of equipment for
January 1 of the calendar year for which first. which the ultimate purchaser has never
the model year is named. It may not (2) An engine originally manufactured received the equitable or legal title. The
begin before January 2 of the previous as a motor-vehicle engine or an product is no longer new when the
calendar year and it must end by uncertified stationary engine that is later ultimate purchaser receives this title or
December 31 of the named calendar installed or intended to be installed in the product is placed into service,
year. For seasonal production periods a piece of nonroad equipment. In this whichever comes first.
not including January 1, model year case, the engine is no longer a motor- (2) A nonroad piece of equipment
means the calendar year in which the vehicle or stationary engine and with an engine that becomes new while
production occurs, unless you choose to becomes a ‘‘new nonroad engine.’’ The installed in the equipment. For example
certify the applicable emission family engine is no longer new when it is a complete piece of equipment that was
with the following model year. For placed into nonroad service. imported without being covered by a
example, if your production period is (3) A nonroad engine that has been certificate of conformity would be new
June 1, 2010 through November 30, previously placed into service in an nonroad equipment because the engine
2010, your model year would be 2010 application we exclude under § 1054.5, would be considered to be new at the
unless you choose to certify the where that engine is installed in a piece time of importation.
emission family for model year 2011. of equipment that is covered by this part Noncompliant engine or
(2) For an engine that is converted to 1054. The engine is no longer new when noncompliant equipment means an
a nonroad engine after being placed into it is placed into nonroad service covered engine or equipment that was originally
service as a motor-vehicle engine or a by this part 1054. For example, this covered by a certificate of conformity
stationary engine, model year means the would apply to a marine-propulsion but is not in the certified configuration
or otherwise does not comply with the Phase 2 means relating to the Phase model year is projected at the time of
conditions of the certificate. 2 emission standards described in 40 certification to be no more than 5,000
Nonconforming engine or CFR 90.103. engines.
nonconforming equipment means an Phase 3 means relating to the Phase Small-volume engine manufacturer
engine or equipment not covered by a 3 exhaust emission standards described means one of the following:
certificate of conformity that would in § 1054.105. (1) For handheld engines, an engine
otherwise be subject to emission Placed into service means put into manufacturer that had U.S.-directed
standards. initial use for its intended purpose. production volume of handheld engines
Nonhandheld means relating to an Pressurized oil system means a system of no more than 25,000 handheld
engine subject to the standards of this designed to deliver lubricating oil to engines in any calendar year. For
part that is not a handheld engine. internal engine components, including a manufacturers owned by a parent
Nonintegrated equipment step to circulate oil through a filter. company, this production limit applies
manufacturer means an equipment Ramped-modal means relating to the to the production of the parent company
manufacturer that is not an integrated ramped-modal type of steady-state test and all its subsidiaries.
equipment manufacturer. Equipment described in § 1054.505. (2) For nonhandheld engines, an
manufacturers that manufacture the Rated speed means one of the engine manufacturer that had U.S.-
engines for some but not all of their following: directed production volume of no more
equipment are considered to be (1) For ungoverned handheld engines, than 10,000 nonhandheld engines in
nonintegrated manufacturers for that rated speed means the most common any calendar year. For manufacturers
equipment using a different engine engine speed for full-load operation owned by a parent company, this
manufacturer’s engines. with in-use engines from a given engine production limit applies to the
Nonmethane hydrocarbon has the family. production of the parent company and
meaning given in 40 CFR 1065.1001. (2) For governed handheld engines, all its subsidiaries.
This generally means the difference rated speed means maximum test speed, (3) An engine manufacturer that we
between the emitted mass of total as defined in 40 CFR 1065.1001. designate to be a small-volume engine
hydrocarbons and the emitted mass of (3) For nonhandheld engines, rated manufacturer under § 1054.635.
methane. speed has the meaning given in Small-volume equipment
Nonroad means relating to nonroad § 1054.505(d). manufacturer means one of the
engines or equipment that includes Rated-speed equipment means following:
nonroad engines. nonroad equipment in which the (1) For handheld equipment, an
Nonroad engine has the meaning installed engine is intended for equipment manufacturer that had a
given in 40 CFR 1068.30. In general this operation at a rated speed that is U.S.-directed production volume of no
means all internal-combustion engines nominally 3600 rpm or higher. more than 25,000 pieces of handheld
except motor vehicle engines, stationary Recreational application means an equipment in any calendar year. For
engines, engines used solely for application in which a vehicle is ridden manufacturers owned by a parent
competition, or engines used in aircraft. primarily for pleasure. Note that engines company, this production limit applies
Official emission result means the used in reduced-scale model vehicles to the production of the parent company
measured emission rate for an emission- that cannot be ridden (such as model and all its subsidiaries.
data engine on a given duty cycle before airplanes) are excluded from this part (2) For nonhandheld equipment, an
the application of any deterioration under § 1054.5. equipment manufacturer with annual
factor. Revoke has the meaning given in 40 average U.S.-directed production
Overhead valve means relating to a CFR 1068.30. In general this means to volumes of no more than 5,000 pieces
four-stroke spark-ignition engine in terminate the certificate or an of nonhandheld equipment in 2007
which the intake and exhaust valves are exemption for an engine family. through 2009. For manufacturers owned
located above the combustion chamber Round has the meaning given in 40 by a parent company, this production
within the cylinder head. Such engines CFR 1065.1001. limit applies to the production of the
are sometimes referred to as ‘‘valve-in- Running loss emissions has the parent company and all its subsidiaries.
head’’ engines. meaning given in 40 CFR 1060.801. (3) An equipment manufacturer that
Owners manual means a document or Scheduled maintenance means we designate to be a small-volume
collection of documents prepared by the adjusting, repairing, removing, equipment manufacturer under
engine manufacturer for the owner or disassembling, cleaning, or replacing § 1054.635.
operator to describe appropriate engine components or systems periodically to Snowthrower engine means an engine
maintenance, applicable warranties, and keep a part or system from failing, used exclusively to power
any other information related to malfunctioning, or wearing prematurely. snowthrowers.
operating or keeping the engine. The It also may mean actions you expect are Spark-ignition means relating to a
owners manual is typically provided to necessary to correct an overt indication gasoline-fueled engine or any other type
the ultimate purchaser at the time of of failure or malfunction for which of engine with a spark plug (or other
sale. periodic maintenance is not sparking device) and with operating
Oxides of nitrogen has the meaning appropriate. characteristics significantly similar to
given in 40 CFR part 1065.1001 Side valve means relating to a four- the theoretical Otto combustion cycle.
Percent has the meaning given in 40 stroke spark-ignition engine in which Spark-ignition engines usually use a
CFR 1065.1001. the intake and exhaust valves are throttle to regulate intake air flow to
Permeation emissions means fuel that located to the side of the cylinder, not control power during normal operation.
escapes from the fuel system by within the cylinder head. Such engines Steady-state means relating to
diffusing through the walls of fuel- are sometimes referred to as ‘‘L-head’’ emission tests in which engine speed
system components. engines. and load are held at a finite set of
Phase 1 means relating to the Phase Small-volume emission family means essentially constant values. Steady-state
1 emission standards described in 40 any emission family whose U.S.- tests are either discrete-mode tests or
CFR 90.103. directed production volume in a given ramped-modal tests.
Structurally integrated nylon fuel tank United States has the meaning given cc cubic centimeters.
has the meaning given in 40 CFR in 40 CFR 1068.30. CFR Code of Federal Regulations.
1060.801. Upcoming model year means for an CO carbon monoxide.
emission family the model year after the CO2 carbon dioxide.
Subchapter U means the portion of EPA Environmental Protection Agency.
the Code of Federal Regulations one currently in production.
FEL Family Emission Limit.
including 40 CFR parts 1000 through U.S.-directed production volume
g gram.
1299. means the number of engine units, HC hydrocarbon.
Suspend has the meaning given in 40 subject to the requirements of this part, hr hour.
CFR 1068.30. In general this means to produced by a manufacturer for which kPa kilopascals.
temporarily discontinue the certificate the manufacturer has a reasonable kW kilowatts.
or an exemption for an engine family. assurance that sale was or will be made NARA National Archives and Records
to ultimate purchasers in the United Administration.
Test engine means an engine in a test NIST National Institute of Standards and
States.
sample. Useful life means the period during Technology.
Test sample means the collection of which the engine and equipment are NMHC nonmethane hydrocarbons.
engines selected from the population of designed to properly function in terms NOX oxides of nitrogen (NO and NO2).
an emission family for emission testing. psig pounds per square inch of gauge
of power output and intended function
This may include testing for pressure.
without being remanufactured, specified RPM revolutions per minute.
certification, production-line testing, or as a number of hours of operation. It is SAE Society of Automotive Engineers.
in-use testing. the period during which a new nonroad THC total hydrocarbon.
Tethered gas cap means a gas cap that engine is required to comply with all THCE total hydrocarbon equivalent.
is loosely but permanently connected to applicable emission standards. See U.S.C. United States Code.
the fuel tank. §§ 1054.107 and 1054.110. If an engine
Thermal reactor means a hot surface has no hour meter, the specified number § 1054.810 What materials does this part
in the engine exhaust system that has reference?
of hours does not limit the period
the effect of significantly lowering during which an in-use engine is Documents listed in this section have
emissions of one or more regulated required to comply with emission been incorporated by reference into this
pollutants. Hot surfaces that have an standards, unless the degree of service part. The Director of the Federal
inconsequential effect on emissions are accumulation can be verified separately. Register approved the incorporation by
not thermal reactors. Variable-speed engine means an reference as prescribed in 5 U.S.C.
Total hydrocarbon has the meaning engine that is not a constant-speed 552(a) and 1 CFR part 51. Anyone may
given in 40 CFR 1065.1001. This engine. inspect copies at the U.S. EPA, Air and
generally means the combined mass of Vessel means marine vessel. Radiation Docket and Information
organic compounds measured by the Void has the meaning given in 40 CFR Center, 1301 Constitution Ave., NW.,
specified procedure for measuring total 1068.30. In general this means to Room B102, EPA West Building,
hydrocarbon, expressed as a invalidate a certificate or an exemption Washington, DC 20460 or at the
hydrocarbon with a hydrogen-to-carbon both retroactively and prospectively. National Archives and Records
mass ratio of 1.85:1. Volatile liquid fuel means any fuel Administration (NARA). For
other than diesel or biodiesel that is a information on the availability of this
Total hydrocarbon equivalent has the
liquid at atmospheric pressure and has material at NARA, call 202–741–6030,
meaning given in 40 CFR 1065.1001.
a Reid Vapor Pressure higher than 2.0 or go to: http://www.archives.gov/
This generally means the sum of the pounds per square inch.
carbon mass contributions of non- federal_register/
We (us, our) means the Administrator
oxygenated hydrocarbons, alcohols and code_of_federal_regulations/
of the Environmental Protection Agency
aldehydes, or other organic compounds ibr_locations.html.
and any authorized representatives.
that are measured separately as Wide-open throttle means maximum (a) SAE material. Table 1 of this
contained in a gas sample, expressed as throttle opening. section lists material from the Society of
exhaust hydrocarbon from petroleum- Wintertime engine means an engine Automotive Engineers that we have
fueled locomotives. The hydrogen-to- used exclusively to power equipment incorporated by reference. The first
carbon ratio of the equivalent that is used only in wintertime, such as column lists the number and name of
hydrocarbon is 1.85:1. snowthrowers and ice augers. the material. The second column lists
Ultimate purchaser means, with the sections of this part where we
respect to any new nonroad equipment § 1054.805 What symbols, acronyms, and reference it. Anyone may purchase
or new nonroad engine, the first person abbreviations does this part use? copies of these materials from the
who in good faith purchases such new The following symbols, acronyms, Society of Automotive Engineers, 400
nonroad equipment or new nonroad and abbreviations apply to this part: Commonwealth Drive, Warrendale, PA
engine for purposes other than resale. ABT Averaging, banking, and trading. 15096 or www.sae.org. Table 1 follows:

Part 1054
SAE J30, Fuel and Oil Hoses, June 1998 .......................................................................................................................................... 1054.245,
1054.501
SAE J1930, Electrical/Electronic Systems Diagnostic Terms, Definitions, Abbreviations, and Acronyms, revised May 1998 ......... 1054.135
SAE J2260, Nonmetallic Fuel System Tubing with One or More Layers, November 1996 ............................................................... 1054.245
(b) ASTM material. Table 2 of this of the material. The second column lists Materials, 100 Barr Harbor Dr., P.O. Box
section lists material from the American the sections of this part where we C700, West Conshohocken, PA 19428 or
Society for Testing and Materials that reference it. Anyone may purchase www.astm.org. Table 2 follows:
we have incorporated by reference. The copies of these materials from the
first column lists the number and name American Society for Testing and
TABLE 2 TO § 1054.810—ASTM MATERIALS

Part 1054 ref-
Document number and name erence
ASTM D471–98, Standard Test Method for Rubber Property—ffect of Liquids ................................................................................. 1054.501
ASTM D814–95 (reapproved 2000), Standard Test Method for Rubber Property—Vapor Transmission of Volatile Liquids ........... 1054.245
§ 1054.815 What provisions apply to (a) We specify the following (1) In 40 CFR 1065.2 we give an
confidential information? requirements related to engine overview of principles for reporting
(a) Clearly show what you consider certification in this part 1054: information.
confidential by marking, circling, (1) In § 1054.20 we require equipment (2) In 40 CFR 1065.10 and 1065.12 we
bracketing, stamping, or some other manufacturers to label their vessels if specify information needs for
method. they are relying on component establishing various changes to
(b) We will store your confidential certification. published test procedures.
information as described in 40 CFR part (2) In § 1054.135 we require engine (3) In 40 CFR 1065.25 we establish
2. Also, we will disclose it only as manufacturers to keep certain records basic guidelines for storing test
specified in 40 CFR part 2. This applies related to duplicate labels sent to information.
both to any information you send us and equipment manufacturers. (4) In 40 CFR 1065.695 we identify
to any information we collect from (3) In § 1054.145 we include various data that may be appropriate for
inspections, audits, or other site visits. reporting and recordkeeping collecting during testing of in-use
(c) If you send us a second copy requirements related to interim engines using portable analyzers.
without the confidential information, provisions. (d) We specify the following
we will assume it contains nothing (4) In subpart C of this part we requirements related to the general
confidential whenever we need to identify a wide range of information compliance provisions in 40 CFR part
release information from it. required to certify engines. 1068:
(d) If you send us information without (5) In §§ 1054.345 and 1054.350 we (1) In 40 CFR 1068.5 we establish a
claiming it is confidential, we may make specify certain records related to process for evaluating good engineering
it available to the public without further production-line testing. judgment related to testing and
notice to you, as described in 40 CFR (6) [Reserved] certification.
2.204. (7) In subpart G of this part we (2) In 40 CFR 1068.25 we describe
identify several reporting and general provisions related to sending
§ 1054.820 How do I request a hearing? recordkeeping items for making and keeping information.
(a) You may request a hearing under demonstrations and getting approval (3) In 40 CFR 1068.27 we require
certain circumstances, as described related to various special compliance manufacturers to make engines available
elsewhere in this part. To do this, you provisions. for our testing or inspection if we make
must file a written request, including a (8) In §§ 1054.725, 1054.730, and such a request.
description of your objection and any 1054.735 we specify certain records (4) In 40 CFR 1068.105 we require
supporting data, within 30 days after we related to averaging, banking, and equipment manufacturers to keep
make a decision. trading. certain records related to duplicate
(b) For a hearing you request under (b) We specify the following labels from engine manufacturers.
the provisions of this part, we will requirements related to equipment and (5) In 40 CFR 1068.120 we specify
approve your request if we find that component certification in 40 CFR part recordkeeping related to rebuilding
your request raises a substantial factual 1060: engines.
issue. (1) In 40 CFR 1060.20 we give an (6) In 40 CFR part 1068, subpart C, we
(c) If we agree to hold a hearing, we overview of principles for reporting identify several reporting and
will use the procedures specified in 40 information. recordkeeping items for making
CFR part 1068, subpart G. (2) In 40 CFR part 1060, subpart C, we demonstrations and getting approval
identify a wide range of information related to various exemptions.
§ 1054.825 What reporting and required to certify products. (7) In 40 CFR part 1068, subpart D, we
recordkeeping requirements apply under (3) In 40 CFR 1060.301 we require identify several reporting and
this part? manufacturers to make engines or recordkeeping items for making
Under the Paperwork Reduction Act equipment available for our testing if we demonstrations and getting approval
(44 U.S.C. 3501 et seq), the Office of make such a request. related to importing engines.
Management and Budget approves the (4) In 40 CFR 1060.505 we specify (8) In 40 CFR 1068.450 and 1068.455
reporting and recordkeeping specified information needs for establishing we specify certain records related to
in the applicable regulations. The various changes to published test testing production-line engines in a
following items illustrate the kind of procedures. selective enforcement audit.
reporting and recordkeeping we require (c) We specify the following (9) In 40 CFR 1068.501 we specify
for engines and equipment regulated requirements related to testing in 40 certain records related to investigating
under this part: CFR part 1065: and reporting emission-related defects.
(10) In 40 CFR 1068.525 and 1068.530 Appendix I to Part 1054—Summary of (a) Handheld engines. Phase 1 and Phase
we specify certain records related to Previous Emission Standards 2 standards apply for handheld engines as
recalling nonconforming engines. specified in 40 CFR 90.103 and summarized
The following standards apply to nonroad
in the following tables:
spark-ignition engines produced before the
model years specified in § 1054.1:
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 engines as specified in 40 CFR 90.103 and
Phase 2 standards apply for nonhandheld 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.
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 Torque Weighting

for Laboratory Testing G2 mode number a (per- factors
cent) b Time in
(a) Test handheld engines with the RMC mode a Torque
mode
following steady-state duty cycle: 1 .............................. 100 0.09 (percent) b, c
(seconds)
2 .............................. 75 0.2
Torque 3 .............................. 50 0.29 1a Steady-state 41 0
G3 mode Engine (per- Weighting
number speed a factors 4 .............................. 25 0.3 1b Transition ... 20 Linear Transi-
cent) b tion
5 .............................. 10 0.07
6 .............................. 0 0.05 2a Steady-state 135 100
1 ............ Rated 100 0.85 2b Transition ... 20 Linear Transi-
speed. a Control
engine speed as described in tion
2 ............ Idle 0 0.15 § 1054.505. Control engine speed for Mode 6 3a Steady-state 112 10
speed. as described in § 1054.505(c) for idle oper- 3b Transition ... 20 Linear Transi-
ation.
a ‘‘Rated speed’’ is defined in § 1054.801; b The percent torque is relative to the value tion
‘‘Idle speed’’ is defined in 40 CFR part established for full-load torque, as described in 4a Steady-state 337 75
1065.1001. § 1054.505. 4b Transition ... 20 Linear Transi-
b The percent torque is relative to maximum

tion
test torque. (2) The following duty cycle applies for
5a Steady-state 518 25
ramped-modal testing: 5b Transition ... 20 Linear Transi-
(b) Test nonhandheld engines with one of
the following steady-state duty cycles: tion
(1) The following duty cycle applies for 6a Steady-state 494 50
discrete-mode testing: 6b Transition ... 20 Linear Transi-
tion
Pitkin De Baca
Pueblo Grant
Time in Rio Blanco Guadalupe
Torque Rio Grande Harding
RMC mode a mode (percent) b, c
Routt Hidalgo
(seconds)
Saguache Lincoln
7 Steady-state 43 0 San Juan Los Alamos
San Miguel Luna
a Control engine speed as described in
Summit McKinley
§ 1054.505. Control engine speed for Mode 6 Teller Mora
as described in § 1054.505(c) for idle oper-
ation. Washington Otero
b Advance from one mode to the next within Weld Rio Arriba
a 20-second transition phase. During the tran- Roosevelt
State of Idaho Sandoval
sition phase, command a linear progression
from the torque setting of the current mode to Bannock San Juan
the torque setting of the next mode. Bear Lake San Miguel
c The percent torque is relative to the value
Bingham Santa Fe
established for full-load torque, as described in Blaine Sierra
§ 1054.505. Bonneville Socorro
Appendix III to Part 1054—High- Butte Taos
Altitude Counties Camas Torrance
Caribou Union
The following counties have areas above Cassia Valencia
4,000 feet above sea level and are therefore Clark
considered to be high-altitude counties: Custer State of Oregon
Franklin Harney
State of Arizona
Fremont Lake
Apache Jefferson Klamath
Cochise Lemhi
Coconino Madison State of Texas
Navajo Minidoka Jeff Davis
Yavapai Oneida Judspeth
Power Parmer
State of Colorado
Teton
Adams State of Utah
Valley
Alamosa Beaver
Arapahoe State of Montana Box Elder
Archuleta Beaverhead Cache
Boulder Deer Lodge Carbon
Chaffee Gallatin Daggett
Cheyenne Jefferson Davis
Clear Creek Judith Basin Duchesne
Conejos Powell Emery
Costilla Madison Garfield
Crowley Meagher Grand
Custer Park Iron
Delta Silver Bow Juab
Denver Wheatland Kane
Dolores Millard
Douglas State of Nebraska Morgan
Eagle Banner Piute
Elbert Cheyenne Rich
El Paso Kimball Salt Lake
Fremont Sioux San Juan
Garfield Sanpete
Gilpin State of Nevada Sevier
Grand Carson City Summit
Gunnison Douglas Tooele
Hinsdale Elko Uintah
Huerfano Esmeralda Utah
Jackson Eureka Wasatch
Jefferson Humboldt Wayne
Kit Carson Lander Weber
Lake Lincoln
La Plata Lyon State of Wyoming
Larimer Mineral Albany
Las Animas Nye Campbell
Lincoln Pershing Carbon
Mesa Storey Converse
Mineral Washoe Fremont
Moffat White Pine Goshen

Montezuma Hot Springs
Montrose State of New Mexico Johnson
Morgan Bernalillo Laramie
Otero Catron Lincoln
Ouray Colfax Natrona
Park Curry Niobrara
Park 1060.235 What emission testing must I Subpart A—Overview and Applicability
Platte perform for my application for a
Sublette certificate of conformity? § 1060.1 Which products are subject to
Sweetwater 1060.240 How do I demonstrate that my this part’s requirements?
Teton emission family complies with (a) The standards and other
Uinta evaporative emission standards?
requirements in this part 1060 apply to
Washakie 1060.250 What records must I keep and
Weston what reports must I send to EPA? fuel lines, fuel tanks, couplings and
133. A new part 1060 is added to 1060.255 What decisions may EPA make fittings, and fuel caps used or intended
subchapter U of chapter I to read as regarding my certificate of conformity? to be used in the following categories of
follows: new engines and equipment that are
Subpart D—Production Verification fueled with a volatile liquid fuel (such
PART 1060—CONTROL OF Testing as gasoline or ethanol, but not including
EVAPORATIVE EMISSIONS FROM diesel fuel), and the equipment in
1060.301 Manufacturer testing.
NEW AND IN-USE NONROAD AND 1060.310 Supplying products to EPA for which these components are installed,
STATIONARY EQUIPMENT testing. starting with the model years shown in
Table 1 of this section:
Subpart A—Overview and Applicability Subpart E—In-Use Testing (1) Compression-ignition engines we
regulate under 40 CFR part 1039. This
Sec. 1060.401 General Provisions.
1060.1 Which products are subject to this includes stationary compression-
part’s requirements? ignition engines we regulate under the
Subpart F—Test Procedures
1060.5 Do the requirements of this part provisions of 40 CFR part 1039, as
apply to me? 1060.501 General testing provisions. indicated under 40 CFR part 60, subpart
1060.10 How is this part organized? 1060.505 Other procedures. IIII. See the evaporative emission
1060.15 Do any other regulation parts apply 1060.510 How do I test EPA Low Emission standards specified in 40 CFR 1048.105.
to me? Fuel Lines for permeation emissions? These engines are considered to be
1060.20 Submission of information. 1060.515 How do I test EPA Nonroad Fuel Large SI engines for purposes of this
Lines for permeation emissions?
Subpart B—Emission Standards and 1060.520 How do I test fuel tanks for
part 1060.
Related Requirements permeation emissions?
(2) Marine compression-ignition
1060.521 How do I test fuel caps for engines we regulate under 40 CFR part
1060.101 What evaporative emission permeation emissions? 1042. See the evaporative emission
requirements apply under this part? 1060.525 How do I test fuel systems for standards specified in 40 CFR 1045.107.
1060.102 What permeation emission diurnal emissions? These engines are considered to be
control requirements apply for fuel 1060.530 How do I test fuel systems for Marine SI engines for purposes of this
lines? diffusion emissions?
1060.103 What permeation emission part 1060.
1060.535 How do I measure fuel (3) Marine SI engines we regulate
control requirements apply for fuel temperatures to comply with running
tanks? under 40 CFR part 1045. See the
loss requirements?
1060.104 What running loss emission evaporative emission standards
control requirements apply? Subpart G—Special Compliance specified in 40 CFR 1045.107.
1060.105 What diurnal and diffusion (4) Large SI engines we regulate under
requirements apply for equipment?
Provisions
40 CFR part 1048. This includes
1060.120 What emission-related warranty 1060.601 How do the prohibitions of 40 stationary spark-ignition engines subject
requirements apply? CFR 1068.101 apply with respect to the
1060.125 What maintenance instructions
to standards under 40 CFR parts 1048 or
requirements of this part? 1054 as indicated in 40 CFR part 60,
must I give to buyers? 1060.605 Exemptions from evaporative
1060.130 What installation instructions subpart JJJJ. See the evaporative
emission standards.
must I give to equipment manufacturers? 1060.640 What special provisions apply to emission standards specified in 40 CFR
1060.135 How must I label and identify the branded equipment? 1048.105.
engines and equipment I produce? (5) Recreational vehicles and engines
1060.136 How must I label and identify the Subpart H—Averaging, Banking, and we regulate under 40 CFR part 1051
fuel lines I produce? (such as snowmobiles and off-highway
1060.137 How must I label and identify the
Trading Provisions
fuel tanks I produce?
motorcycles). This includes highway
1060.701 Applicability. motorcycles subject to standards under
1060.138 How must I label and identify 1060.705 How do I certify components to
other emission-related components I 40 CFR part 1051 as indicated in 40 CFR
an emission level other than the standard
produce? under this part or use such components
part 86, subpart E since these
in my equipment? motorcycles are considered to be
Subpart C—Certifying Emission recreational vehicles for purposes of this
Families Subpart I—Definitions and Other part 1060. See the evaporative emission
1060.201 What are the general requirements Reference Information standards specified in 40 CFR 1051.110.
for obtaining a certificate of conformity? (6) Small SI engines we regulate
1060.801 What definitions apply to this under 40 CFR part 1054. See the
1060.202 What are the certification part?
requirements related to the general evaporative emission standards
1060.805 What symbols, acronyms, and
standards in § 1060.101? abbreviations does this part use?
specified in 40 CFR 1054.110.
1060.205 What must I include in my
1060.810 What materials does this part (7) Portable marine fuel tanks and fuel
application? lines associated with such fuel tanks
reference?
1060.210 What records should equipment must meet evaporative emission
1060.815 What provisions apply to
manufacturers keep if they do not apply standards specified in 40 CFR 1045.107.
confidential information?
for certification?
1060.225 How do I amend my application
1060.820 How do I request a hearing? Portable nonroad fuel tanks and fuel
1060.825 What reporting and recordkeeping lines associated with such fuel tanks
for certification?
requirements apply under this part? must also meet evaporative emission
1060.230 How do I select emission
families? Authority: 42 U.S.C. 7401–7671q. standards specified in 40 CFR 1045.107,
whether or not they are used with SI engines or Small SI engines under the (2) Heavy-duty motor vehicles and
marine vessels. Portable nonroad fuel optional standards of § 1060.103, it is heavy-duty motor vehicle engines (see
tanks are considered to be portable subject to all the requirements of this 40 CFR part 86).
marine fuel tanks for purposes of this part 1060 as if these optional standards (3) Aircraft engines (see 40 CFR part
part 1060. were mandatory. 87).
(b) The regulations in this part 1060 (d) This part 1060 does not apply to (4) Locomotives (see 40 CFR part 92).
apply for new replacement components any diesel-fueled engine or any other (5) Land-based nonroad diesel engines
used with any of the engines or engine that does not use a volatile liquid we regulate under 40 CFR part 89.
equipment specified in paragraph (a) of fuel. In addition, this part does not (6) Marine diesel engines we regulate
this section as described in § 1060.601. apply to any engines or equipment in under 40 CFR part 89 or 94.
(c) Fuel caps are subject to the following categories even if they use (7) Marine spark-ignition engines we
evaporative emission standards at the a volatile liquid fuel: regulate under 40 CFR part 91.
point of installation on a fuel tank. If a (1) Light-duty motor vehicles (see 40 (e) This part 1060 does not apply for
fuel cap is certified for use with Marine CFR part 86). fuel lines made wholly of metal.
TABLE 1 TO § 1060.1—PART 1060 APPLICABILITY BY MODEL YEAR

Equipment category or sub- Fuel line per- Tank permeation Diurnal or diffusion emissions Running loss emissions
category meation
Marine SI—portable fuel tanks 2009 2011 ....................................... 2009 ....................................... Not applicable.
Marine SI—personal 2009 2011 ....................................... 2009 ....................................... Not applicable.
watercraft.
Marine SI—other installed fuel 2009 2012 ....................................... 2010 ....................................... Not applicable.
tanks.
Large SI .................................. 2007 Not applicable ........................ 2007 (includes tank perme- 2007
ation).
Recreational vehicles ............. 2008 2008 ....................................... Not applicable ........................ Not applicable.
Small SI—handheld engines .. a 2012 2010 b ..................................... Not applicable ........................ Not applicable.
Small SI—Class I 2008 2012 ....................................... 2012 ....................................... 2012
nonhandheld engines.
Small SI—Class II 2008 2011 ....................................... 2011 ....................................... 2011
nonhandheld engines.
a 2013 for small-volume emission families.
b 2011 for structurally integrated nylon fuel tanks and 2013 for all small-volume emission families.
§ 1060.5 Do the requirements of this part (1) Each person meeting the definition requirements of subparts C and D of this
apply to me? of manufacturer that is subject to the part only when we send notification. In
The requirements of this part are standards and other requirements of this our notification, we will specify a
generally addressed to manufacturers part must comply with such reasonable period for complying with
that are subject to this part’s requirements. However, if one person the requirements identified in the
requirements, as described in paragraph complies with a specific requirement for notice. See § 1060.601 for the
(a) of this section. The term ‘‘you’’ a given product, then all manufacturers applicability of 40 CFR part 1068 to
generally means the manufacturer or are deemed to have complied with that these other manufacturers.
specific requirement. For example, if a (3) Certificate holders are responsible
manufacturers that are subject to these
Small SI equipment manufacturer uses for meeting all applicable requirements
requirements. Paragraphs (b) through (e)
fuel lines manufactured and certified by even if other manufacturers are also
of this section describe which
another company, the equipment subject to those requirements.
manufacturers may or must certify their
manufacturer is not required to obtain a (b) Marine SI. Vessels, engines, and
products. (Note: § 1060.601 allows the
certificate with respect to the fuel line fuel-system components may be
certification responsibility to be emission standards. The Small SI certified as follows:
delegated in certain circumstances.) equipment manufacturer remains (1) Component manufacturers must
(a) Overall responsibilities. subject to the standards and other certify their fuel lines and fuel tanks
Manufacturers of engines, equipment, requirements of this part. However, intended for installation with Marine SI
and fuel-system components described where a provision requires a specific engines and vessels under this part
in § 1060.1 are subject to the standards manufacturer to comply with certain 1060, except as allowed by § 1060.601.
and other requirements of this part 1060 provisions, this paragraph (a) does not (2) Vessel manufacturers are subject to
except as otherwise noted. Multiple change or modify such a requirement. all the requirements of this part 1060
manufacturers may be subject to these For example, where this section that apply to Marine SI engines and fuel
standards and other requirements. For specifies that a certain manufacturer systems. However, they must certify
example, when a Small SI equipment must certify its product, this paragraph their vessels to the emission standards
manufacturer buys fuel lines (a) does not modify or change that specified in §§ 1060.102 through
manufactured by another person and manufacturer’s obligation to comply 1060.105 only if one or more of the
installs them in its equipment, both the with the certification requirements. following conditions apply:
equipment manufacturer and the fuel (2) The requirements of subparts C (i) Vessel manufacturers install
line manufacturer are subject to the and D of this part apply to the certified components that are not
standards and other requirements of this manufacturer that obtains the certificate certified to meet all applicable
part. The following provisions apply in of conformity. Other manufacturers are evaporative emission standards. This
such cases: required to comply with the would include vessel manufacturers
that make their own fuel tanks. Vessel fuel systems. However, they must certify emission standards. Equipment
manufacturers would certify under this their engines or equipment to the manufacturers would certify under this
part 1060. emission standards specified in part 1060.
(ii) Vessel manufacturers intend to §§ 1060.102 through 1060.105 only if (ii) Equipment manufacturers install
generate or use emission credits, even if one or more of the following conditions components that are not certified to
they use only certified components to apply: meet all applicable evaporative
meet all applicable evaporative (i) Engine or equipment
emission standards. This would include
emission standards. Vessel manufacturers install certified
components that are not certified to equipment manufacturers that make
manufacturers would certify under part
meet all applicable evaporative their own fuel tanks. Equipment
40 CFR part 1045 using the emission-
emission standards. This would include manufacturers would certify under this
credit provisions in subpart H of that
engine or equipment manufacturers that part 1060.
part to demonstrate compliance with the
emission standard. make their own fuel tanks. Engine or (iii) Equipment manufacturers intend
(3) For purposes of this part 1060, equipment manufacturers would certify to generate or use emission credits, even
manufacturers of outboard engines must under this part 1060. if they use only certified components to
meet all the requirements that apply to (ii) Engine or equipment meet all applicable evaporative
vessel manufacturers. manufacturers intend to generate or use emission standards. Equipment
(c) Large SI. Engine manufacturers emission credits, even if they use only manufacturers would certify under part
must certify their engines and fuel certified components to meet all 40 CFR part 1054 using the emission-
systems under 40 CFR part 1048. applicable evaporative emission credit provisions in subpart H of that
(d) Recreational vehicles. Vehicles, standards. Engine or equipment part to demonstrate compliance with the
engines and fuel-system components manufacturers would certify under part emission standard.
may be certified as follows: 40 CFR part 1054 using the emission-
(f) Summary of certification
(1) Vehicle and engine manufacturers credit provisions in subpart H of that
part to demonstrate compliance with the responsibilities. Tables 1 through 3 of
must certify their vehicles and engines
under 40 CFR part 1051. emission standard. this section summarize the certification
(2) Component manufacturers may (3) Engine manufacturers that produce responsibilities for different kinds of
certify fuel lines and fuel tanks intended nonhandheld Small SI engines with manufacturers as described in
for recreational vehicles under this part complete fuel systems must certify their paragraphs (b) through (e) of this
1060. engines and fuel systems under 40 CFR section. The term ‘‘No’’ as used in the
(e) Small SI. Engines, equipment, and part 1054. tables means that a manufacturer is not
fuel-system components may be (4) Equipment manufacturers are required to obtain a certificate of
certified as follows: subject to all the requirements of this conformity under paragraphs (b)
(1) Component manufacturers must part 1060 that apply to nonhandheld through (e) of this section. In situations
certify their fuel lines and fuel tanks Small SI engines and fuel systems. where multiple manufacturers are
intended for Small SI engines and However, they must certify their subject to the standards and other
equipment under this part 1060, except equipment to the emission standards requirements of this part, such a
as allowed by § 1060.601. specified in §§ 1060.102 through manufacturer must nevertheless certify
(2) Engine and equipment 1060.105 only if one or more of the if the manufacturer who is required to
manufacturers are subject to all the following conditions apply: certify under paragraphs (b) through (e)
requirements of this part 1060 that (i) The engine manufacturer’s of this section fails to obtain a certificate
apply to handheld Small SI engines and certification does not cover running loss of conformity.
TABLE 1 TO § 1060.5—SUMMARY OF ENGINE MANUFACTURER CERTIFICATION RESPONSIBILITIES

Code of Federal Regulations cite for
Equipment type Is the engine manufacturer required to certify fuel systems? a certification
Marine SI ................ No, but manufacturers of outboard engines are treated as equipment manufac-
turers in this part.
Large SI .................. Yes ......................................................................................................................... 40 CFR part 1048.
Recreational vehi- No.
cles.
Small SI .................. Handheld: No, unless engine manufacturers install uncertified components or 40 CFR part 1054.
intend to generate or use emission credits.
Nonhandheld: No, unless engines are sold with complete 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 § 1060.5.—SUMMARY OF EQUIPMENT MANUFACTURER CERTIFICATION RESPONSIBILITIES

Code of Federal
Equipment type Is the equipment manufacturer required to certify fuel systems? Regulations cite for
certification
Marine SI ................................................. Yes, but only if vessel manufacturers install uncertified fuel lines or fuel tanks 40 CFR part 1060,
or intend to generate or use emission credits. or 40 CFR part
1045 if certifying
only for emission
credits.
Large SI .................................................. No.
Recreational vehicles .............................. Yes, even if vehicle manufacturers install certified components. ......................... 40 CFR part 1051.
TABLE 2 TO § 1060.5.—SUMMARY OF EQUIPMENT MANUFACTURER CERTIFICATION RESPONSIBILITIES—Continued

Code of Federal
Equipment type Is the equipment manufacturer required to certify fuel systems? Regulations cite for
certification
Small SI ................................................... Handheld: No, unless equipment manufacturers install uncertified components 40 CFR part 1060,
or intend to generate or use emission credits. or 40 CFR part
1054 if certifying
only for emission
credits.
Nonhandheld: No, unless equipment manufacturers (1) use an engine that has
not already been certified for control of running loss emissions; (2) install
uncertified components; or (3) intend to generate or use emission credits.
TABLE 3 TO § 1060.5.—SUMMARY OF COMPONENT MANUFACTURER CERTIFICATION RESPONSIBILITIES

Code of Federal
Equipment type Is the component manufacturer required to certify fuel lines and fuel tanks? Regulations cite for
certification
Marine SI ................................................. Yes, including portable marine fuel tanks and associated fuel lines.a .................. 40 CFR part 1060.
Large SI .................................................. No.
Recreational vehicles .............................. Allowed but not required ........................................................................................ 40 CFR part 1060.
Small SI ................................................... Yes a ...................................................................................................................... 40 CFR part 1060.
a See § 1060.601 for an allowance to make contractual arrangements with engine or equipment manufacturers instead of certifying.
§ 1060.10 How is this part organized? § 1060.15 Do any other regulation parts (2) Exclusions and exemptions for
This part 1060 is divided into the apply to me? certain products.
following subparts: (a) There is a separate part of the CFR (3) Importing products.
(a) Subpart A of this part defines the that includes exhaust emission
(4) Defect reporting and recall.
applicability of part 1060 and gives an requirements for each particular
application. These are referred to as the (5) Procedures for hearings.
overview of regulatory requirements.
exhaust standard-setting parts. In cases (c) Other parts of this chapter apply
(b) Subpart B of this part describes the
where the exhaust standard-setting part if referenced in this part.
emission standards and other
requirements that must be met to certify includes evaporative requirements,
§ 1060.20 Submission of information.
equipment or components under this apply this part 1060 as specified in the
part. Note that § 1060.110 discusses exhaust standard-setting part, as (a) This part includes various
certain interim requirements and follows: requirements to record data or other
compliance provisions that apply only (1) The requirements in the exhaust information. Refer to § 1060.825, 40 CFR
for a limited time. standard-setting part may differ from the 1068.25, and the exhaust standard-
requirements in this part. In cases where setting part regarding recordkeeping
(c) Subpart C of this part describes
it is not possible to comply with both requirements. If recordkeeping
how to apply for a certificate of
the exhaust standard-setting part and requirements are not specified, store
conformity.
this part, you must comply with the these records in any format and on any
(d) Subpart D of this part describes requirements in the exhaust standard- media and keep them readily available
the requirements related to verifying setting part. The exhaust standard- for one year after you send an associated
that products are being produced as setting part may also allow you to application for certification, or one year
described in an approved application deviate from the procedures of this part after you generate the data if they do not
for certification. for other reasons. support an application for certification.
(e) Subpart E of this part describes the (2) The exhaust standard-setting parts You must promptly send us organized,
requirements related to verifying that may reference some sections of this part written records in English if we ask for
products are meeting the standards in 1060 or may allow or require them. We may review them at any time.
use. certification under this part 1060. See (b) The regulations in § 1060.255 and
(f) Subpart F of this part describes the exhaust standard-setting parts, to 40 CFR 1068.101 describe your
how to measure evaporative emissions. determine what provisions of this part obligation to report truthful and
(g) Subpart G of this part and 40 CFR 1060 apply for these equipment types. complete information and the
part 1068 describe requirements, (b) The requirements and prohibitions consequences of failing to meet this
prohibitions, and other provisions that of part 1068 of this chapter apply to obligation. This includes information
apply to manufacturers, owners, everyone, including anyone who not related to certification.
operators, and all others. manufactures, imports, owns, operates,
(h) Subpart H of this part describes or services any of the fuel systems Subpart B—Emission Standards and
how to certify your equipment or subject to this part 1060. Part 1068 of Related Requirements
components for inclusion in an this chapter describes general

emission averaging program allowed by provisions, including the following § 1060.101 What evaporative emission
an exhaust standard-setting part. requirements apply under this part?
areas:
(i) Subpart I of this part contains (1) Prohibited acts and penalties for Products subject to this part must
definitions and other reference engine manufacturers, equipment meet emission standards and related
information. manufacturers, and others. requirements as follows:
(a) Section 1060.102 describes without submitting an application for opening where fuel is dispensed would
permeation emission control certification, as follows: not be an acceptable design.
requirements for fuel lines. (1) Fuel caps, vents, and carbon (4) Opt-in by component
(b) Section 1060.103 describes canisters. You are responsible for manufacturers. Component
permeation emission control ensuring that proper caps and vents are manufacturers may at their option
requirements for fuel tanks. installed on each new piece of become subject to the requirements
(c) Section 1060.104 describes equipment that is subject to emission specified in paragraph (f) of this section.
running loss emission control standards under this part. The following If a component manufacturer is certified
requirements for fuel systems. particular requirements apply to to these standards, all the applicable
(d) Section 1060.105 describes diurnal equipment that is subject to running requirements and these standards are
and diffusion emission control loss, diurnal, or diffusion emission considered mandatory.
requirements for fuel tanks. standards: (g) Equipment must meet the
(e) The following general (i) All equipment must have a standards specified in this part
requirements apply for components and tethered gas cap. Fuel caps for throughout the useful life of the
equipment subject to the emission equipment subject to diurnal equipment, where the useful life of the
standards in §§ 1060.102 through requirements must include a visual or equipment is either:
1060.105: audible indication when it is properly (1) The useful life in years specified
(1) Adjustable parameters. sealed. for the equipment in the exhaust
Components or equipment with (ii) You may not add vents unless standard-setting part.
adjustable parameters must meet all the they are allowed by the applicable (2) The useful life in years specified
requirements of this part for any certificates of conformity. for the engine in the exhaust standard-
adjustment in the physically adjustable (iii) If the emission controls rely on setting part if the exhaust standards are
range. carbon canisters, they must be installed specified for the engine rather than the
(2) Prohibited controls. The following such that they will not be exposed to equipment and there is no useful life
controls are prohibited: water or liquid fuel. given for the equipment.
(2) Fuel-line fittings. The following (3) Five years if no useful life is
(i) For anyone to design, manufacture,
requirements apply for fuel-line fittings specified in years for the equipment or
or install emission control systems so
that will be used with fuel lines that engine in the exhaust standard-setting
they cause or contribute to an
must meet permeation emission part.
unreasonable risk to public health,
standards:
welfare, or safety while operating. (i) Use good engineering judgment to § 1060.102 What permeation emission
(ii) For anyone to design, ensure that all fuel-line fittings will control requirements apply for fuel lines?
manufacture, or install emission control remain securely connected to prevent (a) Nonmetal fuel lines must meet
systems with features that disable, fuel leakage throughout the useful life of permeation requirements as follows:
deactivate, or bypass the emission the equipment. (1) Marine SI fuel lines, including fuel
controls, either actively or passively. (ii) Fuel lines that are intended to be lines associated with outboard engines
For example, you may not include a detachable (such as those for portable or portable marine fuel tanks, must meet
manual vent that the operator can open marine fuel tanks) must be self-sealing the permeation requirements in this
to bypass emission controls. You may when detached from the fuel tank or section.
ask us to allow such features if needed engine. (2) Large SI fuel lines must meet the
for safety reasons or if the features are (3) Refueling. For any equipment permeation requirements specified in 40
fully functional during emission tests using fuel tanks that are subject to CFR 1048.105.
described in subpart F of this part. diurnal or permeation emission (3) Fuel lines for recreational vehicles
(3) Emission credits. Equipment standards under this part, you must must meet the permeation requirements
manufacturers are allowed to comply design and build your equipment such specified in 40 CFR 1051.110 or in this
with the emission standards in this part that operators can reasonably be section.
using emission credits only if the expected to fill the fuel tank without (4) Small SI fuel lines must meet the
exhaust standard-setting part explicitly spitback or spillage during the refueling permeation requirements in this section.
allows it for evaporative emissions. See event. The following examples illustrate (b) Different categories of nonroad
the exhaust standard-setting part and designs that meet this requirement: equipment are subject to different
subpart H of this part for information (i) Equipment that is commonly requirements with respect to fuel line
about complying with emission credits. refueled using a portable gasoline permeation. Fuel lines are classified
For equipment manufacturers to container should have a fuel inlet that based on measured emissions over the
generate or use emission credits, is larger than a typical dispensing spout. test procedure specified for the class.
components must be certified to a The fuel inlet should be located so the (Note: The test procedure for EPA LEFL
family emission limit (FEL), which operator can place the nozzle directly in lines is performed at a higher
serves as the standard for those the fuel inlet and see the fuel level temperature than the test procedures for
components. while pouring the fuel (either through other classes, such that emissions
(f) This paragraph (f) specifies the tank wall or the fuel inlet). measured using the EPA LEFL
requirements that apply to equipment (ii) Marine SI vessels with a filler procedure will be substantially higher
manufacturers subject to requirements neck extending to the side of the boat than emissions from the same fuel line
under this part, whether or not they are should be designed for automatic fuel measured with the EPA NRFL test
subject to and certify to any of the shutoff. Alternatively, the filler neck procedure.)
emission standards in §§ 1060.102 should be designed such that the (c) The regulations in 40 CFR part
through 1060.105. Equipment orientation of the filler neck allows 1048 require that fuel lines used with
manufacturers meeting these dispensed fuel that collects in the filler Large SI engines must meet the
requirements will be deemed to be neck to flow back into the fuel tank. A standards for EPA LEFL fuel lines. The
certified as in conformity with the filler neck that ends with a horizontal or regulations in 40 CFR part 1054 require
requirements of this paragraph (f) nearly horizontal segment at the that fuel lines used with handheld
Small SI engines used in cold-weather (4) Small SI fuel tanks must meet the showing that your system meets
equipment must meet the standards for permeation requirements in this section. applicable running loss standards in
EPA CWFL fuel lines. Unless specified (b) Permeation emissions from fuel California.
otherwise in this subchapter U, fuel tanks may not exceed 1.5 g/m2/day (2) Route running loss emissions into
lines used with all other engines and when measured at a nominal the engine intake system so fuel vapors
equipment subject to the provisions of temperature of 28 °C with the test vented from the tank during engine
this part 1060, including fuel lines procedures for tank permeation in operation are combusted in the engine.
associated with outboard engines or § 1060.520, except as allowed by If you produce engines with complete
portable marine fuel tanks, must meet paragraph (e) of this section. You may fuel systems, you must test your engines
the standards for EPA NRFL fuel lines. also choose to meet the following with an installed vapor line for
(d) The following standards apply for alternate standards: controlling running loss emissions. If
each fuel line classification: (1) If you perform testing at a nominal another company has certified the
(1) EPA LEFL fuel lines must have temperature of 40 °C under engine with respect to exhaust
permeation emissions at or below 25 g/ § 1060.520(d), permeation emissions emissions, describe in your application
m2/day when measured according to the from fuel tanks may not exceed 2.5 g/ for certification why you believe the
test procedure described in § 1060.510. m2/day. modified engines continue to meet
(2) EPA NRFL fuel lines must have (2) For structurally integrated nylon exhaust emission standards.
permeation emissions at or below 15 g/ fuel tanks used with handheld Small SI (3) Design the equipment so fuel
m2/day when measured according to the equipment, permeation emissions from temperature does not rise more than
test procedure described in § 1060.515. fuel tanks may not exceed 2.5 g/m2/day 8.0 °C during normal operation when
(3) EPA CWFL fuel lines must have for testing at a nominal temperature of measured using the procedure in
permeation emissions at or below 175 g/ 28 °C and may not exceed 4.0 g/m2/day § 1060.535. Such a design may use
m2/day when measured according to the for testing at a nominal temperature of insulation or active cooling to prevent
test procedure described in § 1060.515. 40 °C. fuel heating.
(e) You may certify fuel lines for use (c) The exhaust standard-setting part (4) Use a bladder or other means to
as sections of any length. Also, you may may allow for certification of fuel tanks minimize fuel vapor volume in a sealed
certify fuel line assemblies as aggregated to family emission limit for calculating fuel tank.
systems that include multiple sections emission credits as described in subpart (5) Show that the equipment meets
of fuel line with connectors, and H of this part instead of meeting the the definition of wintertime equipment
fittings. For example, you may certify emission standards in this section. in § 1060.801.
fuel lines for portable marine fuel tanks (d) For purposes of this section, fuel (c) Engines and equipment that are
as assemblies of fuel hose, primer bulbs, tanks include fuel caps, gaskets, and subject to diurnal emission standards
and self-sealing end connections. The other fittings that are directly mounted must meet the requirements related to
standard applies with respect to the to the fuel tank. Fuel tanks do not running loss emissions specified in
total permeation emissions divided by include fuel lines that are subject to § 1060.105.
the wetted internal surface area of the § 1060.102 or petcocks designed for
assembly. Where it is not practical to § 1060.105 What diurnal and diffusion
draining fuel.
requirements apply for equipment?
determine the actual internal surface (e) Fuel caps may be certified
area of the assembly, you may assume separately to the permeation emission (a) Fuel tanks must meet diurnal and
that the internal surface area per unit standard in paragraph (b) of this section diffusion emission requirements as
length of the assembly is equal to the using the test procedures specified in follows:
ratio of internal surface area per unit § 1060.521. (1) Marine SI fuel tanks must meet the
length of the hose section of the requirements related to diurnal
assembly. § 1060.104 What running loss emission emissions specified in this section,
control requirements apply? including portable marine fuel tanks.
(f) The exhaust standard-setting part
may allow for certification of fuel lines (a) Engines and equipment must meet Marine SI fuel tanks are not subject to
to a family emission limit for calculating running loss requirements as follows: diffusion emission standards.
emission credits as described in subpart (1) Marine SI engines are not subject (2) Large SI fuel tanks must meet the
H of this part instead of meeting the to running loss emission standards, requirements related to diurnal
emission standards in this section. except as noted in paragraph (c) of this emissions specified in 40 CFR 1048.105.
section. Large SI fuel tanks are not subject to
§ 1060.103 What permeation emission (2) Large SI engines must prevent fuel diffusion emission standards.
control requirements apply for fuel tanks? boiling during operation as specified in (3) Recreational vehicles are not
(a) Fuel tanks must meet permeation 40 CFR 1048.105. subject to diurnal or diffusion emission
requirements as follows: (3) Recreational vehicles are not standards.
(1) Marine SI fuel tanks, including subject to running loss emission (4) Nonhandheld Small SI fuel tanks
portable marine fuel tanks, must meet standards. must meet the requirements related to
the permeation requirements in this (4) Nonhandheld Small SI engines diffusion emissions specified in this
section. must meet running loss requirements section. Nonhandheld Small SI fuel
(2) Large SI fuel tanks must meet described in this section. Handheld tanks are not subject to diurnal emission
diurnal emission standards as specified Small SI fuel tanks are not subject to standards. Handheld Small SI fuel tanks
in § 1060.105, which includes running loss emission standards. are not subject to diurnal or diffusion
measurement of permeation emissions. (b) You must demonstrate control of emission standards.
No separate permeation standard running loss emissions in one of the (b) Diurnal emissions from Marine SI
applies. following ways if your engines or fuel tanks may not exceed 0.40 g/gal/
(3) Fuel tanks for recreational vehicles equipment are subject to the day when measured using the test
must meet the permeation requirements requirements of this section: procedures specified in § 1060.525 for
specified in 40 CFR 1051.110 or in this (1) Get an approved Executive Order general fuel temperatures. An
section. from the California Air Resources Board alternative standard of 0.16 g/gal/day
applies for fuel tanks installed in area of 2 mm2 and a path length of 6 1068.105(b)), subject to fines or other
nontrailerable boats when measured mm, the length-to-area ratio is 1.5 penalties as described in the Clean Air
using the corresponding fuel mm¥1. Act.’’.
temperature profile in § 1060.525. (iii) A fuel tank must be sealed except (3) Describe any limits on the range of
Portable marine fuel tanks must comply for a vent through a carbon canister applications needed to ensure that the
with the requirements of paragraph (d) designed for controlling diurnal or component operates consistently with
of this section. running loss emissions. your application for certification. For
(c) Portable marine fuel tanks and (iv) A fuel tank must be designed to example:
associated fuel-system components remain sealed up to a positive pressure (i) For fuel tanks sold without fuel
must meet the following requirements: of 3.5 kPa (0.5 psig). caps, you must specify the requirements
(1) They must be self-sealing (without (f) The following general provisions for the fuel cap, such as the allowable
any manual vents) when not attached to apply for controlling diurnal emissions: materials, thread pattern, how it must
the engines. The tanks may not vent to (1) Diurnal emission controls must seal, etc. You must also include
the atmosphere when attached to an continue to function during engine instructions to tether the fuel cap as
engine. operation to control running loss described in § 1060.101(f)(1) if you do
(2) They must remain sealed up to a emissions. For example, you may not not sell your fuel tanks with tethered
positive pressure of 34.5 kPa (5.0 psig); use a fuel tank vent line during engine fuel caps.
however, they may contain air inlets operation if it is not connected to the (ii) If your fuel lines do not meet
that open when there is a vacuum diurnal emission controls. permeation standards specified in
pressure inside the tank. (2) You may not use diurnal emission § 1060.102 for LEFL fuel lines, tell
(d) Detachable fuel lines that are controls that increase the occurrence of equipment manufacturers not to install
intended for use with portable marine fuel spitback or spillage during in-use the fuel lines with Large SI engines that
fuel tanks must be self-sealing (without refueling. Also, if you use a carbon operate on gasoline or another volatile
any manual vents) when not attached to canister, you must incorporate design liquid fuel.
the engine or fuel tank. features that prevent liquid gasoline (4) Describe instructions for installing
(e) The following standards related to from reaching the canister during components so they will operate
diffusion emissions apply for refueling or as a result of fuel sloshing. according to design specifications in
nonhandheld Small SI fuel tanks: your application for certification.
(1) Diffusion emissions from fuel § 1060.120 What emission-related warranty
requirements apply? Specify sufficient detail to ensure that
systems not meeting the design standard the equipment will meet the applicable
of paragraph (e)(2) of this section may (a) General requirements. Certificate
standards when your component is
not exceed a performance standard of holders must warrant to the ultimate
installed.
0.80 g/day when measured using the purchaser and each subsequent
(5) If you certify a component with
test procedures specified in § 1060.530. purchaser that the new nonroad
family emission limit above the
(i) Fuel tanks with fuel caps may be equipment, including all parts of its
emission standard, be sure to indicate
certified as a system to this diffusion evaporative emission control system,
that the equipment manufacturer must
emission standard. Fuel tanks certified meets two conditions:
have a source of credits to offset the
this way that are not sold with the (1) It is designed, built, and equipped
higher emissions and must label the
appropriate fuel cap must include so it conforms at the time of sale to the
equipment as specified in § 1060.135.
specifications for appropriate fuel caps. ultimate purchaser with the
Also indicate the applications for which
(ii) Fuel caps may be certified requirements of this part.
(2) It is free from defects in materials the regulations allow for compliance
separately to this diffusion emission
standard. Such fuel caps must include and workmanship that may keep it from using emission credits.
(6) Instruct the equipment
specifications for appropriate threading meeting these requirements.
(b) Warranty period. Your emission- manufacturers that they must comply
to mate with fuel tanks. with the requirements of § 1060.202.
(2) If your fuel system meets any of related warranty must be valid for at
(c) You do not need installation
the following design standards, you are least two years from the point of first
instructions for components you install
not subject to the performance standard retail sale.
in your own equipment.
specified in paragraph (e)(1) of this § 1060.125 What maintenance instructions (d) Provide instructions in writing or
section: must I give to buyers? in an equivalent format. For example,
(i) A fuel tank must be sealed except you may post instructions on a publicly
Give ultimate purchasers written
for a single vent line that is at least 180 available website for downloading or
instructions for properly maintaining
mm long with a ratio of length to the printing. If you do not provide the
and using the emission control system.
square of the diameter of at least 5.0 instructions in writing, explain in your
mm¥1 (127 in¥1). For example, a vent § 1060.130 What installation instructions application for certification how you
line with 7 mm inside diameter would must I give to equipment manufacturers? will ensure that each installer is
have to be at least 245 mm long to (a) If you sell a certified fuel-system informed of the installation
comply under this paragraph (e)(2)(i). component for someone else to install in requirements.
(ii) A fuel cap must vent only through equipment, give the installer
the cap such that a vent path goes instructions for installing it consistent § 1060.135 How must I label and identify
through the gasket and then around the with the requirements of this part. the engines and equipment I produce?
threads where the fuel cap screws onto (b) Make sure these instructions have The labeling requirements of this
the fuel tank. The ratio of average path the following information: section apply for engine and equipment
length to total cross-sectional area of the (1) Include the heading: ‘‘Emission- manufacturers. See §§ 1060.136 through
vent path through the gasket must be at related installation instructions’’. 1060.138 for the labeling requirements
least 1.0 mm¥1 (25 in¥1), with the vent (2) State: ‘‘Failing to follow these that apply for fuel lines, fuel tanks, and
path going through at least 360° of instructions when installing [IDENTIFY other fuel-system components.
threads. For example, if a gasket has two COMPONENT(S)] in a piece of nonroad (a) If you hold a certificate for your
vent paths, each with a cross-sectional equipment violates federal law (40 CFR engine or equipment with respect to
evaporative emissions, you must affix a also add other information to ensure (c) You may add information to the
permanent and legible label identifying that the equipment will be properly emission control information label to
each engine or piece of equipment maintained and used. identify other emission standards that
before introducing it into U.S. (d) Anyone subject to the labeling the equipment meets or does not meet
commerce. The label must be— requirements in this part 1060 may ask (such as California standards).
(1) Attached so it is not removable us to approve modified labeling (d) You may ask to include the label
without being destroyed or defaced. requirements if it is necessary or information required by this section on
(2) Secured to a part of the engine or appropriate. We will approve the the equipment label required by
equipment needed for normal operation request if the alternate label is § 1060.135 instead of labeling the tank
and not normally requiring replacement. consistent with the requirements of this separately.
(3) Durable and readable for the part. (e) You may ask us to approve
equipment’s entire life. modified labeling requirements in this
(4) Readily visible in the final § 1060.136 How must I label and identify section as described in § 1060.135(e).
installation. It may be under a hinged the fuel lines I produce?
door or other readily opened cover. It The requirements of this section § 1060.138 How must I label and identify
apply for fuel line manufacturers: other emission-related components I
may not be hidden by any cover
(a) Label your fuel line at the time of produce?
attached with screws or any similar
designs. manufacture as follows: The requirements of this section
(5) Written in English. (1) Label the fuel line in a permanent apply for manufacturers of fuel-system
(b) The engine or equipment label and legible manner. components.
must include all the applicable (2) Include your corporate name or (a) The requirements of this section
information specified in §§ 1060.136 trademark. apply for the following fuel-system
through 1060.138 if you are using (3) Include EPA’s standardized components:
components that are not already designation for emission family. (1) Fuel caps that are certified under
certified by another company. You may (4) Identify the fuel line’s FEL, if § 1060.102.
applicable. (2) Fuel caps for equipment subject to
combine all required label information
(5) The labeling information must be diurnal or diffusion requirements.
in a single label. This may include
continuous, with no more than 12 (3) Carbon canisters.
information related to exhaust
inches before repeating. You may add a (4) Other components that are part of
emissions if you also certify the engine
continuous stripe or other pattern to a system for controlling evaporative
with respect to exhaust emissions.
help identify the particular type or emissions.
(1) If you are certifying with respect
grade of fuel line. (b) Add a permanent and legible label
to the running loss standard, include the
(b) You may ask us to approve at the time of manufacture to each fuel-
following information:
modified labeling requirements in this system component as follows:
(i) Include your corporate name or
section as described in § 1060.135(e). (1) Identify your corporate name or
trademark.
You may label short preformed fuel trademark; however, you may omit this
(ii) Describe your method for meeting
lines (less than 12 inches long) under if there is not enough space.
the running loss standard.
§ 1060.138 instead of complying with (2) If you certify the component,
(iii) State the date of manufacture
the requirements of this section. include EPA’s standardized designation
[MONTH and YEAR] of the equipment;
for emission family.
however, you may omit this from the § 1060.137 How must I label and identify (3) If the component is part of a
label if you stamp or engrave it on the the fuel tanks I produce? system for controlling emissions from a
equipment. The requirements of this section fuel tank as described in
(iv) State: ‘‘THIS EQUIPMENT apply for fuel tank manufacturers: § 1060.137(b)(5), identify the part
COMPLIES WITH U.S. EPA RUNNING (a) Add a permanent label at the time number of each component or
LOSS STANDARDS.’’. of manufacture to each fuel tank. For subassembly.
(2) If you are certifying your molded tanks, you may mold the label (c) You may ask us to approve
equipment with respect to emission into the tank. The label must be— modified labeling requirements in this
credits, include the following (1) Attached so it is not removable section as described in § 1060.135(e).
information: without being destroyed or defaced.
(i) Include your corporate name or (2) Durable and readable for the Subpart C—Certifying Emission
trademark. equipment’s entire life. Families
(ii) Identify the engine family name of (3) Written in English.
the fuel-system components for which (b) The label must— § 1060.201 What are the general
you are generating or using emission (1) Include your full corporate name requirements for obtaining a certificate of
credits. and trademark. conformity?
(iii) State the date of manufacture (2) Include EPA’s standardized Manufacturers of engines, equipment,
[MONTH and YEAR] of the equipment; designation for emission family. or fuel-system components may need to
however, you may omit this from the (3) Identify the fuel tank’s FEL, if certify their products with respect to
label if you stamp or engrave it on the applicable. evaporative emission standards as
equipment. (4) Identify the emission control described in §§ 1060.1 and 1060.601.
(iv) State: ‘‘THIS EQUIPMENT system. For equipment subject to See § 1060.202 for requirements related
COMPLIES WITH PERMEATION diurnal, diffusion, or running loss to certifying with respect to the
STANDARDS BASED ON EMISSION requirements, list applicable part requirements specified in § 1060.101(f).
CREDITS.’’. numbers of emission control The following general requirements

(c) You may add information to the components consistent with the apply for obtaining a certificate of
emission control information label to requirements of § 1060.138. conformity:
identify other emission standards that (5) State: ‘‘THIS FUEL TANK (a) You must send us a separate
the equipment meets or does not meet COMPLIES WITH U.S. EPA EMISSION application for a certificate of
(such as California standards). You may REGULATIONS.’’. conformity for each emission family. A
certificate of conformity for equipment certificate from us. The provisions of (including the test procedures, test
is valid starting with the indicated this part apply in the same manner for parameters, and test fuels) to show you
effective date, but it is not valid for any certificates issued under this paragraph meet the requirements of this part. If
production after December 31 of the (c) as for any other certificate issued you did not do the testing, identify the
model year for which it is issued. No under this part. source of the data.
certificate will be issued after December (m) Report all test results, including
31 of the model year. A certificate of application?
those from invalid tests, whether or not
conformity for a component is valid they were conducted according to the
starting with the indicated effective This section specifies the information test procedures of subpart F of this part.
that must be in your application, unless We may ask you to send other
date, but it is not valid for any
we ask you to include less information
production after the end of the information to confirm that your tests
under § 1060.202(c). We may require
production period for which it is issued. were valid under the requirements of
(b) The application must contain all you to provide additional information to
this part.
evaluate your application.
the information required by this part (n) Unconditionally certify that all the
(a) Describe the emission family’s
and must not include false or products in the emission family comply
specifications and other basic
incomplete statements or information parameters of the emission controls. with the requirements of this part, other
(see § 1060.255). Describe how you meet the running loss referenced parts of the CFR, and the
(c) We may ask you to include less Clean Air Act.
emission control requirements in
information than we specify in this (o) Include good-faith estimates of
§ 1060.104, if applicable. Describe how
subpart, but you must still maintain all you meet any applicable equipment- U.S.-directed production volumes.
the information required by § 1060.250. based requirements of § 1060.101(e) and Include a justification for the estimated
(d) You must use good engineering production volumes if they are
(f). State whether you are requesting
judgment for all decisions related to substantially different than actual
certification for gasoline or some other
your application (see 40 CFR 1068.5). fuel type. List each distinguishable production volumes in earlier years for
(e) An authorized representative of similar models.
configuration in the emission family.
your company must approve and sign (b) Describe the products you selected (p) Include other applicable
the application. for testing and the reasons for selecting information, such as information
(f) See § 1060.255 for provisions them. required by other subparts of this part.
describing how we will process your (c) Describe the test equipment and (q) Name an agent for service located
application. procedures that you used, including any in the United States. Service on this
special or alternate test procedures you agent constitutes service on you or any
§ 1060.202 What are the certification
requirements related to the general used (see § 1060.501). of your officers or employees for any
standards in § 1060.101? (d) List the specifications of the test action by EPA or otherwise by the
Equipment manufacturers must fuel to show that it falls within the United States related to the
ensure that their equipment is certified required ranges specified in subpart F of requirements of this part.
with respect to the general standards this part.
(e) State the equipment applications § 1060.210 What records should
specified in § 1060.101(f) as follows: equipment manufacturers keep if they do
(a) If § 1060.1 requires you to certify to which your certification is limited.
not apply for certification?
your equipment to any of the emission For example, if your fuel system meets
the emission requirements of this part If you are an equipment manufacturer
standards specified in through that does not need to obtain a certificate
applicable only to handheld Small SI
1060.105, describe in your application of conformity for your equipment as
equipment, state that the requested
for certification how you will meet the described in § 1060.1, you must keep
certificate would apply only for
general standards specified in the following records to document
handheld Small SI equipment.
§ 1060.101(f). (f) Identify the emission family’s compliance with applicable
(b) If § 1060.1 does not require you to requirements, which we may review at
useful life.
certify your equipment to any of the (g) Include the maintenance any time:
emission standards specified in through instructions you will give to the (a) Identify your equipment models
1060.105, your equipment is deemed to ultimate purchaser of each new nonroad and the annual U.S.-directed production
be certified with respect to the general engine (see § 1060.125). volumes for each model.
standards specified in § 1060.101(f) if (h) Include the emission-related (b) Identify the emission family names
you design and produce your equipment installation instructions you will of the certificates that will cover your
to meet those standards. provide if someone else will install your equipment and the names of the
(1) You must keep records as component in a piece of nonroad companies that hold the certificates.
described in § 1060.210. The other equipment (see § 1060.130). (c) Describe how you comply with
provisions of this part for certificate (i) Describe your emission control any emission-related installation
holders apply only as specified in information label (see §§ 1060.135 instructions, labeling requirements, and
§ 1060.5. through 1060.138). the general standards in § 1060.101(e)
(2) Your equipment is deemed to be (j) Identify the emission standards or and (f).
certified only to the extent that it meets FELs to which you are certifying the
the general standards in § 1060.101(f). emission family. § 1060.225 How do I amend my application
Thus, it is a violation of 40 CFR (k) Present emission data to show for certification?
1068.101(a)(1) to introduce into U.S. your products meet the applicable Before we issue a certificate of
commerce such equipment that does not emission standards. Note that conformity, you may amend your
meet applicable requirements under §§ 1060.235 and 1060.240 allow you to application to include new or modified
§ 1060.101(f). submit an application in certain cases configurations, subject to the provisions
(c) Instead of relying on paragraph (b) without new emission data. of this section. After we have issued
of this section, you may submit an (l) State that your product was tested your certificate of conformity, you may
application for certification and obtain a as described in the application send us an amended application
requesting that we include new or if we determine that the affected (e) You may subdivide a group of
modified configurations within the configurations do not meet applicable equipment or components that are
scope of the certificate, subject to the requirements, we will notify you to identical under paragraphs (b) through
provisions of this section. You must cease production of the configurations (d) of this section into different
amend your application if any changes and may require you to recall the emission families if you show the
occur with respect to any information equipment at no expense to the owner. expected emission characteristics are
included in your application. If you Choosing to produce equipment under different during the useful life.
would like to modify a family emission this paragraph (e) is deemed to be (f) In unusual circumstances, you may
limit for your product, you must submit consent to recall all equipment that we group equipment or components that
a separate application for a new determine do not meet applicable are not identical with respect to the
emission family. emission standards or other things listed in paragraph (b) through
(a) You must amend your application requirements and to remedy the (d) of this section in the same emission
before you take either of the following nonconformity at no expense to the family if you show that their emission
actions: owner. If you do not provide characteristics during the useful life will
(1) Add a configuration to an emission information required under paragraph be similar. The provisions of this
family. In this case, the configuration (c) of this section within 30 days, you paragraph (f) do not exempt any engines
added must be consistent with other must stop producing the new or from meeting all the applicable
configurations in the emission family modified equipment. standards and requirements in subpart B
with respect to the criteria listed in of this part.
§ 1060.230. § 1060.230 How do I select emission
(2) Change a configuration already families? (g) Select test components that are
included in an emission family in a way (a) Divide your product line into most likely to exceed the applicable
that may affect emissions, or change any families of equipment (or components) emission standards. For example, select
of the components you described in that are expected to have similar a fuel tank with the smallest average
your application for certification. This emission characteristics throughout the wall thickness (or barrier thickness, as
includes production and design changes useful life. appropriate) of those fuel tanks you
that may affect emissions any time (b) Group fuel lines in the same include in the same family.
during the equipment’s lifetime. emission family if they are the same in
all the following aspects: § 1060.235 What emission testing must I
(b) To amend your application for perform for my application for a certificate
certification, send the Designated (1) Type of material including barrier
layer. of conformity?
Compliance Officer the following
information: (2) Production method. This section describes the emission
(1) Describe in detail the addition or (3) Types of connectors and fittings testing you must perform to show
change in the configuration you intend (material, approximate wall thickness, compliance with the emission standards
to make. etc.) for fuel line assemblies certified in subpart B of this part.
(2) Include engineering evaluations or together.
(4) Family emission limit, if (a) Test your products using the
data showing that the amended procedures and equipment specified in
emission family complies with all applicable.
(c) Group fuel tanks (or fuel systems subpart F of this part.
applicable requirements. You may do (b) Select an emission-data unit from
including fuel tanks) in the same
this by showing that the original each emission family for testing. In
emission family if they are the same in
emission data are still appropriate for general, you must test a preproduction
all the following aspects:
showing that the amended family (1) Type of material, including any product that will represent actual
complies with all applicable pigments, plasticizers, UV inhibitors, or production. However, for fuel tank
requirements. other additives that may affect control of permeation, you may test a tank with
(3) If the original emission data for the
emissions. standardized geometry, provided that it
emission family are not appropriate to (2) Production method. is made of the same material(s) and
show compliance for the new or (3) Relevant characteristics of fuel cap appropriate wall thickness. Select the
modified configuration, include new design for fuel systems subject to configuration that is most likely to
test data showing that the new or diurnal or diffusion emission exceed (or have emissions nearer to) an
modified configuration meets the requirements. applicable emission standard. For
requirements of this part. (4) Gasket material and design.
(c) We may ask for more test data or example, for a family of multilayer fuel
(5) Emission control strategy. tanks, test the tank with the thinnest
engineering evaluations. You must give (6) Family emission limit, if
us these within 30 days after we request barrier layer. In general, the test
applicable. procedures specify that components or
them. (d) Group other fuel-system
(d) For emission families already systems be tested rather than complete
components and equipment in the same
covered by a certificate of conformity, equipment. For example, to certify your
emission family if they are the same in
we will determine whether the existing family of Small SI equipment, you
all the following aspects:
certificate of conformity covers your (1) Emission control strategy and would need to test a sample of fuel line
new or modified configuration. You design. for permeation emissions, a fuel tank for
may ask for a hearing if we deny your (2) Type of material (such as type of permeation emissions, and a fuel system
request (see § 1060.820). charcoal used in a carbon canister). This for diffusion emissions. Note that
(e) For emission families already criteria does not apply for materials that paragraph (e) of this section and
covered by a certificate of conformity, are unrelated to emission control § 1060.240 allow you in certain
you may start producing the new or performance. circumstances to certify without testing
modified configuration anytime after (3) The fuel systems meet the running an emission-data unit from the emission
you send us your amended application loss emission standard based on the family.
and before we make a decision under same type of compliance demonstration (c) You may not do maintenance on
paragraph (d) of this section. However, specified in § 1060.104(b), if applicable. emission-data units.
(d) We may measure emissions from line representing that family has test on ASTM D3802–79 (incorporated by
any of your products from the emission results showing an official emission reference in § 1060.810), except that
family, as follows: level above the standard. hardness is defined as the ratio of mean
(1) You must supply your products to (c) Round the measured emission particle diameter before and after the
us if we choose to perform confirmatory level to the same number of decimal test and the procedure must involve
testing. places as the emission standard. twenty 1⁄2-inch steel balls and ten 3⁄4-
(2) If we measure emissions on one of Compare the rounded emission levels to inch steel balls. Good engineering
your products, the results of that testing the emission standard for each judgment must be used in the structural
become the official emission results for emission-data unit. design of the carbon canister. The
the emission family. Unless we later (d) You may demonstrate for canister must have a volume
invalidate these data, we may decide certification that your emission family compensator or some other device to
not to consider your data in determining complies with the evaporative emission prevent the carbon pellets from moving
if your emission family meets applicable standards by demonstrating that you use within the canister as a result of
requirements. the following control technologies: vibration or changing temperature.
(e) You may ask to use emission data (1) [Reserved] (4) We may establish additional
from a previous production period (2) For certification to the fuel tank design certification options where we
(carryover) instead of doing new tests, permeation standards specified in find that new test data demonstrate that
but only if all the following are true: § 1060.103 with the following control the use of a different technology design
(1) The emission family from the technologies: will ensure compliance with the
previous production period differs from (i) A metal fuel tank with no nonmetal applicable emission standards.
the current emission family only with gaskets or with gaskets made from a (e) You may not establish a family
respect to production period or other low-permeability material. emission limit below the emission
characteristics unrelated to emissions. (ii) A metal fuel tank with nonmetal standard for components certified based
You may also ask to add a configuration gaskets with an exposed gasket surface on design specifications under this
subject to § 1060.225. area of 1,000 mm2 or less. section, even if actual emission rates are
(2) The emission-data unit from the (iii) A coextruded high-density much lower.
previous production period remains the polyethylene fuel tank with a
appropriate emission-data unit under continuous ethylene vinyl alcohol § 1060.250 What records must I keep and
paragraph (b) of this section. For barrier layer making up at least 2 what reports must I send to EPA?
example, you may not carryover percent of the fuel tank’s overall wall (a) Organize and maintain the
emission data for your family of nylon thickness, with no nonmetal gaskets or following records:
fuel tanks if you have added a thinner- with gaskets made from a low- (1) A copy of all applications and any
walled fuel tank than was tested permeability material. summary information you send us.
previously. (iv) A coextruded high-density (2) Any of the information we specify
(3) The data show that the emission- polyethylene fuel tank with a in § 1060.205 that you were not required
data unit would meet all the continuous ethylene vinyl alcohol to include in your application.
requirements that apply to the emission barrier layer making up at least 2 (3) A detailed history of each
family covered by the application for percent of the fuel tank’s overall wall emission-data unit. For each emission
certification. thickness, with nonmetal gaskets or data unit, include all of the following:
(f) We may require you to test a with an exposed gasket surface area of (i) The emission-data unit’s
second unit of the same or different 1,000 mm2 or less. construction, including its origin and
configuration in addition to the unit (3) For certification to the diurnal buildup, steps you took to ensure that
tested under paragraph (b) of this standards specified in § 1060.105 with it represents production equipment, any
section. the following control technologies: components you built specially for it,
(g) If you use an alternate test (i) A Marine SI fuel tank sealed up to and all the components you include in
procedure under § 1060.505, and later a positive pressure of 7.0 kPa (1.0 psig); your application for certification.
testing shows that such testing does not however, they may contain air inlets (ii) All your emission tests, including
produce results that are equivalent to that open when there is a vacuum documentation on routine and standard
the procedures specified in this part, we pressure inside the tank. tests, and the date and purpose of each
may reject data you generated using the (ii) A Marine SI fuel tank equipped test.
alternate procedure. with a passively purged carbon canister (iii) All tests to diagnose emission
§ 1060.240 How do I demonstrate that my with a minimum carbon volume of control performance, giving the date and
emission family complies with evaporative 0.040 liters per gallon of fuel tank time of each and the reasons for the test.
emission standards? capacity (or 0.016 liters per gallon for (iv) Any other significant events.
(a) For purposes of certification, your fuel tanks used in nontrailerable boats). (4) Production figures for each
emission family is considered in The carbon canister must have a emission family divided by assembly
compliance with an evaporative minimum effective length-to-diameter plant.
emission standard in subpart B of this ratio of 3.5 and the vapor flow must be (5) Keep a list of equipment
part if you do either of the following: directed with the intent of using the identification numbers for all the
(1) You have test results showing whole carbon bed. The carbon must equipment you produce under each
measured emission levels from the fuel have a minimum butane working certificate of conformity.
tank or fuel line (as applicable) in the capacity of 90 g/L based on the test (b) Keep data from routine emission
family are at or below the applicable procedures specified in ASTM D5228– tests (such as test cell temperatures and
standard. 92 (incorporated by reference in relative humidity readings) for one year

(2) You comply with the design § 1060.810). The carbon must adsorb no after we issue the associated certificate
specifications in paragraph (d) of this more than 0.5 grams of water per gram of conformity. Keep all other
section. of carbon at 90% relative humidity and information specified in paragraph (a) of
(b) Your emission family is deemed a temperature of 25 ± 5 °C. The carbon this section for eight years after we issue
not to comply if any fuel tank or fuel must also pass a dust attrition test based your certificate.
(c) Store these records in any format (6) Fail to supply requested equally to anyone who does testing for
and on any media, as long as you can information or amend your application you.
promptly send us organized, written to include all equipment being (b) Unless we specify otherwise, the
records in English if we ask for them. produced. terms ‘‘procedures’’ and ‘‘test
You must keep these records readily (7) Take any action that otherwise procedures’’ in this part include all
available. We may review them at any circumvents the intent of the Act or this
aspects of testing, including the
time. part.
(d) Send us copies of any equipment specifications, calibrations,
(d) We may void your certificate if
maintenance instructions or calculations, and other protocols and
you do not keep the records we require
explanations if we ask for them. or do not give us information when we procedural specifications needed to
ask for it. measure emissions.
§ 1060.255 What decisions may EPA make
regarding my certificate of conformity? (e) We may void your certificate if we (c) The specification for gasoline to be
(a) If we determine your application is find that you intentionally submitted used for testing is given in 40 CFR
complete and shows that the emission false or incomplete information. 1065.710. Use the grade of gasoline
family meets all the requirements of this (f) If we deny your application or specified for general testing. For testing
part and the Act, we will issue a suspend, revoke, or void your specified in this part that requires a
certificate of conformity for your certificate, you may ask for a hearing blend of gasoline and ethanol, blend
emission family for that production (see § 1060.820). this grade of gasoline with reagent-grade
period. We may make the approval ethanol. You may use less pure ethanol
Subpart D—Production Verification if you can demonstrate that it will not
subject to additional conditions.
(b) We may deny your application for Testing affect your ability to demonstrate
certification if we determine that your § 1060.301 Manufacturer testing. compliance with the applicable
emission family fails to comply with (a) You must test production samples emission standards.
emission standards or other
or otherwise verify that equipment or (d) Accuracy and precision of all
requirements of this part or the Act. Our
components you produce are as temperature measurements must be ±
decision may be based on a review of all
information available to us. If we deny
specified in the certificate of 1.0 °C or better. If you use multiple
conformity. sensors to measure differences in
your application, we will explain why
(b) You must provide records of such temperature, calibrate the sensors so
in writing.
(c) In addition, we may deny your verification to us upon request. they will be within 0.5 °C of each other
application or suspend or revoke your § 1060.310 Supplying products to EPA for when they are in thermal equilibrium at
certificate if you do any of the testing. a point within the range of test
following: Upon our request, you must supply a temperatures (use the starting
(1) Refuse to comply with any testing reasonable number of production temperature in Table 1 of § 1060.525,
or reporting requirements. samples to us for verification testing. unless this is not feasible).
(2) Submit false or incomplete
(e) Accuracy and precision of mass
information (paragraph (e) of this Subpart E—In-Use Testing
section applies if this is fraudulent). balances must be sufficient to ensure
(3) Render inaccurate any test data. § 1060.401 General Provisions. accuracy and precision of two percent
(4) Deny us from completing or better for emission measurements for
We may perform in-use testing of any
authorized activities despite our equipment or fuel-system component products at the maximum level allowed
presenting a warrant or court order (see subject to the standards of this part. by the standard. The readability of the
40 CFR 1068.20). This includes a failure display may not be coarser than half of
to provide reasonable assistance. Subpart F—Test Procedures the required accuracy and precision.
(5) Produce equipment for Examples are shown in the following
importation into the United States at a § 1060.501 General testing provisions. table:
location where local law prohibits us (a) This subpart is addressed to you as
from carrying out authorized activities. a certifying manufacturer, but it applies
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 or better ........................ ± 0.197 g or better ........................ ± 0.0392 g or better
Required readability ....................... 0.1 g or better ............................... 0.1 g or better ............................... 0.01 g or better
§ 1060.505 Other procedures. may perform other testing as allowed by determine that it would produce
(a) Your testing. The procedures in the Act. emission measurements that represent
this part apply for all testing you do to (c) Exceptions. We may allow or in-use operation and we determine that
show compliance with emission require you to use procedures other than it can be used to show compliance with
standards, with certain exceptions listed those specified in this part in the the requirements of the standard-setting
in this section. following cases: part.
(b) Our testing. These procedures (1) You may request to use special (2) You may ask to use emission data
generally apply for testing that we do to procedures if your equipment cannot be collected using other procedures, such
determine if your equipment complies tested using the specified procedures. as those of the California Air Resources
with applicable emission standards. We We will approve your request if we Board or the International Organization
for Standardization. We will approve (incorporated by reference in may use less accurate estimates of the
this only if you show us that using these § 1054.810). Start the measurement surface area if you make sure not to
other procedures does not affect your procedure within 8 hours after draining overestimate the surface area.
ability to show compliance with the and refilling the fuel line. (3) Empty the fuel tank and
applicable emission standards. This immediately refill it with the specified
generally requires emission levels to be § 1060.520 How do I test fuel tanks for test fuel to its nominal capacity. Be
permeation emissions?
far enough below the applicable careful not to spill any fuel.
emission standards so any test Measure permeation emissions by (4) Allow the tank and its contents to
differences do not affect your ability to weighing a sealed fuel tank before and equilibrate to the temperatures specified
state unconditionally that your after a temperature-controlled soak. in paragraph (d)(6) of this section.
equipment will meet all applicable (a) Preconditioning durability testing. (5) Seal the fuel tank within eight
emission standards when tested using Take the following steps before an hours after refueling as follows:
the specified test procedures. emission test, in any order, unless we (i) You may seal the fuel inlet with a
(3) You may request to use alternate determine that omission of one or more nonpermeable covering if the fuel tank
procedures that are equivalent to of these durability tests will not affect is designed to have a separate filler neck
allowed procedures or are more accurate the emissions from your fuel tank: between the fuel cap and the tank, and
(1) Pressure cycling. Perform a the filler neck is at least 12 inches long
or more precise than allowed
pressure test by sealing the tank and and has an opening at least 6 inches
procedures. See 40 CFR 1065.12 for a
cycling it between +13.8 and ¥1.7 kPa above the top of the fuel tank.
description of the information that is
(+2.0 and ¥0.5 psig) for 10,000 cycles (ii) For filler necks not meeting the
generally required to show that an
at a rate of 60 seconds per cycle. The specifications described in paragraph
alternate test procedure is equivalent.
purpose of this test is to represent (b)(5)(i) of this section, take one of the
(4) The test procedures are specified
environmental wall stresses caused by following approaches:
for gasoline-fueled equipment. If your
pressure changes and other factors (such (A) Use a production fuel cap
equipment will use another volatile
as vibration or thermal expansion). If expected to have permeation emissions
liquid fuel instead of gasoline, use a test
your tank cannot be tested using the at least as high as the highest-emitting
fuel that is representative of the fuel that
pressure cycles specified by this fuel cap that you expect to be used with
will be used with the equipment in use.
paragraph (a)(1), you may ask to use fuel tanks from the emission family. It
You may ask us to approve other
special test procedures under would generally be appropriate to
changes to the test procedures to reflect
§ 1060.505. consider an HDPE fuel cap with a nitrile
the effects of using a fuel other than (2) UV exposure. Perform a sunlight-
gasoline. rubber seal to be worst-case.
exposure test by exposing the tank to an (B) You may seal the fuel inlet with
(d) Approval. If we require you to ultraviolet light of at least 24 W/m2
request approval to use other a nonpermeable covering if you
(0.40 W-hr/m2/min) on the tank surface separately measure the permeation from
procedures under paragraph (c) of this for at least 450 hours. Alternatively, the
section, you may not use them until we a worst-case fuel cap as described in
fuel tank may be exposed to direct § 1060.521.
approve your request. natural sunlight for an equivalent period (iii) Openings that are not normally
§ 1060.510 How do I test EPA Low of time, as long as you ensure that the sealed on the fuel tank (such as hose-
Emission Fuel Lines for permeation tank is exposed to at least 450 daylight connection fittings and vents in fuel
emissions? hours. caps) may be sealed using
For low-emission fuel lines (EPA (3) Slosh testing. Perform a slosh test nonpermeable fittings such as metal or
LEFL), measure emissions according to by filling the tank to 40 percent of its fluoropolymer plugs.
SAE standard procedure number J2260, capacity with the fuel specified in (iv) Openings for petcocks that are
which is incorporated by reference in paragraph (e) of this section and rocking designed for draining fuel may be sealed
§ 1054.810. it at a rate of 15 cycles per minute until using nonpermeable fittings such as
you reach one million total cycles. Use metal or fluoropolymer plugs.
§ 1060.515 How do I test EPA Nonroad an angle deviation of +15° to ¥15° from (c) Reference tank. A reference tank is
Fuel Lines and EPA Cold Weather Fuel level. required to correct for buoyancy effects
Lines for permeation emissions? (b) Preconditioning fuel soak. Take that may occur during testing. Prepare
Measure emission as follows for EPA the following steps before an emission the reference tank as follows:
NRFL and EPA CWFL fuel lines: test: (1) Obtain a second tank that is
(a) Prior to permeation testing, (1) Fill the tank with the fuel identical to the test tank. You may not
precondition the fuel line by filling it specified in paragraph (e) of this use a tank that has previously contained
with the fuel specified in paragraph (c) section, seal it, and allow it to soak at fuel or any other contents that might
of this section, sealing the openings, and 28 ± 5 °C for at least 20 weeks. affect its mass stability.
soaking it for 4 to 8 weeks at 23 ± 5 °C. Alternatively, the tank may be soaked (2) Fill the reference tank with enough
Use Fuel CE10, which is Fuel C as for at least 10 weeks at 43 ± 5 °C. You dry sand (or other inert material) so the
specified in ASTM D 471–06 may count the time of the mass of the reference tank is
(incorporated by reference in preconditioning steps in paragraph (a) approximately the same as the test tank
§ 1054.810) blended with 10 percent of this section as part of the when filled with fuel. Use good
ethanol by volume. preconditioning fuel soak, as long as the engineering judgment to determine how
(b) Drain the fuel line and refill it ambient temperature remains within the similar the mass of the reference tank
immediately with the fuel specified in specified temperature range and the fuel needs to be to the mass of the test tank,
paragraph (a) of this section. Be careful tank is at least 40 percent full; you may considering the performance
not to spill any fuel. add or replace fuel as needed to conduct characteristics of your balance.
(c) Measure fuel line permeation the specified durability procedures. (3) Ensure that the sand (or other inert
emissions using the equipment and (2) Determine the fuel tank’s internal material) is dry. This may require
procedures for weight-loss testing surface area in square-meters, accurate heating the tank or applying a vacuum
specified in SAE J30 or SAE J1527 to at least three significant figures. You to it.
(4) Seal the tank. Example: If a tank with an internal fuel tank and fuel cap. Measure fuel
(d) Permeation test run. To run the surface area of 0.720 m2 weighed 1.31 cap’s permeation emissions as follows:
test, take the following steps after grams less than the reference tank at the (a) Select a fuel cap expected to have
preconditioning: beginning of the test and weighed 9.86 permeation emissions at least as high as
(1) Weigh the sealed test tank and grams less than the reference tank after the highest-emitting fuel cap that you
record the weight. Place the reference soaking for 14.03 days, the emission rate expect to be used with fuel tanks from
tank on the balance and tare it so it would be— the emission family. Include a gasket
reads zero. Place the sealed test tank on ((¥1.31 g) ¥ (¥9.82 g)) / 0.72 m2 / that represents production models. If
the balance and record the difference 14.03 days = 0.842 g/m2/day. the fuel cap includes vent paths, seal
between the test tank and the reference (9) Round your result to the same these vents as follows:
tank. This value is Minitial. Take this number of decimal places as the (1) If the vent path is through grooves
measurement within 8 hours of filling emission standard. in the gasket, you may use another
the test tank with fuel as specified in (10) In cases where consideration of gasket with no vent grooves if it is
paragraph (b)(3) of this section. permeation rates, using good otherwise the same as a production
(2) Carefully place the tank within a engineering judgment, leads you to gasket.
ventilated, temperature-controlled room conclude that soaking for 14 days is not (2) If the vent path is through the cap,
or enclosure. Do not spill or add any long enough to measure weight change seal any vents for testing.
fuel. with enough significant figures, you
(3) Close the room or enclosure and (b) Attach the fuel cap to a fuel tank
may soak for 14 days longer. In this with a capacity of at least one liter made
record the time. case, repeat the steps in paragraphs
(4) Ensure that the measured of metal or some other impermeable
(b)(8) and (9) of this section to material.
temperature in the room or enclosure determine the weight change for the full
stays within the temperatures specified (c) Use the procedures specified in
28 days.
in paragraph (d)(6) of this section. (e) Fuel specifications. Use gasoline § 1060.520 to measure permeation
(5) Leave the tank in the room or blended with 10 percent ethanol by emissions. Calculate emission rates
enclosure for 14 days. volume as specified in § 1060.501. As an using the smallest inside cross sectional
(6) Hold the temperature of the room alternative, you may use Fuel CE10, area of the opening on which the cap is
or enclosure at 28 ± 2 °C; measure and which is Fuel C as specified in ASTM mounted as the fuel cap’s surface area.
record the temperature at least daily. D 471–06 (incorporated by reference in § 1060.525 How do I test fuel systems for
You may alternatively hold the § 1060.810) blended with 10 percent diurnal emissions?
temperature of the room or enclosure at ethanol by volume.
40 ± 2 °C to demonstrate compliance Use the procedures of this section to
with the alternative standards specified § 1060.521 How do I test fuel caps for determine whether your fuel tanks meet
in § 1060.103(b). permeation emissions? the diurnal emission standards in
(7) At the end of the soak period, If you measure a fuel tank’s § 1060.105.
retare the balance using the reference permeation emissions with a (a) Except as specified in paragraph
tank and weigh the sealed test tank. nonpermeable covering in place of the (c) of this section, use the following
Record the difference in mass between fuel cap as described in procedure to measure diurnal
the reference tank and the test tank. § 1060.520(b)(5)(ii), you must separately emissions:
This value is Mfinal. measure permeation emissions from a (1) Diurnal measurements are based
(8) Subtract Mfinal from Minitial; divide fuel cap. You may show that your fuel on a representative temperature cycle.
the difference by the internal surface tank and fuel cap meet emission For marine fuel tanks, the temperature
area of the fuel tank. Divide this g/m2 standards by certifying them separately cycle specifies fuel temperatures rather
value by the number of test days (using or by combining the separate than ambient temperatures. The
at least three significant figures) to measurements into a single emission applicable temperature cycle is
calculate the emission rate in g/m2/day. rate based on the relative areas of the indicated in the following table:
TABLE 1 TO § 1060.525—DIURNAL TEMPERATURE PROFILES FOR FUEL TANKS

Fuel tempera-
Ambient tem- General fuel ture profile for
perature temperature marine fuel
Time profile for profile for in- tanks installed
(hours) land-based stalled marine in
fuel tanks fuel tanks nontrailerable
(°C) (°C) boats
(°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
TABLE 1 TO § 1060.525—DIURNAL TEMPERATURE PROFILES FOR FUEL TANKS—Continued

Fuel tempera-
Ambient tem- General fuel ture profile for
perature temperature marine fuel
Time profile for profile for in- tanks installed
(hours) land-based stalled marine in
fuel tanks fuel tanks nontrailerable
(°C) (°C) boats
(°C)
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 measured diurnal emissions if the fuel (3) Install fuel caps, vent ports, and
nominal capacity with the gasoline tank is preconditioned with diurnal test vent lines representing in-use
specified in 40 CFR 1065.710 for general fuel as described in § 1060.520(b) or if configurations.
testing. you use good engineering judgment to (4) Stabilize the fuel tank at 28 ± 2 °C.
(3) Install a vapor line from any vent otherwise establish that the fuel tank You need not measure emissions during
ports that would not be sealed in the has stabilized permeation emissions. this stabilization step.
final in-use configuration. Use a length Measure permeation emissions for (5) If the fuel system is equipped with
of vapor line representing the shortest subtraction as specified in § 1060.520(c) a carbon canister, load the canister with
length that would be expected with the and (d) before measuring diurnal butane or gasoline vapors to its carbon
range of in-use installations for the emissions, except that the permeation working capacity and attach it to the
emission family. measurement must be done with diurnal fuel tank in a way that represents a
(4) Stabilize the fuel tank at the test fuel. Use appropriate units and typical in-use configuration.
starting temperature of the applicable corrections to subtract the permeation (6) Place the fuel tank with the carbon
temperature profile from paragraph emissions from the fuel tank during the canister and vent line in a sealed
(a)(1) of this section. diurnal emission test. You may not enclosure such as a SHED meeting the
(5) If the fuel tank is equipped with subtract a greater mass of emissions specifications of 40 CFR 86.107–
a carbon canister, load the canister with under this paragraph (b) than the fuel 96(a)(1). (Note: Make sure the enclosure
butane or gasoline vapors to its carbon tank would emit based on meeting the is large enough that the mixture of fuel
working capacity and attach it to the applicable emission standard for vapor and air within the enclosure will
fuel tank in a way that represents a permeation. remain safely below the applicable
typical in-use configuration. (c) For emission control technologies lower flammability limit.)
(6) Place the fuel tank with the carbon (7) Hold the temperature of the
that do not use carbon canisters or other
canister and vent line in a SHED enclosure at 28 ± 2 °C throughout the
emission-sorbing materials, you must
meeting the specifications of 40 CFR measurement procedure.
follow the procedures specified in
86.107–96(a)(1). Follow the applicable (8) Immediately following the
paragraph (a) of this section, but you
temperature trace from paragraph (a)(1) stabilization period, purge the SHED.
may omit the stabilization step in
of this section for one 24-hour period. Reseal the SHED and start measuring
paragraph (a)(6) of this section and the
You need not measure emissions during emissions. Collect emission
last two 24-hour periods of emission
this stabilization step. measurements for 6 hours. Use the
measurements in paragraph (a)(7) of this
(7) As soon as possible after the measured results to calculate an
section.
stabilization in paragraph (a)(6) of this emission rate over a 24-hour period.
section, purge the SHED and follow the § 1060.530 How do I test fuel systems for (b) You may subtract your fuel tank’s
applicable temperature trace from diffusion emissions? permeation emissions from the
paragraph (a)(1) of this section for three measured diffusion emissions if the fuel
Use the procedures of this section to
consecutive 24-hour periods. Start tank is preconditioned with diffusion
determine whether your fuel tanks meet
measuring emissions when you start the test fuel as described in § 1060.520(b) or
the diffusion emission standards in
temperature profile. The end of the first, if you use good engineering judgment to
§ 1060.105.
second, and third emission sampling otherwise establish that the fuel tank
periods must occur 1440 ± 6, 2880 ± 6, (a) Use the following procedure to has stabilized permeation emissions.
and 4320 ± 6 minutes, respectively, after measure diffusion emissions: Measure permeation emissions for
starting the measurement procedure. (1) Diffusion measurements are based subtraction as specified in § 1060.520(c)
Use the highest of the three emission on a 6-hour soak under nominally and (d) before measuring diffusion
levels to determine whether your fuel isothermal conditions. emissions, except that the permeation
tank meets the diurnal emission (2) Fill the fuel tank to 90 percent of measurement must be done with
standard. nominal capacity with the gasoline diffusion test fuel. Use appropriate units
(b) You may subtract your fuel tank’s specified for general testing in 40 CFR and corrections to subtract the
permeation emissions from the 1065.710. permeation emissions from the fuel tank
during the diffusion emission test. You consider engine operation, solar load, used consistent with the prohibition in
may not subtract a greater mass of temperature, and wind speed such that paragraph (a) of this section. It is
emissions under this paragraph (b) than the measured values would be expected presumed that such components are
the fuel tank would emit based on to be the same as if they were measured intended for use with nonroad engines,
meeting the applicable emission using the procedures in paragraph (a) of unless the components, or the packaging
standard for permeation. this section. for such components, clearly identify
(c) You may use the procedures of this (c) If a piece of equipment has more appropriate restrictions. This
section to certify fuel caps to diffusion than one fuel tank, you may measure requirement does not apply for
emission standards. To do this, install fuel temperatures in each fuel tank at components that are clearly not
the fuel cap on a fuel tank that has no the same time, but each fuel tank must intended for use with fuels.
other vent path. control temperatures as specified in (2) Applicability of standards after
§ 1060.104(b)(3). January 1, 2020. Starting January 1,
§ 1060.535 How do I measure fuel (d) Keep records of all the 2020 it is presumed that replacement
temperatures to comply with running loss components will be used with nonroad
measurements you make under this
requirements?
section. Also keep records describing engines subject to the standards of this
Measure fuel temperature on the engine and equipment operation part if they can reasonably be used with
representative equipment models as used for the measurements, including such engines. Manufacturers,
needed to show that all affected information related to factors that would distributors, retailers, and importers are
equipment models will not exceed the affect engine load. For example, if the therefore obligated to take all reasonable
temperature rise specified in operation involves cutting grass, steps possible to ensure that any
§ 1060.104(b)(3). document the grass height and density uncertified components are not used to
(a) Measure fuel temperatures as and the mower’s cutting height. Keep replace certified components. This
follows: these records for at least eight years after would require labeling the components
(1) Select a piece of equipment the end of the last model year for which and may also require restricting the
representing the equipment the test results apply. sales and requiring the ultimate
configuration to be produced. purchaser to agree to not use the
(2) Position a thermocouple in the Subpart G—Special Compliance components inappropriately. This
fuel tank so it remains wetted when the Provisions requirement does not apply for
fuel tank is 20 percent full, without components that are clearly not
touching the inside walls or bottom of § 1060.601 How do the prohibitions of 40 intended for use with fuels.
the fuel tank. CFR 1068.101 apply with respect to the (3) Applicability of the tampering
(3) Except as specified in paragraph requirements of this part?
prohibition. If a fuel tank or fuel line
(b) of this section, you must conduct (a) As described in § 1060.1, certain needing replacement was certified to
this testing outdoors without shelter fuel tanks and fuel lines that are used meet the emission standards in this part
under the following conditions: with or intended to be used with new with a family emission limit below the
(i) Ambient temperature must start nonroad engines are subject to otherwise applicable standard, the new
between 20 and 30 °C and be steady or evaporative emission standards under replacement fuel tank or fuel line must
increasing during the test. Measure this part 1060. This includes portable be certified with the same or lower
shaded ambient temperatures near the marine fuel tanks and fuel lines and family emission limit to avoid violating
test site. other fuel-system components the tampering prohibition in 40 CFR
(ii) Average wind speed must be associated with portable marine fuel 1068.101(b)(1). Equipment owners may
below 15 miles per hour. tanks. Except as specified in paragraph request an exemption from this
(iii) No precipitation. (f) of this section, these fuel-system requirement by demonstrating that no
(iv) Maximum cloud cover of 25 components must therefore be covered such fuel tanks or fuel lines are
percent as reported by the nearest local by a valid certificate of conformity available. We may issue guidance to
airport making hourly meteorological before being introduced into U.S. address such exemptions more broadly
observations. commerce to avoid violating the if appropriate.
(4) Fill the fuel tank with a prohibition of 40 CFR 1068.101(a). To (c) Small SI engines must have a valid
commercially available fuel. Testing the extent we allow it under the exhaust certificate of conformity with respect to
may start when fuel temperatures in the standard-setting part, fuel-system running loss emission standards before
tank are within 2 °C of the ambient components may be certified with a being introduced into U.S. commerce to
temperature without exceeding the family emission limit higher than the avoid violating the prohibition of 40
ambient temperature. emission standard. The provisions of CFR 1068.101(a). The running loss
(5) Operate the equipment for one this paragraph (a) do not apply to fuel emission standard cannot be met by
hour or until it uses 80 percent of the caps. component manufacturers. The
total fuel tank capacity, whichever (b) New replacement fuel tanks and emission standard and the
occurs first, over a normal in-use duty fuel lines are subject to evaporative responsibility for certification applies to
cycle. emission standards under this part 1060 engine manufacturers or equipment
(6) Show that the difference between if they are intended to be used with manufacturers as follows:
the maximum and minimum measured nonroad engines that are regulated by (1) Engines with complete fuel
fuel temperature during the operation this part 1060, as follows: systems are subject to the running loss
specified in paragraph (a)(5) of this (1) Applicability of standards between emission standard.
section does not exceed 8 °C at any time January 1, 2012 and December 31, 2019. (2) If Small SI engines are sold
during the operation. Manufacturers, distributors, retailers, without complete fuel systems, the
(b) You may ask us to approve a plan and importers are obligated to clearly associated equipment is subject to the
to measure fuel temperatures indoors. state on the packaging for all running loss emission standard.
Your plan must establish a replacement components that could (d) Manufacturers that generate or use
measurement procedure that would reasonably be used with nonroad emission credits related to Marine SI
simulate outdoor conditions and engines how such components may be engines in 40 CFR part 1045 or Small SI
engines in 40 CFR part 1054 are subject (d) For equipment powered by more (c) You remain responsible for
to the emission standards for which than one engine, all the engines meeting all the requirements of this
they are generating or using emission installed in the equipment must be chapter, including warranty and defect-
credits. These engines or equipment exempt from all applicable EPA exhaust reporting provisions.
must therefore be covered by a valid emission standards for the equipment to
certificate of conformity showing also be exempt under paragraph (a) or Subpart H—Averaging, Banking, and
compliance with emission-credit (b) of this section. Trading Provisions
provisions before being introduced into (e) In unusual circumstances, we may § 1060.701 Applicability.
U.S. commerce to avoid violating the exempt equipment from the
prohibition of 40 CFR 1068.101(a). (a) You are allowed to comply with
requirements of this part 1060 even if
(e) Where there is no valid certificate the emission standards in this part with
the equipment is powered by one or
of conformity for any given evaporative emission credits only if the exhaust
more engines that are subject to EPA
emission standard for new equipment, standard-setting part explicitly allows it
exhaust emission standards. See 40 CFR
the manufacturers of the engine, for evaporative emissions.
part 1068. Such exemptions will be (b) The following CFR parts allow
equipment and fuel-system components limited to:
are each liable for violations of the some use of emission credits:
(1) Testing. See 40 CFR 1068.210. (1) 40 CFR part 1045 for marine
prohibited acts. (2) National security. See 40 CFR
(f) If you manufacture fuel lines or vessels.
1068.225. (2) 40 CFR part 1051 for recreational
fuel tanks that are subject to the (3) Economic hardship. See 40 CFR
requirements of this part as described in vehicles.
1068.245 and 1068.250. (3) 40 CFR part 1054 for Small SI
paragraph (a) of this section, the
(f) Evaporative emission standards equipment.
prohibition in 40 CFR 1068.101(a) does (c) As specified in 40 CFR part 1048,
generally apply based on the model year
not apply to your products if you ship there is no calculation of emission
of the equipment, which is determined
them directly to an equipment credits for Large SI equipment.
by the equipment’s date of final
manufacturer or another manufacturer
assembly. However, in the first year of
with which you have a contractual § 1060.705 How do I certify components to
new emission standards, equipment
agreement that obligates the other an emission level other than the standard
manufacturers may apply evaporative under this part or use such components in
manufacturer to certify those fuel lines
emission standards based on the model my equipment?
or fuel tanks.
year of the engine as shown on the As specified in this section, a
§ 1060.605 Exemptions from evaporative engine’s emission control information component or system may be certified to
emission standards. label. For example, for fuel line a family emission limit (FEL) instead of
(a) Except as specified in the exhaust permeation standards starting in 2012, the otherwise applicable emission
standard-setting part and paragraph (b) equipment manufacturers may order a standard.
of this section, equipment using an batch of 2011 model year engines for (a) Requirements for certifying
engine that is exempt from emission installation in 2012 model year component manufacturers. See subpart
standards under the provisions in 40 equipment, subject to the anti- C of this part for instructions regarding
CFR part 1068, subpart C or D, is also stockpiling provisions of 40 CFR the general requirements for certifying
exempt from the requirements of this 1068.105(a). The equipment with the components.
part 1060. For example, engines or 2011 model year engines would not (1) When you submit your application
equipment exempted from exhaust need to meet fuel line permeation for certification, indicate the FEL to
emission standards for purposes of standards, as long as the equipment is which your components will be
national security do not need to meet fully assembled by December 31, 2012. certified. This FEL will serve as the
evaporative emission standards. Also, applicable standard for your component
§ 1060.640 What special provisions apply
any engine that is exempt from emission to branded equipment? and the equipment that uses the
standards because it will be used solely component. For example, when the
for competition does not need to meet The following provisions apply if you
regulations of this part use the phrase
evaporative emission standards. identify the name and trademark of
‘‘demonstrate compliance with the
(b) Engines produced under the another company instead of your own
applicable emission standard’’ it will
replacement-engine exemption in 40 on your emission control information
mean ‘‘demonstrate compliance with
CFR 1068.240 must use fuel-system label for equipment, as provided by
the FEL’’ for your component.
components that meet the evaporative § 1060.135: (2) You may not change the FEL for
emission standards based on the model (a) You must have a contractual an engine family. To specify a different
year of the engine being replaced subject agreement with the other company that FEL for your components, you must
to the provisions of 40 CFR 1068.265. If obligates that company to take the send a new application for certification
no evaporative emission standards following steps: for a new emission family.
applied at that time, no requirements (1) Meet the emission warranty (3) Unless your FEL is below all
related to evaporative emissions apply requirements that apply under emission standards that could
to the new engine. Installing a § 1060.120. This may involve a separate potentially apply, you must ensure that
replacement engine does not change the agreement involving reimbursement of all equipment manufacturers that will
applicability of requirements for the warranty-related expenses. use your component are aware of the
equipment into which the replacement (2) Report all warranty-related limitations regarding the conditions
engine is installed. information to the certificate holder. under which they may use your
(c) Engines or equipment that are (b) In your application for component.
temporarily exempt from EPA exhaust certification, identify the company (4) It is your responsibility to read the
emission standards are also exempt whose trademark you will use and relevant instructions in the standard-
from the requirements of this part 1060 describe the arrangements you have setting parts identified in § 1060.15.
for the same period as the exhaust made to meet your requirements under (b) Requirements for equipment
exemption. this section. manufacturers. See subpart C of this
part for instructions regarding your Certified emission level means the Emission family has the meaning
ability to rely on the component highest official emission level in an given in § 1060.230.
manufacturer’s certificate. emission family. Equipment means vehicles, marine
(1) The FEL of the component will Cold-weather equipment includes the vessels, and other types of nonroad
serve as the applicable standard for your following types of handheld equipment: equipment that are subject to this part’s
equipment. chainsaws, cut-off saws, clearing saws, requirements.
(2) If the FEL is above the emission brush cutters with engines at or above Evaporative means relating to fuel
standard you must ensure that the 40cc, commercial earth and wood drills, emissions that result from permeation of
exhaust standard-setting part allows you and ice augers. This includes earth fuel through the fuel-system materials
to use emission credits to comply with augers if they are also marketed as ice and from ventilation of the fuel system.
emission standards and that you will augers. Exhaust standard-setting part means
have an adequate source of emission Configuration means a unique the part in the Code of Federal
credits. You must certify your combination of hardware (material, Regulations that contains exhaust
equipment as specified in § 1060.201 geometry, and size) and calibration emission standards for a particular piece
and the rest of subpart C of this part. within an emission family. Units within of equipment (or the engine in that
a single configuration differ only with piece of equipment). For example, the
Subpart I—Definitions and Other respect to normal production variability. exhaust standard-setting part for off-
Reference Information Designated Compliance Officer means highway motorcycles is 40 CFR part
§ 1060.801 What definitions apply to this the Manager, Heavy-Duty and Nonroad 1051. Exhaust standard-setting parts
part? Engine Group (6405–J), U.S. may include evaporative emission
The following definitions apply to Environmental Protection Agency, 1200 requirements or describe how the
this part. The definitions apply to all Pennsylvania Ave., NW., Washington, requirements of this part 1060 apply.
DC 20460. Exposed gasket surface area means
subparts unless we note otherwise. All
Designated Enforcement Officer the surface area of the gasket inside the
undefined terms have the meaning the
Act gives to them. The definitions means the Director, Air Enforcement fuel tank that is exposed to fuel or fuel
follow: Division (2242A), U.S. Environmental vapor. For the purposes of calculating
Accuracy and precision means the Protection Agency, 1200 Pennsylvania exposed surface area of a gasket, the
sum of accuracy and repeatability, as Ave., NW., Washington, DC 20460. thickness of the gasket and the outside
defined in 40 CFR 1065.1001. For Detachable fuel line means a fuel line dimension of the opening being sealed
example, if a measurement device is or fuel line assembly intended to be are used. Gasket overhang into the fuel
determined to have an accuracy of ± 1% used with a portable nonroad fuel tank tank should be ignored for the purpose
and a repeatability of ± 2%, then its and which is connected by special of this calculation.
accuracy and precision would be ± 3%. fittings to the fuel tank and/or engine for Family emission limit (FEL) means an
Act means the Clean Air Act, as easy disassembly. Fuel lines that require emission level declared by the
amended, 42 U.S.C. 7401–7671q. a wrench or other tools to disconnect manufacturer to serve in place of an
Adjustable parameter means any are not considered detachable fuel lines. otherwise applicable emission standard
device, system, or element of design that Diffusion emissions means under an ABT program specified by the
someone can adjust and that, if evaporative emissions caused by the exhaust standard-setting part. The
adjusted, may affect emissions. You may venting of fuel tank vapors as a result family emission limit must be expressed
ask us to exclude a parameter if you of molecular motion rather than fuel to the same number of decimal places as
show us that it will not be adjusted in heating. the emission standard it replaces. The
use in a way that affects emissions. Diurnal emissions means evaporative family emission limit serves as the
Applicable emission standard or emissions that occur as a result of emission standard for the emission
applicable standard means an emission venting fuel tank vapors during daily family with respect to all required
standard to which a fuel-system temperature changes while the engine is testing.
component; or, where a fuel-system not operating. Diurnal emissions Fuel line means hoses or tubing
component has been or is being certified include diffusion emissions. designed to contain liquid fuel. The
another standard or FEL, applicable Effective length-to-diameter ratio exhaust standard-setting part may
emission standards means the FEL and means the mean vapor path length of a further specify which types of hoses and
other standards to which the fuel- carbon canister divided by the effective tubing are subject to the standards of
system component has been or is being diameter of that vapor path. The this part.
certified. This definition does not apply effective diameter is the diameter of a Fuel system means all components
to subpart H of this part. circle with the same cross-sectional area involved in transporting, metering, and
Butane working capacity means the as the average cross-sectional area of the mixing the fuel from the fuel tank to the
measured amount of hydrocarbon vapor carbon canister’s vapor path. combustion chamber(s), including the
that can be stored on a canister when Emission control system means any fuel tank, fuel tank cap, fuel pump, fuel
tested according to ASTM D5228–92 device, system, or element of design that filters, fuel lines, carburetor or fuel-
(incorporated by reference in controls or reduces the regulated injection components, and all fuel-
§ 1060.810). You may determine carbon evaporative emissions from a piece of system vents. In the case where the fuel
capacity for a given system by nonroad equipment. tank cap or other components
multiplying the mass of carbon in the Emission-data unit means a fuel line, (excluding fuel lines) are directly
system by weight-specific carbon fuel tank, fuel system, or fuel-system mounted on the fuel tank, they are
working capacity of a specific type of component that is tested for considered to be a part of the fuel tank.
carbon. certification. This includes components Fuel CE10 has the meaning given in
Certification means relating to the tested by EPA. § 1060.515(a).
process of obtaining a certificate of Emission-related maintenance means Fuel type means a general category of
conformity for an emission family that maintenance that substantially affects fuels such as gasoline or natural gas.
complies with the emission standards emissions or is likely to substantially There can be multiple grades within a
and requirements in this part. affect emission deterioration. single fuel type, such as premium
gasoline, regular gasoline, or gasoline the calendar year. This must include competition, or engines used in aircraft.
with 10 percent ethanol. January 1 of the calendar year for which This part does not apply to all nonroad
Gasoline means one of the following: the model year is named. It may not engines (see § 1060.1).
(1) For in-use fuels, gasoline means begin before January 2 of the previous Nonroad equipment means a piece of
fuel that is commonly and commercially calendar year and it must end by equipment that is powered by or
know as gasoline, including ethanol December 31 of the named calendar intended to be powered by one or more
blends. year. nonroad engines. Note that § 1060.601
(2) For testing, gasoline has the (2) For other equipment defined as describes how we treat outboard
meaning given in subpart F of this part. ‘‘new nonroad equipment’’ under engines, portable marine fuel tanks, and
Good engineering judgment means paragraph (2) of the definition of ‘‘new associated fuel-system components as
judgments made consistent with nonroad engine,’’ model year has the nonroad equipment under this part
generally accepted scientific and meaning given in the exhaust standard- 1060.
engineering principles and all available setting part. Nontrailerable boat means a vessel 26
relevant information. See 40 CFR 1068.5 (3) For other equipment defined as feet or more in length.
for the administrative process we use to ‘‘new nonroad equipment’’ under Official emission result means the
evaluate good engineering judgment. paragraph (3) or paragraph (4) of the measured emission rate for an emission-
Installed marine fuel tank means any definition of ‘‘new nonroad engine,’’ data unit.
fuel tank designed for delivering fuel to model year means the model year of the Placed into service means put into
a Marine SI engine, excluding portable engine as defined in the exhaust initial use for its intended purpose.
nonroad fuel tanks. standard-setting part. Portable marine fuel tank means a
Large SI means relating to engines New nonroad equipment means portable nonroad fuel tank that is used
that are subject to evaporative emission equipment meeting one or more of the or intended to be used with a marine
standards in 40 CFR part 1048. following criteria: vessel.
Low-permeability material means a (1) Nonroad equipment for which the Portable nonroad fuel tank means a
material with permeation emission rates ultimate purchaser has never received fuel tank that meets each of the
at or below 10 (g-mm)/(m2-day) when the equitable or legal title. The following criteria:
measured according to SAE J2659 equipment is no longer new when the (1) It has design features indicative of
(incorporated by reference in ultimate purchaser receives this title or use in portable applications, such as a
§ 1060.810), where the test temperature the product is placed into service, carrying handle and fuel line fitting that
is 23 °C, the test fuel is Fuel CE10, and whichever comes first. can be readily attached to and detached
testing immediately follows a four-week (2) Nonroad equipment that is defined from a nonroad engine.
preconditioning soak with the test fuel. as new under the exhaust standard- (2) It has a nominal fuel capacity of
Manufacture means the physical and setting part. (Note: equipment that is not 12 gallons or less.
engineering process of designing, defined as new under the exhaust (3) It is designed to supply fuel to an
constructing, and assembling an engine, standard-setting part may be defined as engine while the engine is operating.
piece of nonroad equipment, or fuel- new under this definition of ‘‘new Production period means the period
system components subject to the nonroad equipment.’’) in which a certified component will be
requirements of this part. (3) Nonroad equipment with an produced under a certificate of
Manufacturer has the meaning given engine that becomes new (as defined in conformity.
in section 216(1) of the Act. In general, Recreational vehicle means vehicles
the exhaust standard-setting part) while
this term includes: that are subject to evaporative emission
installed in the equipment. The
(1) Any person who manufactures an
equipment is no longer new when it is standards in 40 CFR part 1051. This
engine or piece of nonroad equipment
subsequently placed into service. This generally includes engines that will be
for sale in the United States or
paragraph (3) does not apply if the installed in recreational vehicles if the
otherwise introduces a new nonroad
engine becomes new before being engines are certified separately under 40
engine or a piece of new nonroad
equipment into U.S. commerce. installed in the equipment. CFR 1051.20.
(2) Any person who manufactures a (4) Nonroad equipment not covered Revoke has the meaning given in 40
fuel-system component for an engine by a certificate of conformity issued CFR 1068.30. If we revoke a certificate
subject to the requirements of this part under this part at the time of or an exemption, you must apply for a
as described in § 1060.1(a). importation and manufactured after the new certificate or exemption before
(3) Importers who import such requirements of this part start to apply continuing to introduce the affected
products into the United States. (see § 1060.1). The equipment is no equipment into U.S. commerce.
Marine SI means relating to vessels longer new when it is subsequently Round means to round numbers
subject to evaporative emission placed into service. Importation of this according to standard procedures as
standards in 40 CFR part 1045. kind of new nonroad equipment is specified in 40 CFR 1065.1001.
Marine vessel has the meaning given generally prohibited by 40 CFR part Running loss emissions means
in 40 CFR § 1045.801, which generally 1068. unburned fuel vapor that escapes from
includes all nonroad equipment used as Nominal capacity means the a fuel the fuel system to the ambient
a means of transportation on water. tank’s volume as specified by the fuel atmosphere while the engine is
Model year means one of the tank manufacturer, using at least two operating, excluding permeation
following things: significant figures, based on the emissions and diurnal emissions.
(1) For equipment defined as ‘‘new maximum volume of fuel the tank can Running loss emissions generally result
nonroad equipment’’ under paragraph hold with standard refueling from fuel-temperature increases caused
(1) of the definition of ‘‘new nonroad techniques. by heat released from in-tank fuel
engine,’’ model year means one of the Nonroad engine has the meaning we pumps, fuel recirculation, or proximity
following: give in 40 CFR 1068.30. In general this to heat sources such as the engine or
(i) Calendar year. means all internal-combustion engines exhaust components.
(ii) Your annual new model except motor vehicle engines, stationary Sealed means lacking openings to the
production period if it is different than engines, engines used solely for atmosphere that would allow liquid or
vapor to leak out under normal the first person who in good faith ASTM American Society for Testing and
operating pressures or other pressures purchases such new nonroad equipment Materials.
specified in this part. Sealed fuel for purposes other than resale. C Celsius.
systems may have openings for emission Ultraviolet light means CFR Code of Federal Regulations.
controls or fuel lines needed to route electromagnetic radiation with a CWFL Cold-weather fuel line (see
fuel to the engine. wavelength between 300 and 400 § 1060.102).
Small SI means relating to engines nanometers. EPA Environmental Protection Agency.
that are subject to emission standards in United States has the meaning given FEL family emission limit.
40 CFR part 90 or 1054. in 40 CFR 1068.30. g gram.
Structurally integrated nylon fuel tank U.S.-directed production volume gal gallon.
means a fuel tank having all the means the amount of equipment, subject hr hour.
following characteristics: to the requirements of this part, in inch.
(1) The fuel tank is made of a produced by a manufacturer for which kPa kilopascal.
polyamide material that does not the manufacturer has a reasonable kW kilowatt.
L liter.
contain more than 50 percent by weight assurance that sale was or will be made
LEFL Low-emission fuel line (see
of a reinforcing glass fiber or mineral to ultimate purchasers in the United
§ 1060.102).
filler and does not contain more than 10 States.
m meter.
percent by weight of impact modified Useful life means the period during
min minute.
polyamides that use rubberized agents which new nonroad equipment is
mm millimeter.
such as EPDM rubber. required to comply with all applicable NRFL Nonroad fuel line (see § 1060.102).
(2) The fuel tank must be used in a emission standards. See § 1060.101. psig pounds per square inch of gauge
cut-off saw or chainsaw or be integrated Void has the meaning given in 40 CFR pressure.
into a major structural member where, 1068.30. If we void a certificate, each SAE Society of Automotive Engineers.
as a single component, the fuel tank piece of equipment introduced into U.S. SHED Sealed Housing for Evaporative
material is a primary structural/stress commerce under that emission family Determination.
member for other major components for that production period is considered U.S. United States.
such as the engine, transmission, or noncompliant, and you are liable for U.S.C. United States Code.
cutting attachment. each piece of equipment introduced into W watt.
Subchapter U means 40 CFR parts U.S. commerce under the certificate and
1000 through 1299. may face civil or criminal penalties or § 1060.810 What materials does this part
Suspend has the meaning given in 40 both. This applies equally to each piece reference?
CFR 1068.30. If we suspend a certificate, of equipment in the emission family, Documents listed in this section have
you may not introduce into U.S. including equipment introduced into been incorporated by reference into this
commerce equipment from that U.S. commerce before we voided the part. The Director of the Federal
emission family unless we reinstate the certificate. If we void an exemption, Register approved the incorporation by
certificate or approve a new one. If we each piece of equipment introduced into reference as prescribed in 5 U.S.C.
suspend an exemption, you may not U.S. commerce under that exemption is 552(a) and 1 CFR part 51. Anyone may
introduce into U.S. commerce considered uncertified (or inspect copies at the U.S. EPA, Air and
equipment that was previously covered nonconforming), and you are liable for Radiation Docket and Information
by the exemption unless we reinstate each piece of equipment introduced into Center, 1301 Constitution Ave., NW.,
the exemption. U.S. commerce under the exemption Room B102, EPA West Building,
Tare means to use a container or other and may face civil or criminal penalties Washington, DC 20460 or at the
reference mass to zero a balance before or both. You may not introduce into National Archives and Records
weighing a sample. Generally, this U.S. commerce any additional Administration (NARA). For
means placing the container or reference equipment using the voided exemption. information on the availability of this
mass on the balance, allowing it to Volatile liquid fuel means any fuel material at NARA, call 202–741–6030,
stabilize, then zeroing the balance other than diesel or biodiesel that is a or go to: http://www.archives.gov/
without removing the container or liquid at atmospheric pressure and has federal_register/
reference mass. This allows you to use a Reid Vapor Pressure higher than 2.0 code_of_federal_regulations/
the balance to determine the difference pounds per square inch. ibr_locations.html.
in mass between the sample and the We (us, our) means the Administrator
container or reference mass. of the Environmental Protection Agency (a) ASTM material. Table 1 of this
Test unit means a piece of fuel line, and any authorized representatives. section lists material from the American
a fuel tank, or a fuel system in a test Wintertime equipment means Society for Testing and Materials that
sample. equipment using a wintertime engine, as we have incorporated by reference. The
Test sample means the collection of defined in 40 CFR 1054.801. Note this first column lists the number and name
fuel lines, fuel tanks, or fuel systems definition applies only for Small SI of the material. The second column lists
selected from the population of an equipment. the sections of this part where we
emission family for emission testing. reference it. Anyone may purchase
This may include testing for § 1060.805 What symbols, acronyms, and copies of these materials from the
abbreviations does this part use? American Society for Testing and
certification, production-line testing, or
in-use testing. The following symbols, acronyms, Materials, 100 Barr Harbor Dr., P.O. Box
Ultimate purchaser means, with and abbreviations apply to this part: C700, West Conshohocken, PA 19428 or
respect to any new nonroad equipment, ° degree. www.astm.com. Table 1 follows:
TABLE 1 TO § 1060.810.—ASTM MATERIALS

Part 1060
ASTM D 471–06, Standard Test Method for Rubber Property-Effect of Liquids ........................................................................... 1060.515
ASTM D3802–79 (Reapproved 2005), Standard Test Method for Ball-Pan Hardness of Activated Carbon ................................. 1060.240
ASTM D5228–92 (Reapproved 2005), Standard Test Method for Determination of Butane Working Capacity of Activated Car-
bon ............................................................................................................................................................................................... 1060.240
(b) SAE material. Table 2 of this column lists the number and name of copies of these materials from the
section lists material from the Society of the material. The second column lists Society of Automotive Engineers, 400
Automotive Engineers that we have the sections of this part where we Commonwealth Drive, Warrendale, PA
incorporated by reference. The first reference it. Anyone may purchase 15096 or www.sae.org. Table 2 follows:

Part 1060
SAE J30, Fuel and Oil Hoses, June 1998 ...................................................................................................................................... 1060.515
SAE J1527, Marine Fuel Hoses, February 1993 ............................................................................................................................ 1060.515
SAE J2260, Nonmetallic Fuel System Tubing with One or More Layers, November 1996 ........................................................... 1060.510
SAE J2659, Test Method to Measure Fluid Permeation of Polymeric Materials by Speciation, December 2003 ........................ 1060.801
§ 1060.815 What provisions apply to § 1060.825 What reporting and (4) In 40 CFR 1068.105 we require
confidential information? recordkeeping requirements apply under equipment manufacturers to keep
this part? certain records related to duplicate
(a) Clearly show what you consider
Under the Paperwork Reduction Act labels from engine manufacturers.
confidential by marking, circling,
(44 U.S.C. 3501 et seq.), the Office of (5) [Reserved]
bracketing, stamping, or some other
Management and Budget approves the (6) In 40 CFR part 1068, subpart C, we
method.
reporting and recordkeeping specified identify several reporting and
(b) We will store your confidential in the applicable regulations. The recordkeeping items for making
information as described in 40 CFR part following items illustrate the kind of demonstrations and getting approval
2. Also, we will disclose it only as reporting and recordkeeping we require related to various exemptions.
specified in 40 CFR part 2. This applies for products regulated under this part: (7) In 40 CFR part 1068, subpart D, we
both to any information you send us and (a) We specify the following identify several reporting and
to any information we collect from requirements related to equipment recordkeeping items for making
inspections, audits, or other site visits. certification in this part 1060: demonstrations and getting approval
(c) If you send us a second copy (1) In 40 CFR 1060.20 we give an related to importing equipment.
without the confidential information, overview of principles for reporting (8) In 40 CFR 1068.450 and 1068.455
we will assume it contains nothing information. we specify certain records related to
confidential whenever we need to (2) In 40 CFR part 1060, subpart C, we testing production-line products in a
release information from it. identify a wide range of information selective enforcement audit.
required to certify engines. (9) In 40 CFR 1068.501 we specify
(d) If you send us information without (3) In 40 CFR 1060.301 we require certain records related to investigating
claiming it is confidential, we may make manufacturers to make engines or and reporting emission-related defects.
it available to the public without further equipment available for our testing if we (10) In 40 CFR 1068.525 and 1068.530
notice to you, as described in 40 CFR make such a request. we specify certain records related to
2.204. (4) In 40 CFR 1060.505 we specify recalling nonconforming equipment.
information needs for establishing
§ 1060.820 How do I request a hearing? PART 1065—ENGINE-TESTING
various changes to published test
(a) You may request a hearing under procedures. PROCEDURES
certain circumstances, as described (b) We specify the following
134. The authority citation for part
elsewhere in this part. To do this, you requirements related to the general
1065 continues to read as follows:
must file a written request, including a compliance provisions in 40 CFR part
description of your objection and any 1068: Authority: 42 U.S.C. 7401–7671q.
supporting data, within 30 days after we (1) In 40 CFR 1068.5 we establish a
process for evaluating good engineering Subpart A—[Amended]
make a decision.
judgment related to testing and 135. Section 1065.1 is amended by
(b) For a hearing you request under
certification. revising paragraph (a) to read as follows:
the provisions of this part, we will (2) In 40 CFR 1068.25 we describe
approve your request if we find that general provisions related to sending § 1065.1 Applicability.
your request raises a substantial factual and keeping information. (a) This part describes the procedures
issue. (3) In 40 CFR 1068.27 we require that apply to testing we require for the
(c) If we agree to hold a hearing, we manufacturers to make equipment following engines or for vehicles using
will use the procedures specified in 40 available for our testing or inspection if the following engines:
CFR part 1068, subpart G. we make such a request. (1) [Reserved]
(2) Model year 2010 and later heavy- (2) Land-based nonroad compression- 138. A new § 1068.2 is added to read
duty highway engines we regulate under ignition engines we regulate under 40 as follows:
40 CFR part 86. For earlier model years, CFR part 1039.
(3) Stationary compression-ignition § 1068.2 How does this part apply for
manufacturers may use the test
engines and how does it apply for
procedures in this part or those engines certified to the provisions of 40
equipment?
specified in 40 CFR part 86, subpart N, CFR part 1039, as indicated under 40
CFR part 60, subpart IIII. (a) See the standard-setting part to
according to § 1065.10.
(4) Marine diesel engines we regulate determine if engine-based and/or
(3) Nonroad diesel engines we
under 40 CFR part 1042. equipment-based standards apply.
regulate under 40 CFR part 1039 and
(5) Marine spark-ignition engines we (Note: Some equipment is subject to
stationary diesel engines that are
regulate under 40 CFR part 1045. engine-based standards for exhaust
certified to the standards in 40 CFR part
(6) Large nonroad spark-ignition emission and equipment-based
1039 as specified in 40 CFR part 60,
engines we regulate under 40 CFR part standards for evaporative emissions.)
subpart IIII. For earlier model years, (b) The provisions of this part apply
manufacturers may use the test 1048.
(7) Stationary spark-ignition engines differently depending on whether the
procedures in this part or those engine or equipment is required to be
specified in 40 CFR part 89 according to certified to the provisions of 40 CFR
parts 1048 or 1054, as indicated under certified.
§ 1065.10. (1) This subpart A and subpart B of
(4) [Reserved] 40 CFR part 60, subpart JJJJ.
(8) Recreational engines and vehicles this part apply to engines and
(5) Marine spark-ignition engines we equipment, without regard to which is
regulate under 40 CFR part 1045. For we regulate under 40 CFR part 1051
(such as snowmobiles and off-highway subject to certification requirements in
earlier model years, manufacturers may the standard-setting part.
use the test procedures in this part or motorcycles).
(9) Small nonroad spark-ignition (2) Subparts C, D, and E of this part
those specified in 40 CFR part 91 apply to the engines or to the
engines we regulate under 40 CFR part
according to § 1065.10. equipment, whichever is subject to
(6) Large nonroad spark-ignition 1054.
(b) This part does not apply to any of certification requirements in the
engines we regulate under 40 CFR part standard-setting part.
the following engine or vehicle
1048, and stationary engines that are (3) Subpart F of this part generally
categories:
certified to the standards in 40 CFR part (1) Light-duty motor vehicles (see 40 applies to the engines or to the
1048 as specified in 40 CFR part 60, CFR part 86). equipment, whichever is subject to
subpart JJJJ. (2) Heavy-duty motor vehicles and standards under the standard-setting
(7) Vehicles we regulate under 40 CFR motor vehicle engines (see 40 CFR part part. However, since subpart F of this
part 1051 (such as snowmobiles and off- 86). part addresses in-use engines and
highway motorcycles) based on engine (3) Aircraft engines (see 40 CFR part equipment (in which the engine is
testing. See 40 CFR part 1051, subpart 87). installed in the equipment), the
F, for standards and procedures that are (4) Land-based nonroad diesel engines requirements do not always distinguish
based on vehicle testing. we regulate under 40 CFR part 89. between engines and equipment.
(8) Small nonroad spark-ignition (5) Small nonroad spark-ignition (c) For issues related to testing, read
engines we regulate under 40 CFR part engines we regulate under 40 CFR part the term ‘‘engines/equipment’’ to mean
1054 and stationary engines that are 90. engines for engines subject to engine-
certified to the standards in 40 CFR part (6) Marine spark-ignition engines we based testing and equipment for
1054 as specified in 40 CFR part 60, regulate under 40 CFR part 91. equipment subject to equipment-based
subpart JJJJ. For earlier model years, (7) Locomotive engines (see 40 CFR testing; otherwise, read the term
manufacturers may use the test part 92). ‘‘engines/equipment’’ to mean engines
procedures in this part or those (8) Marine diesel engines (see 40 CFR for sources subject to engine-based
specified in 40 CFR part 90 according to parts 89 and 94). standards and equipment for sources
§ 1065.10. (c) Paragraph (a)(1) of this section
subject to equipment-based standards.
* * * * * identifies the parts of the CFR that (d) Where we use the term engines
define emission standards and other (rather than engines/equipment), read it
PART 1068—GENERAL COMPLIANCE requirements for particular types of to mean engines without regard to
PROVISIONS FOR NONROAD engines and equipment. This part 1068 whether the source is subject to engine-
PROGRAMS refers to each of these other parts based standards or testing. Where we
generically as the ‘‘standard-setting use the term equipment (rather than
136. The authority citation for part part.’’ For example, 40 CFR part 1051 is
1068 continues to read as follows: engines/equipment), read it to mean
always the standard-setting part for equipment without regard to whether
Authority: 42 U.S.C. 7401–7671q. snowmobiles. Follow the provisions of the source is subject to equipment-based
the standard-setting part if they are standards or testing. (Note: The
Subpart A—[Amended] different than any of the provisions in definition of ‘‘equipment’’ in § 1068.30
137. Section 1068.1 is revised to read this part. includes the engine.)
as follows: (d)(1) The provisions of §§ 1068.30, (e) The terminology convention
1068.310, and 1068.320 apply for described in this section is not intended
§ 1068.1 Does this part apply to me? stationary spark-ignition engines built to limit our authority or your obligations
(a) The provisions of this part apply on or after January 1, 2004, and for under the Clean Air Act.
to everyone with respect to the stationary compression-ignition engines

following engines and to equipment built on or after January 1, 2006. revising paragraph (a) to read as follows:
using the following engines (including (2) The provisions of §§ 1068.30 and
owners, operators, parts manufacturers, 1068.235 apply for the types of engines/ § 1068.5 How must manufacturers apply
and persons performing maintenance). equipment listed in paragraph (a) of this good engineering judgment?
(1) Locomotives we regulate under 40 section beginning January 1, 2004, if (a) You must use good engineering
CFR part 1039. they are used solely for competition. judgment for decisions related to any
requirements under this chapter. This provide additional information that we Defeat device has the meaning given
includes your applications for may reasonably require under section in the standard-setting part.
certification, any testing you do to show 208 of the Act (42 U.S.C. 7542). This Designated Officer means the Manager
that your certification, production-line, also applies to engines/equipment we of the Heavy-Duty and Nonroad Engine
and in-use engines/equipment comply exempt from emission standards or Group (6405–J), U.S. Environmental
with requirements that apply to them, prohibited acts. Protection Agency, 1200 Pennsylvania
and how you select, categorize, 142. Section 1068.27 is revised to read Ave., Washington, DC 20460.
determine, and apply these as follows: Engine means a complete or partially
requirements. complete internal combustion engine.
§ 1068.27 May EPA conduct testing with The term engine broadly includes any
* * * * * my production engines/equipment?
140. Section 1068.20 is amended by assembly of an engine block and at least
If we request it, you must make a one other attached component. The term
revising paragraphs (a) and (d) to read
reasonable number of production-line engine does not include engine blocks
as follows:
engines or pieces of production-line with no attached components, nor does
§ 1068.20 May EPA enter my facilities for equipment available for a reasonable it include any assembly of engine
inspections? time so we can test or inspect them for components that does not include the
(a) We may inspect your testing, compliance with the requirements of engine block. This includes complete
manufacturing processes, storage this chapter. and partially complete engines as
facilities (including port facilities for 143. Section 1068.30 is revised to read follows:
imported engines and equipment or as follows: (1) A complete engine is a fully
other relevant facilities), or records, as assembled engine in its final
§ 1068.30 What definitions apply to this
authorized by the Act, to enforce the part? configuration.
provisions of this chapter. Inspectors (2) A partially complete engine is an
will have authorizing credentials and The following definitions apply to engine that is not fully assembled or is
will limit inspections to reasonable this part. The definitions apply to all not in its final configuration. Except
times—usually, normal operating hours. subparts unless we note otherwise. All where we specify otherwise in this part
undefined terms have the meaning the or the standard-setting part, partially
* * * * * Act gives to them. The definitions
(d) We may select any facility to do complete engines are subject to the same
follow: standards and requirements as complete
any of the following: Act means the Clean Air Act, as
(1) Inspect and monitor any aspect of engines. The following would be
amended, 42 U.S.C. 7401–7671q. the
engine or equipment manufacturing, considered examples of partially
Clean Air Act, as amended, 42 U.S.C.
assembly, storage, or other procedures, complete engines:
7401 et seq. (i) An engine that is missing only an
and any facilities where you do them.
(2) Inspect and monitor any aspect of Aftertreatment means relating to a aftertreatment component.
engine or equipment test procedures or catalytic converter, particulate filter, or (ii) An engine that was originally
test-related activities, including test any other system, component, or assembled as a motor-vehicle engine
engine/equipment selection, technology mounted downstream of the that will be recalibrated for use as a
preparation, service accumulation, exhaust valve (or exhaust port) whose nonroad engine.
emission duty cycles, and maintenance design function is to reduce emissions (iii) An engine that was originally
and verification of your test equipment’s in the engine exhaust before it is assembled as a land-based engine that
calibration. exhausted to the environment. Exhaust- will be modified for use as a marine
(3) Inspect and copy records or gas recirculation (EGR) is not propulsion engine.
documents related to assembling, aftertreatment. (iv) A short block consisting of engine
storing, selecting, and testing an engine Aircraft means any vehicle capable of components connected to the engine
or piece of equipment. sustained air travel above treetop block, but missing the head assembly.
(4) Inspect and photograph any part or heights. (v) A loose engine that will be
aspect of engines or equipment and Certificate holder means a installed in an off-highway motorcycle
components you use for assembly. manufacturer (including importers) with that will be subject to vehicle-based
a currently valid certificate of standards.
* * * * *
141. Section 1068.25 is revised to read conformity for at least one family in a Engine-based standard means an
as follows: given model year. emission standard expressed in units of
Date of manufacture means— grams of pollutant per kilowatt-hour,
§ 1068.25 What information must I give to (1) For engines, the later of the and which applies to the engine.
EPA? following dates: Emission standards are either engine-
If you are subject to the requirements (i) The date on which an engine is based or equipment-based.
of this part, we may require you to give assembled to the point of being able to Engine-based test means an emission
us information to evaluate your run. This does not require installation of test intended to measure emissions in
compliance with any regulations that a cooling system, fuel tank, or units of grams of pollutant per kilowatt-
apply, as authorized by the Act. This aftertreament devices. hour, without regard to whether the
includes the following things: (ii) The date on which a partially standard applies to the engine or
(a) You must provide the information complete engine that was introduced equipment.
we require in this chapter. We may into U.S. commerce with an exemption Engine/equipment and engines/
require an authorized representative of under § 1068.262 is assembled in its equipment mean either engine(s) or
your company to approve and sign any final certified configuration. equipment. Specifically these terms
submission of information to us, and to (2) For equipment, the date on which mean the following:
certify that the information is accurate assembly of the equipment is (1) Engine(s) when only engine-based
and complete. completed. standards apply.
(b) You must establish and maintain Days means calendar days, including (2) Engine(s) for testing issues when
records, perform tests, make reports and weekends and holidays. engine-based testing applies.
(3) Engine(s) and equipment when Good engineering judgment means (2) An internal combustion engine is
both engine-based and equipment-based judgments made consistent with not a nonroad engine if it meets any of
standards apply. generally accepted scientific and the following criteria:
(4) Equipment when only equipment- engineering principles and all available (i) The engine is used to propel a
based standards apply. relevant information. motor vehicle, an aircraft, or equipment
(5) Equipment for testing issues when Incomplete engine assembly means an used solely for competition.
equipment-based testing applies. assembly of engine components that (ii) The engine is regulated under 40
Equipment means one of the includes at least the engine block and CFR part 60, (or otherwise regulated by
following things: one other component, but lacks certain a federal New Source Performance
(1) Any vehicle, vessel, or other type parts essential for engine operation. An Standard promulgated under section
of equipment that is subject to the engine block with no other assembled 111 of the Act (42 U.S.C. 7411)).
requirements of this part, or that uses an components is not an incomplete engine (iii) The engine otherwise included in
engine that is subject to the assembly under this section. An paragraph (1)(iii) of this definition
requirements of this part. An installed assembly of engine parts that does not remains or will remain at a location for
engine is part of the equipment. include the engine block is also not an more than 12 consecutive months or a
(2) Fuel-system components that are incomplete engine assembly. shorter period of time for an engine
subject to an equipment-based standard Manufacturer has the meaning given located at a seasonal source. A location
under this chapter. Installed fuel-system in section 216(1) of the Act (42 U.S.C. is any single site at a building, structure,
components are part of the engine. 7550(1)). In general, this term includes facility, or installation. Any engine (or
Equipment-based standard means an any person who manufactures an engine engines) that replaces an engine at a
emission standard that applies to the or piece of equipment for sale in the location and that is intended to perform
equipment in which an engine is used United States or otherwise introduces a the same or similar function as the
or to fuel-system components associated new engine or piece of equipment into engine replaced will be included in
with an engine, without regard to how U.S. commerce. This includes importers calculating the consecutive time period.
the emissions are measured. Where that import new engines or new An engine located at a seasonal source
equipment-based standards apply, we equipment into the United States for is an engine that remains at a seasonal
require that the equipment or fuel- resale. It also includes secondary engine source during the full annual operating
system components be certified, rather manufacturers. period of the seasonal source. A
than just the engine. Emission standards Model year has the meaning given in seasonal source is a stationary source
are either engine-based or equipment- the standard-setting part. Unless the that remains in a single location on a
based. For example, recreational standard-setting part specifies permanent basis (i.e., at least two years)
vehicles we regulate under 40 CFR part otherwise, model year for individual and that operates at that single location
1051 are subject to equipment-based engines/equipment is based on the date approximately three months (or more)
standards, even if emission of manufacture or a later date each year. See § 1068.31 for provisions
measurements are based on engine determined by the manufacturer. The that apply if the engine is removed from
operation alone. model year of a new engine that is the location.
Exempted means relating to engines/ neither certified nor exempt is deemed Operating hours means:
to be the calendar year in which it is (1) For engine and equipment storage
equipment that are not required to meet
sold, offered for sale, imported, or areas or facilities, times during which
otherwise applicable standards.
delivered or otherwise introduced into people other than custodians and
Exempted engines/equipment must
commerce in the United States. security personnel are at work near, and
conform to regulatory conditions
Motor vehicle has the meaning given can access, a storage area or facility.
specified for an exemption in this part
in 40 CFR 85.1703(a). (2) For other areas or facilities, times
1068 or in the standard-setting part. New has the meaning we give it in the during which an assembly line operates
Exempted engines/equipment are standard-setting part. or any of the following activities occurs:
deemed to be ‘‘subject to’’ the standards Nonroad engine means: (i) Testing, maintenance, or service
of the standard-setting part, even though (1) Except as discussed in paragraph accumulation.
they are not required to comply with the (2) of this definition, a nonroad engine (ii) Production or compilation of
otherwise applicable requirements. is an internal combustion engine that records.
Engines/equipment exempted with meets any of the following criteria: (iii) Certification testing.
respect to a certain tier of standards may (i) It is (or will be) used in or on a (iv) Translation of designs from the
be required to comply with an earlier piece of equipment that is self-propelled test stage to the production stage.
tier of standards as a condition of the or serves a dual purpose by both (v) Engine or equipment manufacture
exemption; for example, engines propelling itself and performing another or assembly.
exempted with respect to Tier 3 function (such as garden tractors, off- Piece of equipment means any
standards may be required to comply highway mobile cranes and bulldozers). vehicle, vessel, locomotive, aircraft, or
with Tier 1 or Tier 2 standards. (ii) It is (or will be) used in or on a other type of equipment using engines
Family means engine family or piece of equipment that is intended to to which this part applies.
emission family, as applicable under the be propelled while performing its Placed into service means used for its
standard-setting part. function (such as lawnmowers and intended purpose.
Final deteriorated test result has the string trimmers). Reasonable technical basis means
meaning given in the standard-setting (iii) By itself or in or on a piece of information that would lead a person
part. If it is not defined in the standard- equipment, it is portable or familiar with engine design and
setting part, it means the emission level transportable, meaning designed to be function to reasonably believe a
that results from applying all and capable of being carried or moved conclusion, related to compliance with
appropriate adjustments (such as from one location to another. Indicia of the requirements of this part. For
deterioration factors) to the measured transportability include, but are not example, it would be reasonable to
emission result of the emission-data limited to, wheels, skids, carrying believe that parts performing the same
engine. handles, dolly, trailer, or platform. function as the original parts (and to the
same degree) would control emissions that family unless we reinstate the subsequently used in an application
to the same degree as the original parts. certificate or approve a new one. If we other than a nonroad application, or
Revoke means to terminate the suspend an exemption, you may not when an engine previous used in a
certificate or an exemption for a family. introduce into U.S. commerce engines/ stationary application (i.e., an engine
If we revoke a certificate or exemption, equipment that were previously covered that was not used as a nonroad engine
you must apply for a new certificate or by the exemption unless we reinstate and that was not used to propel a motor
exemption before continuing to the exemption. vehicle, an aircraft, or equipment used
introduce the affected engines/ Ultimate purchaser means the first solely for competition) is moved.
equipment into U.S. commerce. This person who in good faith purchases a (a) Changing the status of a stationary
does not apply to engines/equipment new nonroad engine or new piece of engine to be a new nonroad engine as
you no longer possess. equipment for purposes other than described in paragraph (b) of this
Secondary engine manufacturer resale. section is a violation of § 1068.101(a)(1)
means anyone who produces a new United States means the States, the unless the engine has been certified to
engine by modifying a complete or District of Columbia, the be compliant with all requirements of
partially complete engine that was made Commonwealth of Puerto Rico, the this chapter that apply to new nonroad
by a different company. For the purpose Commonwealth of the Northern Mariana engines of the same type (for example,
of this definition, ‘‘modifying’’ does not Islands, Guam, American Samoa, and a compression-ignition engine rated at
include making changes that do not the U.S. Virgin Islands. 40 kW) and model year, and is in its
remove an engine from its original U.S.-directed production volume certified configuration.
certified configuration. Secondary means the number of engine/equipment (b) A stationary engine becomes a new
engine manufacturing includes, for units, subject to the requirements of this nonroad engine if—
example, converting automotive engines part, produced by a manufacturer for (1) It is used in an application that
for use in industrial applications, or which the manufacturer has a meets the criteria specified in
land-based engines for use in marine reasonable assurance that sale was or paragraphs (1)(i) or (ii) in the definition
applications. This applies whether it will be made to ultimate purchasers in of ‘‘nonroad engine’’ in § 1068.30.
involves a complete or partially the United States. (2) It meets the criteria specified in
complete engine and whether the engine Void means to invalidate a certificate paragraph (1)(iii) of the definition of
was previously certified to emission or an exemption ab initio. If we void a ‘‘nonroad engine’’ in § 1068.30 and is
standards or not. Manufacturers certificate, all the engines/equipment moved so that it fails to meet (or no
controlled by the manufacturer of the introduced into U.S. commerce under longer meets) the criteria specified in
base engine (or by an entity that also that family for that model year are paragraph (2)(iii) in the definition of
controls the manufacturer of the base considered noncompliant, and you are ‘‘nonroad engine’’ in § 1068.30.
engine) are not secondary engine liable for all engines/equipment (c) A stationary engine does not
manufacturers; rather, both entities are introduced into U.S. commerce under become a new nonroad engine if it is
considered to be one manufacturer for the certificate and may face civil or moved but continues to meet the criteria
purposes of this part. Equipment criminal penalties or both. This applies specified in paragraph (2)(iii) in the
manufacturers that substantially modify equally to all engines/equipment in the definition of ‘‘nonroad engine’’ in
engines are secondary engine family, including engines/equipment § 1068.30 in its new location. For
manufacturers. Also, equipment introduced into U.S. commerce before example, a transportable engine that is
manufacturers that certify to equipment- we voided the certificate. If we void an used in a single specific location for 18
based standards using engines produced exemption, all the engines/equipment months and is later moved to a second
by another company are deemed to be introduced into U.S. commerce under specific location where it will remain
secondary engine manufacturers. that exemption are considered for at least 12 months is considered to
Small business means either of the uncertified (or nonconforming), and you be a stationary engine in both locations.
following: are liable for engines/equipment (d) Changing the status of a nonroad
(1) A company that qualifies under introduced into U.S. commerce under engine to be a new stationary engine as
the standard-setting part for special the exemption and may face civil or described in paragraph (e) of this
provisions for small businesses or small- criminal penalties or both. You may not section is a violation of § 1068.101(a)(1)
volume manufacturers. introduce into U.S. commerce any unless the engine complies with all the
(2) A company that qualifies as a additional engines/equipment using the requirements of this chapter for new
small business under the regulations voided exemption. stationary engines of the same type (for
adopted by the Small Business Voluntary emission recall means a example, a compression-ignition engine
Administration at 13 CFR 121.201. repair, adjustment, or modification rated at 40 kW) and model year. For a
Standard-setting part means a part in new stationary engine that is required to
program voluntarily initiated and
the Code of Federal Regulations that be certified under 40 CFR part 60, the
conducted by a manufacturer to remedy
defines emission standards for a engine must have been certified to be
any emission-related defect for which
particular engine and/or piece of compliant with all the requirements that
engine owners have been notified.
equipment (see § 1068.1(a)). For We (us, our) means the Administrator apply to new stationary engines of the
example, the standard-setting part for of the Environmental Protection Agency same type and model year, and must be
marine spark-ignition engines is 40 CFR and any authorized representatives. in its certified configuration.
part 1045. For provisions related to 144. A new § 1068.31 is added to read (e) A nonroad engine ceases to be a
evaporative emissions, the standard- as follows: nonroad engine and becomes a new
setting part may be 40 CFR part 1060, stationary engine if—
as specified in 40 CFR 1060.1. § 1068.31 What provisions apply to (1) At any time, it meets the criteria
Suspend means to temporarily nonroad or stationary engines that change specified in paragraph (2)(iii) in the
discontinue the certificate or an their status? definition of ‘‘nonroad engine’’ in
exemption for a family. If we suspend This section specifies the provisions § 1068.30. For example, a portable
a certificate, you may not introduce into that apply when an engine previously generator engine ceases to be a nonroad
U.S. commerce engines/equipment from used in a nonroad application is engine if it is used or will be used in
a single specific location for 12 months the equipment (except as allowed by example, operating an engine without a
or longer. If we determine that an engine § 1068.105(a)), covers the appropriate supply of appropriate quality urea if the
will be or has been used in a single category of engines/equipment (such as emissions control system relies on urea
specific location for 12 months or locomotive or Marine SI), and conforms to reduce NOX emissions or the use of
longer, it ceased to be a nonroad engine to all requirements specified for incorrect fuel or engine oil that renders
when it was placed in that location. equipment in the standard-setting part. the emissions control system
(2) It is otherwise regulated by a Engines/equipment are considered not inoperative. This restriction applies
federal New Source Performance covered by a certificate unless they are before and after the engine or equipment
Standard promulgated under section in a configuration described in the is placed in service. Section 1068.120
111 of the Act (42 U.S.C. 7411). application for certification. describes how this applies to rebuilding
(f) A nonroad engine ceases to be a (ii) The requirements of this engines. See the standard-setting part,
nonroad engine if it is used to propel a paragraph (a)(1) also cover new engines which may include additional
motor vehicle, an aircraft, or equipment you produce to replace an older engine provisions regarding actions prohibited
used solely for competition. See 40 CFR in a piece of equipment, unless the by this requirement. For a manufacturer
part 86 for requirements applicable to engine qualifies for the replacement- or dealer, we may assess a civil penalty
motor vehicles and motor vehicle engine exemption in § 1068.240. up to $32,500 for each engine or piece
engines. See 40 CFR part 87 for (iii) For engines used in equipment of equipment in violation. For anyone
requirements applicable to aircraft and subject to equipment-based standards, else, we may assess a civil penalty up
aircraft engines. See § 1068.235 for you may not sell, offer for sale, or to $2,750 for each day an engine or
requirements applicable to equipment introduce or deliver into commerce in piece of equipment is operated in
used solely for competition. the United States or import into the violation. This prohibition does not
United States any new engine, unless it apply in any of the following situations:
Subpart B—[Amended] is covered by a valid certificate of (i) You need to repair the engine/
145. Section 1068.101 is revised to conformity for its model year and has equipment and you restore it to proper
read as follows: the required label or tag. See the functioning when the repair is
standard-setting part for more complete.
§ 1068.101 What general actions does this information about how this prohibition (ii) You need to modify the engine/
regulation prohibit? applies. equipment to respond to a temporary
This section specifies actions that are (2) Reporting and recordkeeping. This emergency and you restore it to proper
prohibited and the maximum civil chapter requires you to record certain functioning as soon as possible.
penalties that we can assess for each types of information to show that you (iii) You modify new engines/
violation. The maximum penalty values meet our standards. You must comply equipment that another manufacturer
listed in paragraphs (a) and (b) of this with these requirements to make and has already certified to meet emission
section are shown for calendar year maintain required records (including standards and recertify them under your
2004. As described in paragraph (e) of those described in § 1068.501). You may own family. In this case you must tell
this section, maximum penalty limits not deny us access to your records or the original manufacturer not to include
for later years are set forth in 40 CFR the ability to copy your records if we the modified engines/equipment in the
part 19. have the authority to see or copy them. original family.
(a) The following prohibitions and Also, you must give us complete and (2) Defeat devices. You may not
requirements apply to manufacturers of accurate reports and information knowingly manufacture, sell, offer to
new engines, manufacturers of without delay, as required under this sell, or install, any part that bypasses,
equipment containing these engines, chapter. Failure to comply with the impairs, defeats, or disables the control
and manufacturers of new equipment, requirements of this paragraph is the emissions of any pollutant. See the
except as described in subparts C and D prohibited. We may assess a civil standard-setting part, which may
of this part: penalty up to $32,500 for each day you include additional provisions regarding
(1) Introduction into commerce. You are in violation. In addition, knowingly actions prohibited by this requirement.
may not sell, offer for sale, or introduce submitting false information is a We may assess a civil penalty up to
or deliver into commerce in the United violation of 18 U.S.C. 1001, which may $2,750 for each part in violation.
States or import into the United States involve criminal penalties and up to (3) Stationary engines. For an engine
any new engine/equipment after five years imprisonment. that is excluded from any requirements
emission standards take effect for the (3) Testing and access to facilities. of this chapter because it is a stationary
engine/equipment, unless it is covered You may not keep us from entering your engine, you may not move it or install
by a valid certificate of conformity for facility to test engines/equipment or it in any mobile equipment, except as
its model year and has the required inspect if we are authorized to do so. allowed by the provisions of this
label or tag. You also may not take any Also, you must perform the tests we chapter. You may not circumvent or
of the actions listed in the previous require (or have the tests done for you). attempt to circumvent the residence-
sentence with respect to any equipment Failure to perform this testing is time requirements of paragraph (2)(iii)
containing an engine subject to this prohibited. We may assess a civil of the nonroad engine definition in
part’s provisions, unless the engine is penalty up to $32,500 for each day you § 1068.30. We may assess a civil penalty
covered by a valid and appropriate are in violation. up to $32,500 for each day you are in
certificate of conformity and has the (b) The following prohibitions apply violation.
required engine label or tag. We may to everyone with respect to the engines (4) Competition engines/equipment.
assess a civil penalty up to $32,500 for and equipment to which this part For uncertified engines/equipment that
each engine or piece of equipment in applies: are excluded or exempted from any
violation. (1) Tampering. You may not remove, requirements of this chapter because
(i) For purposes of this paragraph disable, or render inoperative a device they are to be used solely for
(a)(1), an appropriate certificate of or element of design that may affect an competition, you may not use any of
conformity is one that applies for the engine’s or piece of equipment’s them in a manner that is inconsistent
same model year as the model year of emission levels. This includes, for with use solely for competition. We may
assess a civil penalty up to $32,500 for emission-related warranty under and D of this part and in the standard-
each day you are in violation. § 1068.115, including any commitments setting part.
(5) Importation. You may not import you identify in your application for (e) The standard-setting parts describe
an uncertified engine or piece of certification. You must also fulfill all more requirements and prohibitions that
equipment if it is defined to be new in applicable requirements under subpart
apply to manufacturers (including
the standard-setting part and it is built F of this part related to emission-related
after emission standards start to apply importers) and others under this
defects and recalls. Failure to meet these
in the United States. We may assess a obligations is prohibited. Also, except as chapter.
civil penalty up to $32,500 for each day specifically provided by regulation, you (f) [Reserved]
you are in violation. Note the following: are prohibited from directly or (g) The maximum penalty values
(i) The definition of new is broad for indirectly communicating to the listed in paragraphs (a) and (b) of this
imported engines/equipment; ultimate purchaser or a later purchaser section are shown for calendar year
uncertified engines and equipment that the emission-related warranty is 2004. Maximum penalty limits for later
(including used engines and equipment) valid only if the owner has service years may be adjusted based on the
are generally considered to be new performed at authorized facilities, or
Consumer Price Index. The specific
when imported. only if the owner uses authorized parts,
(ii) Engines/equipment that were regulatory provisions for changing the
components, or systems. We may assess
originally manufactured before a civil penalty up to $32,500 for each maximum penalties, published in 40
applicable EPA standards were in effect engine or piece of equipment in CFR part 19, reference the applicable
are generally not subject to emission violation. U.S. Code citation on which the
standards. (c) [Reserved] prohibited action is based. The
(6) Warranty and recall. You must (d) Exemptions from these following table is shown here for
meet your obligation to honor your prohibitions are described in subparts C informational purposes:
TABLE 1 TO § 1068.101.—LEGAL CITATION FOR SPECIFIC PROHIBITIONS FOR DETERMINING MAXIMUM PENALTY AMOUNTS
Part 1068 regulatory citation of pro- U.S. Code citation for clean
General description of prohibition
hibited action air act authority
§ 1068.101(a)(1) ................................. Introduction into U.S. commerce of an uncertified source ............................ 42 U.S.C. 7522(a)(1).
§ 1068.101(a)(2) ................................. Failure to provide information ........................................................................ 42 U.S.C. 7522(a)(2).
§ 1068.101(a)(3) ................................. Denying access to facilities ........................................................................... 42 U.S.C. 7522(a)(2).
§ 1068.101(b)(1) ................................. Tampering with emission controls by a manufacturer or dealer ................... 42 U.S.C. 7522(a)(3).
Tampering with emission controls by someone other than a manufacturer
or dealer.
§ 1068.101(b)(2) ................................. Sale or use of a defeat device ...................................................................... 42 U.S.C. 7522(a)(3).
§ 1068.101(b)(3) ................................. Mobile use of a stationary engine ................................................................. 42 U.S.C. 7522(a)(1).
§ 1068.101(b)(4) ................................. Noncompetitive use of uncertified engines/equipment that is exempted for 42 U.S.C. 7522(a)(1).
competition.
§ 1068.101(b)(5) ................................. Importation of an uncertified source .............................................................. 42 U.S.C. 7522(a)(1).
146. Section 1068.105 is revised to you may order engines based on your or integrate into your equipment models
read as follows: normal inventory requirements late in a device for sending visual or audible
the engine manufacturer’s 2014 model signals to the operator. Similarly, you
§ 1068.105 What other provisions apply to year and install those engines in your
me specifically if I manufacture equipment must follow the emission-related
needing certified engines?
equipment, regardless of the date of installation instructions from the
installation. Also, if your model year manufacturer of a component that has
This section describes general starts before the end of the calendar year been certified for controlling
provisions that apply to equipment preceding new standards, you may use evaporative emissions under 40 CFR
manufacturers for sources subject to engines from the previous model year part 1060. Not meeting the
engine-based standards. See the for those units you produce before manufacturer’s emission-related
standard-setting part for any January 1 of the year that new standards
requirements that apply for certain installation instructions is a violation of
apply. If emission standards for the § 1068.101(b)(1).
applications. engine do not change in a given model
(a) Transitioning to new engine-based year, you may continue to install (c) Attaching a duplicate label. If you
standards. If new engine-based emission engines from the previous model year obscure the engine’s label, you must do
standards apply in a given model year, without restriction. You may not four things to avoid violating
your equipment in that model year must circumvent the provisions of § 1068.101(a)(1):
have engines that are certified to the § 1068.101(a)(1) by stockpiling engines (1) Send a request for duplicate labels
new standards, except that you may that were built before new or changed in writing with your company’s
continue to use up your normal standards take effect. Note that this letterhead to the engine manufacturer.
inventory of earlier engines that were allowance does not apply for equipment Include the following information in
built before the date of the new or subject to equipment-based standards. your request:
changed standards. For example, if your (b) Installing engines or certified

normal inventory practice is to keep on components. You must follow the (i) Identify the type of equipment and
hand a one-month supply of engines engine manufacturer’s emission-related the specific engine and equipment
based on your upcoming production installation instructions. For example, models needing duplicate labels.
schedules, and a new tier of standard you may need to constrain where you (ii) Identify the family (from the
starts to apply for the 2015 model year, place an exhaust aftertreatment device original engine label).
(iii) State the reason that you need a design specifications, calibrations, on- (3) Any action or inaction by the
duplicate label for each equipment board computer algorithms, and design operator unrelated to the warranty
model. strategies. It is a violation of the Act for claim.
(iv) Identify the number of duplicate anyone to make, install or use defeat (4) Maintenance that was performed
labels you will need. devices. See § 1068.101(b)(2) and the more frequently than you specify.
(2) Permanently attach the duplicate standard-setting part. (5) Anything that is your fault or
label to your equipment by securing it (e) Warranty and maintenance. responsibility.
to a part needed for normal operation Owners are responsible for properly (6) The use of any fuel that is
and not normally requiring replacement. maintaining their engines/equipment; commonly available where the
Make sure an average person can easily however, owners may make warranty equipment operates, unless your written
read it. claims against the manufacturer for all maintenance instructions state that this
(3) Destroy any unused duplicate expenses related to diagnosing and fuel would harm the equipment’s
labels if you find that you will not need repairing or replacing emission-related emission control system and operators
them. parts, as described in § 1068.115. The can readily find the proper fuel.
(4) Keep the following records for at warranty period begins when the 149. Section 1068.120 is revised to
least eight years after the end of the equipment is first placed into service. read as follows:
model year identified on the engine See the standard-setting part for specific
§ 1068.120 What requirements must I
label: requirements. It is a violation of the Act follow to rebuild engines?
(i) Keep a copy of your written for anyone to disable emission controls;
request. (a) This section describes the steps to
see § 1068.101(b)(1) and the standard-
(ii) Keep drawings or descriptions that take when rebuilding engines to avoid
setting part.
show how you apply the duplicate 148. Section 1068.115 is revised to violating the tampering prohibition in
labels to your equipment. read as follows: § 1068.101(b)(1). These requirements
(iii) Maintain a count of those apply to anyone rebuilding an engine
duplicate labels you use and those you § 1068.115 When must manufacturers subject to this part, but the
destroy. honor emission-related warranty claims? recordkeeping requirements in
147. Section 1068.110 is revised to Section 207(a) of the Clean Air Act paragraphs (j) and (k) of this section
read as follows: (42 U.S.C. 7541(a)) requires certifying apply only to businesses. For
manufacturers to warrant to purchasers maintenance or service that is not
§ 1068.110 What other provisions apply to that their engines/equipment are rebuilding, including any maintenance
engines/equipment in service? designed, built, and equipped to related to evaporative emission controls,
(a) Aftermarket parts and service. As conform at the time of sale to the you may not make changes that might
the certifying manufacturer, you may applicable regulations for their full increase emissions of any pollutant, but
not require anyone to use your parts or useful life, including a warranty that the you do not need to keep any records.
service to maintain or repair an engine engines/equipment are free from defects (b) The term ‘‘rebuilding’’ refers to a
or piece of equipment, unless we in materials and workmanship that rebuild of an engine or engine system,
approve this in your application for would cause any engine/equipment to including a major overhaul in which
certification. It is a violation of the Act fail to conform to the applicable you replace the engine’s pistons or
for anyone to manufacture any part if regulations during the specified power assemblies or make other changes
one of its main effects is to reduce the warranty period. This section codifies that significantly increase the service
effectiveness of the emission controls. the warranty requirements of section life of the engine. It also includes
See § 1068.101(b)(2). 207(a) without intending to limit these replacing or rebuilding an engine’s
(b) Certifying aftermarket parts. As requirements. turbocharger or aftercooler or the
the manufacturer or rebuilder of an (a) As a certifying manufacturer, you engine’s systems for fuel metering or
aftermarket engine or equipment part, may deny warranty claims only for electronic control so that it significantly
you may—but are not required to— failures that have been caused by the increases the service life of the engine.
certify according to 40 CFR part 85, owner’s or operator’s improper For these provisions, rebuilding may or
subpart V, that using the part will not maintenance or use, by accidents for may not involve removing the engine
cause engines/equipment to fail to meet which you have no responsibility, or by from the equipment. Rebuilding does
emission standards. Whether you certify acts of God. For example, you would not not normally include the following:
or not, you must keep any information need to honor warranty claims for (1) Scheduled emission-related
showing how your parts or service affect failures that have been directly caused maintenance that the standard-setting
emissions. by the operator’s abuse of the engine/ part allows during the useful life period
(c) Compliance with standards. We equipment or the operator’s use of the (such as replacing fuel injectors).
may test engines and equipment to engine/equipment in a manner for (2) Unscheduled maintenance that
investigate compliance with emission which it was not designed, and are not occurs commonly within the useful life
standards and other requirements. We attributable to you in any way. period. For example, replacing a water
may also require the manufacturer to do (b) As a certifying manufacturer, you pump is not rebuilding an engine.
this testing. may not deny emission-related warranty (c) [Reserved]
(d) Defeat devices. We may test claims based on any of the following: (d) If you rebuild an engine or engine
engines and equipment to investigate (1) Maintenance or other service you system, you must have a reasonable
potential defeat devices. We may also or your authorized facilities performed. technical basis for knowing that the
require the manufacturer to do this (2) Engine/equipment repair work that rebuilt engine’s emission control system
testing. If we choose to investigate one an operator performed to correct an performs as well as, or better than, it
of your designs, we may require you to unsafe, emergency condition performs in its certified configuration.
show us that it does not have a defeat attributable to you, as long as the Identify the model year of the resulting
device. To do this, you may have to operator tries to restore the engine/ engine configuration. You have a
share with us information regarding test equipment to its proper configuration as reasonable basis if you meet two main
programs, engineering evaluations, soon as possible. conditions:
(1) Install parts—new, used, or (2) Identify the work done on the information as needed to reasonably
rebuilt—so a person familiar with engine or any emission-related control evaluate the validity of the exemption.
engine design and function would components, including a listing of parts (e) If you own or operate engines/
reasonably believe that the engine with and components you used. equipment we exempt under this
those parts will control emissions of all (3) Describe any engine parameter subpart, we may require you to provide
pollutants at least to the same degree as adjustments. information as needed to reasonably
with the original parts. For example, it (4) Identify any emission-related evaluate the validity of the exemption.
would be reasonable to believe that codes or signals you responded to and (f) Subpart D of this part describes
parts performing the same function as reset. how we apply these exemptions to
the original parts (and to the same (k) You must show us or send us your engines/equipment you import (or
degree) would control emissions to the records if we ask for them. Keep records intend to import).
same degree as the original parts. for at least two years after rebuilding an (g) If you want to ask for an
(2) Adjust parameters or change engine. Keep them in any format that exemption or need more information,
design elements only according to the allows us to readily review them. write to the Designated Officer.
original engine manufacturer’s (1) You do not need to keep (h) You may ask us to modify the
instructions. Or, if you differ from these information that is not reasonably administrative requirements for the
instructions, you must have data or available through normal business exemptions described in this subpart.
some other technical basis to show you practices. We do not expect you to have We may approve your request if we
should not expect in-use emissions to information that you cannot reasonably determine that such approval is
increase. access. consistent with the intent of this part.
(e) If the rebuilt engine remains (2) You do not need to keep records For example, waivable administrative
installed or is reinstalled in the same of what other companies do. requirements might include some
piece of equipment, you must rebuild it (3) You may keep records based on reporting requirements, but would not
to the original configuration or another families rather than individual engines include any eligibility requirements or
certified configuration of the same or if that is the way you normally do use restrictions.
later model year. business. (i) If you want to take an action with
(f) If the rebuilt engine replaces respect to an exempted or excluded
another certified engine in a piece of Subpart C—[Amended] engine/equipment that is prohibited by
equipment, you must rebuild it to a 150. Section 1068.201 is revised to the exemption or exclusion, such as
certified configuration of the same read as follows: selling it, you need to certify the engine/
model year as, or a later model year equipment. We will issue a certificate of
than, the engine you are replacing. § 1068.201 Does EPA exempt or exclude conformity if you send us an application
(g) Do not erase or reset emission- any engines/equipment from the prohibited for certification showing that you meet
related codes or signals from onboard acts?
all the applicable requirements from the
monitoring systems without diagnosing We may exempt new engines/ standard-setting part and pay the
and responding appropriately to any equipment from some or all of the appropriate fee. Also, in some cases, we
diagnostic codes. This requirement prohibited acts or requirements of this may allow manufacturers to modify the
applies regardless of the manufacturer’s part under provisions described in this engines/equipment as needed to make it
reason for installing the monitoring subpart. We may exempt engines/ identical to engines/equipment already
system and regardless of its form or equipment already placed in service in covered by a certificate. We would base
interface. Clear any codes from the United States from the prohibition such an approval on our review of any
diagnostic systems when you return the in § 1068.101(b)(1) if the exemption for appropriate documentation. These
rebuilt engine to service. Do not disable engines/equipment used solely for engines/equipment must have emission
a diagnostic signal without addressing competition applies (see § 1068.235). In control information labels that
its cause. addition, see § 1068.1 and the standard- accurately describe their status.
(h) When you rebuild an engine, setting parts to determine if other 151. Section 1068.210 is revised to
check, clean, adjust, repair, or replace engines/equipment are excluded from read as follows:
all emission-related components (listed some or all of the regulations in this
in Appendix I of this part) as needed chapter. § 1068.210 What are the provisions for
according to the original manufacturer’s (a) This subpart identifies which exempting test engines/equipment?
recommended practice. In particular, engines/equipment qualify for (a) We may exempt engines/
replace oxygen sensors, replace the exemptions and what information we equipment that are not exempted under
catalyst if there is evidence of need. We may ask for more information. other sections of this part that you will
malfunction, clean gaseous fuel-system (b) If you violate any of the terms, use for research, investigations, studies,
components, and replace fuel injectors conditions, instructions, or demonstrations, or training.
(if applicable), unless you have a requirements to qualify for an (b) Anyone may ask for a testing
reasonable technical basis for believing exemption, we may void, revoke, or exemption.
any of these components do not need suspend the exemption. (c) If you are a certificate holder, you
replacement. (c) If you use an exemption under this may request an exemption for engines/
(i) If you are installing an engine that subpart, we may require you to add a equipment you intend to include in test
someone else has rebuilt, check all permanent label to your exempted programs over a two-year period.
emission-related components listed in engines/equipment. You may ask us to (1) In your request, tell us the
Appendix I of this part as needed modify these labeling requirements if it maximum number of engines/
according to the original manufacturer’s is appropriate for your engine/ equipment involved and describe how
recommended practice. equipment. you will make sure exempted engines/
(j) Keep at least the following records: (d) If you produce engines/equipment equipment are used only for this testing.
(1) Identify the hours of operation (or we exempt under this subpart, we may (2) Give us the information described
mileage, as appropriate) at time of require you to make and keep records, in paragraph (d) of this section if we ask
rebuild. perform tests, make reports and provide for it.
(d) If you are not a certificate holder (4) Tell us when the test program is § 1068.220 What are the provisions for
do all of the following: finished. exempting display engines/equipment?
(1) Show that the proposed test (5) Tell us the final disposition of the (a) Anyone may request an exemption
program has a valid purpose under engines/equipment. for display engines/equipment.
paragraph (a) of this section. (6) Send us a written confirmation (b) Nonconforming display engines/
(2) Show you need an exemption to that you meet the terms and conditions equipment will be exempted if they are
achieve the purpose of the test program of this exemption. used only for displays in the interest of
(time constraints may be a basis for 152. Section 1068.215 is revised to a business or the general public. This
needing an exemption, but the cost of read as follows: exemption does not apply to engines/
certification alone is not). equipment displayed for private use,
(3) Estimate the duration of the § 1068.215 What are the provisions for private collections, or any other purpose
proposed test program and the number exempting manufacturer-owned engines/ we determine is inappropriate for a
of engines/equipment involved. equipment? display exemption.
(4) Allow us to monitor the testing. (a) You are eligible for the exemption (c) You may operate the exempted
(5) Describe how you will ensure that for manufacturer-owned engines/ engine/equipment, but only if we
you stay within this exemption’s equipment only if you are a certificate approve specific operation that is part of
purposes. Address at least the following holder. the display.
things: (b) Engines/equipment may be exempt (d) You may sell or lease the
(i) The technical nature of the test. without a request if they are exempted engine/equipment only with
(ii) The test site. nonconforming engines/equipment our advance approval; you may not use
(iii) The duration and accumulated under your ownership and control and it to generate revenue.
engine/equipment operation associated you operate them to develop products, (e) To use this exemption, you must
with the test. assess production methods, or promote add a permanent, legible label, written
(iv) Ownership and control of the in English, to a readily visible part of all
your engines/equipment in the
engines/equipment involved in the test. exempted engines/equipment. This
marketplace. You may not loan, lease,
(v) The intended final disposition of label must include at least the following
sell, or use the engine/equipment to
the engines/equipment. items:
generate revenue, either by itself or for
(vi) How you will identify, record, (1) The label heading ‘‘EMISSION
an engine installed in a piece of
and make available the engine/ CONTROL INFORMATION’’.
equipment.
equipment identification numbers. (2) Your corporate name and
(vii) The means or procedure for (c) To use this exemption, you must
do three things: trademark.
recording test results. (3) Engine displacement, family
(e) If we approve your request for a (1) Establish, maintain, and keep
identification, and model year of the
testing exemption, we will send you a adequately organized and indexed
engine/equipment, (as applicable) or
letter or a memorandum for your information on all exempted engines/
whom to contact for further information.
signature describing the basis and scope equipment, including the engine/ (4) One of these statements (as
of the exemption. The exemption does equipment identification number, the applicable):
not take effect until we receive the use of the engine/equipment on exempt (i) ‘‘THIS ENGINE IS EXEMPT
signed letter or memorandum from you. status, and the final disposition of any UNDER 40 CFR 1068.220 FROM
It will also include any necessary terms engine/equipment removed from EMISSION STANDARDS AND
and conditions, which normally require exempt status. RELATED REQUIREMENTS.’’.
you to do the following: (2) Let us access these records, as (ii) ‘‘THIS EQUIPMENT IS EXEMPT
(1) Stay within the scope of the described in § 1068.20. UNDER 40 CFR 1068.220 FROM
exemption. (3) Add a permanent, legible label, EMISSION STANDARDS AND
(2) Create and maintain adequate written in English, to a readily visible RELATED REQUIREMENTS.’’.
records that we may inspect. part of all exempted engines/equipment. (f) We may set other conditions for
(3) Add a permanent, legible label, This label must include at least the approval of this exemption.
written in English, to a readily visible following items: 154. Section 1068.225 is revised to
part of all exempted engines/equipment. (i) The label heading ‘‘EMISSION read as follows:
This label must include at least the CONTROL INFORMATION’’.
following items: § 1068.225 What are the provisions for
(ii) Your corporate name and
(i) The label heading ‘‘EMISSION exempting engines/equipment for national
trademark. security?
CONTROL INFORMATION’’. (iii) Engine displacement, family
(ii) Your corporate name and (a) You are eligible for the exemption
identification, and model year of the for national security only if you are a
trademark.
engine/equipment (as applicable); or manufacturer.
(iii) Engine displacement, family
whom to contact for further information. (b) Your engine/equipment is exempt
identification, and model year of the
engine/equipment (as applicable); or (iv) One of these statements (as without a request if it will be used or
whom to contact for further information. applicable) owned by an agency of the federal
(iv) One of these statements (as (A) ‘‘THIS ENGINE IS EXEMPT government responsible for national
applicable) UNDER 40 CFR 1068.210 OR 1068.215 defense, where the equipment has
(A) ‘‘THIS ENGINE IS EXEMPT FROM EMISSION STANDARDS AND armor, permanently attached weaponry,
UNDER 40 CFR 1068.210 OR 1068.215 RELATED REQUIREMENTS.’’. or other substantial features typical of
FROM EMISSION STANDARDS AND (B) ‘‘THIS EQUIPMENT IS EXEMPT military combat.
RELATED REQUIREMENTS.’’. UNDER 40 CFR 1068.210 OR 1068.215 (c) You may request a national
(B) ‘‘THIS EQUIPMENT IS EXEMPT FROM EMISSION STANDARDS AND security exemption for engines/
UNDER 40 CFR 1068.210 OR 1068.215 RELATED REQUIREMENTS.’’. equipment not meeting the conditions
FROM EMISSION STANDARDS AND 153. Section 1068.220 is revised to of paragraph (b) of this section, as long
RELATED REQUIREMENTS.’’. read as follows: as your request is endorsed by an
agency of the federal government 156. Section 1068.235 is revised to setting part, nor be part of any
responsible for national defense. In your read as follows: associated credit calculations.
request, explain why you need the (f) The provisions of this section may
exemption. § 1068.235 What are the provisions for not be used to circumvent emission
(d) Add a legible label, written in exempting engines/equipment used solely standards that apply to new engines
for competition?
English, to all engines/equipment under the standard-setting part.
exempted under this section. The label (a) New engines/equipment you 158. Section 1068.245 is amended by
must be permanently secured to a produce that are used solely for revising paragraphs (a) and (f) to read as
readily visible part of the engine/ competition are generally excluded from follows:
equipment needed for normal operation emission standards. See the standard-
setting parts for specific provisions § 1068.245 What temporary provisions
and not normally requiring replacement, address hardship due to unusual
such as the engine block. This label where applicable.
(b) If you modify any engines/ circumstances?
must include at least the following
equipment after they have been placed (a) After considering the
items:
into service in the United States so they circumstances, we may permit you to
(1) The label heading ‘‘EMISSION
will be used solely for competition, they introduce into U.S. commerce engines/
CONTROL INFORMATION’’.
(2) Your corporate name and are exempt without request. This equipment that do not comply with
trademark. exemption applies only to the emission-related requirements for a
(3) Engine displacement, family prohibition in § 1068.101(b)(1) and is limited time if all the following
identification, and model year of the valid only as long as the engine/ conditions apply:
engine/equipment, (as applicable), or equipment is used solely for (1) Unusual circumstances that are
whom to contact for further information. competition. clearly outside your control and that
(4) One of these statements (as (c) If you modify any engines/ could not have been avoided with
applicable): equipment under paragraph (b) of this reasonable discretion prevent you from
(i) ‘‘THIS ENGINE HAS AN section, you must destroy the original meeting requirements from this chapter.
EXEMPTION FOR NATIONAL emission labels. If you loan, lease, sell, (2) You exercised prudent planning
SECURITY UNDER 40 CFR 1068.225.’’. or give any of these engines/equipment and were not able to avoid the violation;
(ii) ‘‘THIS EQUIPMENT HAS AN to someone else, you must tell the new you have taken all reasonable steps to
EXEMPTION FOR NATIONAL owner (or operator, if applicable) in minimize the extent of the
SECURITY UNDER 40 CFR 1068.225.’’. writing that they may be used only for nonconformity.
155. Section 1068.230 is revised to (3) Not having the exemption will
competition.
read as follows: jeopardize the solvency of your
company.
§ 1068.230 What are the provisions for revising paragraphs (a), (b)(2), (b)(5),
(4) No other allowances are available
exempting engines/equipment for export? and (e) and adding paragraph (f) to read
under the regulations in this chapter to
(a) If you export a new engine or new as follows:
avoid the impending violation,
piece of equipment to a country with § 1068.240 What are the provisions for including the provisions of § 1068.250.
emission standards identical to ours, we exempting new replacement engines? * * * * *
will not exempt it. These engines/ (a) You are eligible for the exemption (f) Add a permanent, legible label,
equipment must comply with our for new replacement engines only if you written in English, to a readily visible
certification requirements. are a certificate holder. Note that this part of all engines/equipment exempted
(b) If you export engines/equipment to exemption does not apply for under this section. This label must
a country with different emission locomotives (40 CFR 1033.601) and that include at least the following items:
standards or no emission standards, unique provisions apply to marine (1) The label heading ‘‘EMISSION
they are exempt from the prohibited acts compression-ignition engines (40 CFR CONTROL INFORMATION’’.
in this part without a request. If you 1042.615). (2) Your corporate name and
produce exempt engines/equipment for (b) * * * trademark.
export and any are sold or offered for (2) The engine being replaced was not (3) Engine displacement (in liters),
sale to someone in the United States originally subject to emission standards, rated power, and model year of the
(except for export), we will void the or was originally subject to less engine/equipment, (as applicable) or
exemption. stringent emission standards than those whom to contact for further information.
(c) Label all exempted engines/ (4) One of the following statements:
that would otherwise apply to the new
equipment and shipping containers (i) If the engine/equipment does not
engine.
with a label or tag showing the engines/ meet any emission standards:
equipment are not certified for sale or * * * * * (A) ‘‘THIS ENGINE IS EXEMPT
use in the United States. These labels (5) You make the replacement engine UNDER 40 CFR 1068.245 FROM
need not be permanently attached to the in a configuration identical in all EMISSION STANDARDS AND
engines/equipment. The label must material respects to the engine being RELATED REQUIREMENTS.’’; or
include at least one of these statements replaced (or that of another certified (B) ‘‘THIS EQUIPMENT IS EXEMPT
(as applicable): engine of the same or later model year) UNDER 40 CFR 1068.245 FROM
(1) ‘‘THIS ENGINE IS SOLELY FOR and meet all the requirements of EMISSION STANDARDS AND
EXPORT AND IS THEREFORE EXEMPT § 1068.265. This requirement applies RELATED REQUIREMENTS.’’.
UNDER 40 CFR 1068.230 FROM U.S. only if the old engine was subject to (ii) If the engines/equipment meet
EMISSION STANDARDS AND emission standards less stringent than alternate emission standards as a
RELATED REQUIREMENTS.’’. those in effect when you produce the condition of an exemption under this
(2) ‘‘THIS EQUIPMENT IS SOLELY replacement engine. section, we may specify a different
FOR EXPORT AND IS THEREFORE * * * * * statement to identify the alternate
EXEMPT UNDER 40 CFR 1068.230 (e) Replacement engines exempted emission standards.
FROM U.S. EMISSION STANDARDS under this section may not generate or 159. Section 1068.250 is amended by
AND RELATED REQUIREMENTS.’’. use emission credits under the standard- revising the section heading and
paragraphs (b), (c)(1)(i), (d)(5), (j), and § 1068.255 What are the provisions for This label must include at least the
(k) to read as follows: exempting engines and fuel-system following items:
components for hardship for equipment (i) The label heading ‘‘EMISSION
§ 1068.250 What are the provisions for manufacturers and secondary engine
CONTROL INFORMATION’’.
extending compliance deadlines for small manufacturers?
businesses under hardship? (ii) Your corporate name and
This section describes how, in trademark.
* * * * * unusual circumstances, we may approve (iii) Engine displacement (in liters),
(b) To be eligible for this exemption, an exemption to prevent hardship to an rated power, and model year of the
you must be a small business. equipment manufacturer or a secondary engine or whom to contact for further
engine manufacturer. This section does information.
(c) * * *
not apply to products that are subject to (iv) If the engine does not meet any
(1) * * * equipment-based exhaust emission emission standards: ‘‘THIS ENGINE IS
(i) In the case of importers of engines/ standards. EXEMPT UNDER 40 CFR 1068.255
equipment produced by other (a) Equipment exemption. As an
FROM EMISSION STANDARDS AND
companies, show that you attempted to equipment manufacturer, you may ask
RELATED REQUIREMENTS.’’. If the
find a manufacturer capable of for approval to produce exempted
engine meets alternate emission
supplying complying products as soon equipment for up to 12 months. We will
standards as a condition of an
as you became aware of the applicable generally limit this to the first year that
exemption under this section, we may
requirements, but were unable to do so. new or revised emission standards
specify a different statement to identify
* * * * * apply. Send the Designated Officer a
the alternate emission standards.
written request for an exemption before
(d) * * * (2) Fuel-system components. Add a
you are in violation. In your request,
(5) Identify the level of compliance permanent, legible label, written in
you must show you are not at fault for
you can achieve. For example, you may English, to a readily visible part of each
the impending violation and that you
be able to produce engines/equipment fuel-system component exempted under
would face serious economic hardship if
that meet a somewhat less stringent this section. This label must
we do not grant the exemption. This
emission standard than the regulations prominently include at least the
exemption is not available under this
in this chapter require. following items:
paragraph (a) if you manufacture the
* * * * * (i) Your corporate name and
engine or fuel-system components you
trademark.
(j) We may approve extensions of the need for your own equipment or if
complying engines or fuel-system (ii) The statement ‘‘EXEMPT UNDER
compliance deadlines as reasonable 40 CFR 1068.255.’’.
under the circumstances up to one components are available from other
manufacturers that could be used in (c) Secondary engine manufacturers.
model year at a time, and up to three As a secondary engine manufacturer,
years total. your equipment, unless we allow it
elsewhere in this chapter. We may you may ask for approval to produce
(k) Add a permanent, legible label, exempted engines under this section for
written in English, to a readily visible impose other conditions, including
provisions to use products meeting less up to 12 months. We may require you
part of all engines/equipment exempted to certify your engines to compliance
under this section. This label must stringent emission standards or to
recover the lost environmental benefit. levels above the emission standards that
include at least the following items: apply. For example, the in the case of
In determining whether to grant the
(1) The label heading ‘‘EMISSION exemptions, we will consider all multiple tiers of emission standards, we
CONTROL INFORMATION’’. relevant factors, including the may require you to meet the standards
(2) Your corporate name and following: from the previous tier.
trademark. (1) The number of engines or fuel- (1) The provisions in paragraph (a) of
system components involved. this section that apply to equipment
(3) Engine displacement (in liters), manufacturers requesting an exemption
rated power, and model year of the (2) The size of your company and
your ability to endure the hardship. apply equally to you, except that you
engine/equipment or whom to contact may manufacture the engines. Before we
for further information. (3) The amount of time you had to
redesign your equipment to approve an exemption under this
(4) One of the following statements: accommodate complying products. section, we will generally require that
(i) If the engine/equipment does not (4) Whether there was any breach of you commit to a plan to make up the
meet any emission standards: contract by a supplier. lost environmental benefit.
(A) ‘‘THIS ENGINE IS EXEMPT (5) The potential for market (i) If you produce uncertified engines
UNDER 40 CFR 1068.250 FROM disruption. under this exemption, we will calculate
EMISSION STANDARDS AND (b) Engine and fuel-system component the lost environmental benefit based on
RELATED REQUIREMENTS.’’, or exemption. As an engine manufacturer our best estimate of uncontrolled
or fuel-system component manufacturer, emission rates for your engines.
(B) ‘‘THIS EQUIPMENT IS EXEMPT
you may produce nonconforming (ii) If you produce engines under this
UNDER 40 CFR 1068.250 FROM
products for the equipment we exempt exemption that are certified to a
EMISSION STANDARDS AND
in paragraph (a) of this section. You do compliance level less stringent than the
RELATED REQUIREMENTS.’’.
not have to request this exemption, but emission standards that would
(ii) If the engine/equipment meets you must have written assurance from otherwise apply, we will calculate the
alternate emission standards as a equipment manufacturers that they need lost environmental benefit based on the
condition of an exemption under this a certain number of exempted products compliance level you select for your
section, we may specify a different under this section. Label engines or engines.
statement to identify the alternate fuel-system components as follows: (2) The labeling requirements in
emission standards. (1) Engines. Add a permanent, legible paragraph (b) of this section apply to
160. Section 1068.255 is revised to label, written in English, to a readily your exempted engines; however, if you
read as follows: visible part of each exempted engine. certify engines to specific compliance
levels, state on the label the compliance equipment. This agreement must also sufficient for the number of engines
levels that apply to each engine. obligate the equipment manufacturer to produced. You must keep records of
161. Section 1068.260 is revised to provide the affidavits and cooperate these audits for five years after the end
read as follows: with the audits required under of the model year and provide a report
paragraph (b)(6) of this section. to us describing any uninstalled or
§ 1068.260 What provisions apply for (4) Include the cost of all improperly installed aftertreatment
selling or shipping certified engines that are
aftertreatment components in the cost of components. Send us these reports
not yet in the certified configuration?
the engine. For purposes of importation, within 90 days of the audit, except as
The provisions of § 1068.101(a)(1) you may itemize your invoice to specified in paragraph (e) of this
generally require that all new engines be separately identify the cost of section.
in their certified configuration before aftertreatment components that will be (iii) If you sell engines to fewer than
being introduced into U.S. commerce. shipped separately. A copy of your 16 equipment manufacturers under the
All emission-related components invoice from the aftertreatment provisions of this section, you must
generally need to be installed on an manufacturer may be needed to avoid conduct audits as described in
engine for such an engine to be in its payment of importation duties that paragraph (b)(6)(ii) of this section or
certified configuration. This section include the value of aftertreatment propose an alternative plan for ensuring
specifies exceptions to these components. that equipment manufacturers properly
requirements for engines. This section (5) Ship the aftertreatment install aftertreatment devices.
does not apply to equipment subject to components directly to the equipment (7) Describe the following things in
equipment-based standards. (Note: See manufacturer, or arrange for separate your application for certification:
§ 1068.262 for provisions related to shipment by the component (i) How you plan to use the provisions
manufacturers introducing into U.S. manufacturer to the equipment of this section.
commerce partially complete engines manufacturer. (ii) A detailed plan for auditing
for which someone else holds the (6) Take appropriate additional steps equipment manufacturers, as described
certificate of conformity.) to ensure that all engines will be in their in paragraph (b)(6) of this section.
(a) Shipping an engine separately certified configuration when installed (iii) All other steps you plan to take
from an aftertreatment component that by the equipment manufacturer. At a under paragraph (b)(6) of this section.
you have specified as part of its certified minimum do the following: (8) Keep records to document how
configuration will not be a violation of (i) Obtain annual affidavits from every many engines you produce under this
the prohibitions in § 1068.101(a)(1) if equipment manufacturer to whom you exemption. Also, keep records to
you follow the provisions of paragraph sell engines under this section. Include document your contractual agreements
(b) or (c) of this section. Note that the engines that you sell through under paragraph (b)(3) of this section.
standard-setting parts allows this distributors or dealers. The affidavits Keep all these records for five years after
exemption for delegated final assembly must list the part numbers of the the end of the model year and make
only for the following engines: aftertreatment devices that equipment them available to us upon request.
(1) Stationary compression-ignition manufacturers install on each engine (9) Make sure the engine has the
engines (see 40 CFR part 60, subpart they purchase from you under this emission control information label we
IIII). section. require under the standard-setting part.
(2) Stationary spark-ignition engines (ii) If you sell engines to 16 or more Apply an additional temporary label or
(see 40 CFR part 60, subpart JJJJ). equipment manufacturers under the tag in a way that makes it unlikely that
(3) Land-based nonroad compression- provisions of this section, you must the engine will be installed in
ignition engines (see 40 CFR part 1039). annually audit four equipment equipment other than in its certified
(4) Marine spark-ignition engines (see manufacturers to whom you sell engines configuration. The label or tag must
40 CFR part 1045). under this section. To select individual identify the engine as incomplete and
(5) Marine compression-ignition equipment manufacturers, divide all the include a clear statement that failing to
engines (see 40 CFR part 1042). affected equipment manufacturers into install the aftertreatment device, or
(6) Large nonroad spark-ignition quartiles based on the number of otherwise bring the engine into its
engines (see 40 CFR part 1048). engines they buy from you; select a certified configuration, is a violation of
(b) If you do not manufacture the single equipment manufacturer from federal law subject to civil penalty.
equipment in which the engine will be each quartile each model year. Vary the (10) You must keep a supply of
installed, you must meet all the equipment manufacturers you audit aftertreatment devices available at your
following conditions to ship engines from year to year, though you may production facility so you can test
without aftertreatment components repeat an audit in a later model year if production-line engines as specified in
specified in your application for you find or suspect that a particular the standard-setting part or in subpart E
certification: equipment manufacturer is not properly of this part. Use a new catalyst with
(1) Apply for and receive a certificate installing aftertreatment devices. If you each tested engine, following the
of conformity for the engine and its sell engines to fewer than 16 equipment specified procedures for stabilizing
emission control system before manufacturers under the provisions of emission levels. Keep records showing
shipment. this section, you may instead set up a how you randomly selected these
(2) Provide installation instructions in plan to audit each equipment catalysts, consistent with applicable
enough detail to ensure that the engine manufacturer on average once every requirements.
will be in its certified configuration if four model years. Audits must involve (c) If you manufacture engines and
someone follows these instructions. the assembling companies’ facilities, install them in equipment you also
(3) Have a contractual agreement with procedures, and production records to produce, you must take steps to ensure
each equipment manufacturer obligating monitor their compliance with your that your facilities, procedures, and
the equipment manufacturer to instructions, must include investigation production records are set up to ensure
complete the final assembly of the of some assembled engines, and must that equipment and engines are
engine so it is in its certified confirm that the number of assembled in their proper certified
configuration when installed in the aftertreatment devices shipped were configurations. You may demonstrate
compliance with this requirement by components if they are not emission- name for the engine. The original engine
maintaining a database showing how related components identified in manufacturer may not apply a
you pair aftertreatment components Appendix I of this part. For example, permanent emission control information
with the appropriate engines. you may generally ship engines without label identifying the engine’s eventual
(d) Once the equipment manufacturer radiators needed to cool the engine. You certification status.
takes possession of an engine exempted may ask us at the time of certification (b) The provisions of this section
under this section and the engine to allow you to ship your engines apply only where the secondary engine
reaches the point of final equipment without other equipment-related manufacturer has substantial control
assembly, the exemption expires and components (such as a vehicle speed over the design and assembly of
the engine is subject to all the sensor) that are described in your emission controls. In determining
prohibitions in § 1068.101. application for certification. If we allow whether a manufacturer has substantial
(e) You must notify us within 15 days it, we may specify conditions that we control over the design and assembly of
if you find from an audit or another determine are needed to ensure that emission controls, we would consider
source that an equipment manufacturer shipping the engine without such the degree to which the secondary
has failed to meet its obligations under components will not result in the engine manufacturer would be able to ensure
this section. being operated outside of its certified that the engine will conform to the
(f) We may suspend, revoke, or void configuration. regulations in its final configuration.
an exemption under this section, as (l) You may ask us to provide a Such secondary manufacturers may
follows: temporary exemption to allow you to finish assembly of partially complete
(1) We may suspend or revoke your complete production of your engines at engines in the following cases:
exemption for the entire family if we different facilities, as long as you (1) You obtain an engine that is not
determine that any of the engines are maintain control of the engines until fully assembled, with the intent to
not in their certified configuration after they are in their certified configuration. manufacture a complete engine.
installation in the equipment, or if you We may require you to take specific (2) You obtain an engine with the
fail to comply with the requirements of steps to ensure that such engines are in intent to modify it before it reaches the
this section. If we suspend or revoke the their certified configuration before ultimate purchaser.
exemption for any of your families reaching the ultimate purchaser. You (3) You obtain an engine with the
under this paragraph (f), this exemption may request an exemption under this intent to install it in equipment that will
will not apply for future certificates paragraph (l) in your application for be subject to equipment-based
unless you demonstrate that the factors certification, or in a separate submission standards.
causing the nonconformity do not apply to the Designated Compliance Officer. (c) The manufacturer that will hold
to the other families. We may suspend 162. A new § 1068.262 is added to the certificate must include the
or revoke the exemption for shipments read as follows: following information in its application
to a single facility where final assembly for certification:
occurs. § 1068.262 What are the provisions for (1) Identify the original engine
(2) We may void your exemption for temporarily exempting engines for manufacturer of the partially complete
the entire family if you intentionally shipment to secondary engine engine or of the complete engine you
manufacturers?
submit false or incomplete information will modify.
or fail to keep and provide to EPA the Except as specified in paragraph (f) of (2) Describe briefly how and where
records required by this section. We this section, all new engines in the final assembly will be completed.
may suspend, revoke, or void an United States are presumed to be subject Specify how you have the ability to
exemption under this section, as to the prohibitions of § 1068.101. This ensure that the engines will conform to
follows: section specifies when manufacturers the regulations in their final
(g) You are liable for the in-use may introduce into U.S. commerce configuration. (Note: Paragraph (b) of
compliance of any engine that is exempt partially complete engines that have a this section prohibits using the
under this section. certificate of conformity held by a provisions of this section unless you
(h) It is a violation of the Act for any secondary engine manufacturer and are have substantial control over the design
person to introduce into U.S. commerce not yet in their certified configuration. and assembly of emission controls.)
a previously exempted engine, (Note: See § 1068.260 for provisions (3) State unconditionally that the
including as part of a piece of related to manufacturers introducing engines will comply with all applicable
equipment, without complying fully into U.S. commerce partially complete regulations in their final configuration.
with the installation instructions. engines for which they hold the (d) [Reserved]
(i) [Reserved] certificate of conformity.) This (e) These provisions are intended only
(j) In certain circumstances you may exemption is temporary, as described in to allow you to obtain engines in the
ship engines with emission-related paragraph (e) of this section. specific circumstances identified in this
components that are not yet assembled (a) Manufacturers may introduce into section, so any exemption under this
to the engine. This allowance is limited U.S. commerce partially complete section expires when you complete the
to situations where the final assembly engines as described in this section if assembly of the engine/equipment in its
depends on equipment design they have a written request for such final configuration.
parameters and we determine that engines from a secondary manufacturer (f) Reduced-scale hobby engines are
shipment of the fully assembled engine that has certified the engine and will not presumed to be engines subject to
is impractical. For example, you may finish the engine assembly. The original the prohibitions of § 1068.101. Hobby
generally ship aftertreatment devices engine manufacturer must apply a engines are compression-ignition
along with engines rather than installing temporary label to each engine to make engines with a per-cylinder
them on the engine before shipment. clear that the engine is not yet in its displacement of less than 50 cubic
You do not need an exemption to ship certified configuration. The temporary centimeters or spark-ignition engines
an engine under this paragraph (j). label must include the corporate names installed in reduced-scale models of
(k) You do not need an exemption to of both the original and certifying vehicles that are not capable of
ship engines without specific manufacturers and the engine family transporting a person. Other engines
that do not have a valid certificate of a certificate of conformity for them, (b) In general, engines/equipment that
conformity or exemption when unless we specifically waive certain you import must be covered by a
introduced into U.S. commerce are requirements. certificate of conformity unless they
presumed to be engines subject to the (c) You must have emission data from were built before emission standards
prohibitions of § 1068.101 unless we test engines/equipment using the started to apply. This subpart describes
determine that such engines are appropriate procedures that the limited cases where we allow
excluded from the prohibitions of demonstrate compliance with the importation of exempt or excluded
§ 1068.101. alternate standards, unless the engines/ engines/equipment. For equipment not
(g) For purposes of this section, an equipment are identical in all material subject to equipment-based exhaust
allowance to introduce engines into U.S. respects to engines/equipment that you emission standards, an exemption of the
commerce includes a conditional have previously certified to standards engine allows you to import the
allowance to sell, introduce, or deliver that are the same as, or more stringent equipment.
such partially complete engines into than, the alternate standards. (c) The U.S. Customs Service may
commerce in the United States or (d) Unless we specify otherwise prevent you from importing engines or
import them into the United States. It elsewhere in the standard-setting part, equipment if you do not meet the
does not include a general allowance to you must meet the labeling requirements of this subpart. In
offer such partially complete engines for requirements in the standard-setting addition, U.S. Customs Service
sale because this exemption is intended part, with the following exceptions: regulations may contain other
to apply only for cases in which the (1) Modify the family designation by requirements for engines/equipment
certificate holder already has an eliminating the character that identifies imported into the United States (see 19
arrangement to purchase the engines the model year. CFR Chapter I).
from the original engine manufacturer. (2) See the provisions of the (d) Complete the appropriate EPA
This exemption does not allow the applicable exemption for appropriate declaration form before importing any
original engine manufacturer to language to replace the compliance engines or equipment. These forms are
subsequently offer the engines for sale statement otherwise required in the available on the Internet at http://
to a different manufacturer who will standard-setting part. www.epa.gov/otaq/imports or by phone
hold the certificate unless that second (e) You may not generate emission at 734–214–4100. Importers must keep
manufacturer has also complied with credits for averaging, banking, or trading the forms for five years and make them
the requirements of this part. with engines/equipment meeting available promptly upon request.
(h) No exemption is needed to import requirements under the provisions of 165. Section 1068.305 is revised to
equipment that does not include an this section. read as follows:
engine. No exemption is available under (f) Keep records to show that you
this section for equipment subject to meet the alternate standards, as follows: § 1068.305 How do I get an exemption or
equipment-based standards if the engine (1) If your exempted engines/ exclusion for imported engines/equipment?
has been installed. equipment are identical to previously (a) You must meet the requirements of
163. Section 1068.265 is revised to certified engines/equipment, keep your the specific exemption or exclusion you
read as follows: most recent application for certification intend to use and complete the
for the certified family. appropriate declaration form described
§ 1068.265 What provisions apply to (2) If you previously certified a in § 1068.301(d).
engines/equipment that are conditionally similar family, but have modified the (b) If we ask for it, prepare a written
exempted from certification? exempted engines/equipment in a way request in which you do the following:
Engines produced under an that changes them from their previously (1) Give your name, address,
exemption for replacement engines certified configuration, keep your most telephone number, and taxpayer
(§ 1068.240) or engines/equipment recent application for certification for identification number.
produced under an exemption for the certified family, a description of the (2) Give the engine/equipment
hardship (§ 1068.245, § 1068.250, or relevant changes, and any test data or owner’s name, address, telephone
§ 1068.255) may need to meet alternate engineering evaluations that support number, and taxpayer identification
emission standards as a condition of the your conclusions. number.
exemption. The standard-setting part (3) If you have not previously certified (3) Identify the make, model,
may similarly exempt engines/ a similar family, keep all the records we identification number, and original
equipment from all certification specify for the application for production year of all engines/
requirements, or allow us to exempt certification and any additional records equipment.
engines/equipment from all certification the standard-setting part requires you to (4) Identify which exemption or
requirements for certain cases, but keep. exclusion in this subpart allows you to
require the engines/equipment to meet (g) We may require you to send us an import nonconforming engines/
alternate standards. In these cases, all annual report of the engines/equipment equipment and describe how your
the following provisions apply: you produce under this section. engine/equipment qualifies.
(a) Your engines/equipment must (5) Tell us where you will keep your
meet the alternate standards we specify Subpart D—Amended] engines/equipment if you might need to
in (or pursuant to) the exemption 164. Section 1068.301 is revised to store them until we approve your
section, and all other requirements read as follows: request.
applicable to engines/equipment that (6) Authorize us to inspect or test
are subject to such standards. § 1068.301 What general provisions apply? your engines/equipment as the Act
(b) You need not apply for and receive (a) This subpart applies to you if you allows.
a certificate for the exempt engines/ import into the United States engines or (c) We may ask for more information.
equipment. However, you must comply equipment subject to our emission (d) You may import the
with all the requirements and standards or equipment containing nonconforming engines/equipment you
obligations that would apply to the engines subject to our emission identify in your request if you get prior
engines/equipment if you had received standards. written approval from us. The U.S.
Customs Service may require you to in hobby vehicles are generally equipment are in a configuration that is
show them the approval letter. We may excluded. Engines/equipment used in identical to engines/equipment the
temporarily or permanently approve the underground mining are excluded if original manufacturer has certified to
exemptions or exclusions, as described they are regulated by the Mine Safety meet emission standards that apply at
in this subpart. and Health Administration. the time the manufacturer finished
(e) Meet the requirements specified 167. Section 1068.315 is revised to assembling or modifying the engines/
for the appropriate exemption in this read as follows: equipment in question. If you modify
part or the standard-setting part, the engines/equipment to make them
§ 1068.315 What are the permanent
including any labeling requirements exemptions for imported engines/ identical, you must completely follow
that apply. equipment? the original manufacturer’s written
166. Section 1068.310 is revised to instructions.
We may approve a permanent
read as follows: (2) We will tell you in writing if we
exemption from the restrictions on
imports under § 1068.301(b) under the find the information insufficient to
§ 1068.310 What are the exclusions for
imported engines/equipment? following conditions: show that the engines/equipment are
(a) National security exemption. You eligible for this exemption. In this case,
If you show us that your engines/
may import an engine or piece of we will not consider your request
equipment qualify under one of the
equipment under the national security further until you address our concerns.
paragraphs of this section, we will
exemption in § 1068.225, but only if it (i) Ancient engine/equipment
approve your request to import such
is properly labeled. exemption. If you are not the original
excluded engines/equipment. You must
(b) Manufacturer-owned engine/ engine/equipment manufacturer, you
have our approval before importing
equipment exemption. You may import may import nonconforming engines/
engines/equipment under paragraph (a)
manufacturer-owned engines/ equipment that are subject to a
of this section. You may, but are not
equipment, as described in § 1068.215. standard-setting part and were first
required to request our approval to
(c) Replacement engine exemption. manufactured at least 21 years earlier, as
import the engines/equipment under
You may import a nonconforming long as they are still in their original
paragraph (b) or (c) of this section. The
replacement engine as described in configurations.
following engines/equipment are
§ 1068.240. To use this exemption, you 168. Section 1068.320 is revised to
excluded:
must be a certificate holder for a family read as follows:
(a) Engines/equipment used solely for
competition. Engines/equipment that we regulate under the same part as the
§ 1068.320 How must I label imported
you demonstrate will be used solely for replacement engine.
engines/equipment with an exclusion or a
(d) Extraordinary circumstances
competition are excluded from the permanent exemption?
exemption. You may import a
restrictions on imports in § 1068.301(b), (a) For engines/equipment imported
nonconforming engine or piece of
but only if they are properly labeled. under § 1068.310(a) or (b), you must
equipment if we grant hardship relief as
See the standard-setting part for place a permanent label or tag on all
described in § 1068.245.
provisions related to this demonstration. (e) Small-volume manufacturer engines/equipment. If no specific label
Section 1068.101(b)(4) prohibits anyone exemption. You may import a requirements in the standard-setting
from using these excluded engines/ nonconforming engine or piece of part apply for these engines/equipment,
equipment for purposes other than equipment if we grant hardship relief you must meet the following
competition. for a small-volume manufacturer, as requirements:
(b) Stationary engines. The definition (1) Attach the label or tag in one piece
described in § 1068.250.
of nonroad engine in § 1068.30 does not (f) Equipment-manufacturer hardship so no one can remove it without
include certain engines used in exemption. You may import a destroying or defacing it.
stationary applications. Such engines nonconforming engine if we grant an (2) Make sure it is durable and
(and equipment containing such exemption for the transition to new or readable for the engine/equipment’s
engines) may be subject to the standards revised emission standards, as described entire life.
of 40 CFR part 60. Engines that are in § 1068.255. (3) Secure it to a part of the engine/
excluded from the definition of nonroad (g) [Reserved] equipment needed for normal operation
engine in this part and are not required (h) Identical configuration exemption. and not normally requiring replacement.
to be certified to standards under 40 Unless specified otherwise in the (4) Write it in English.
CFR part 60 are not subject to the standard-setting part, you may import (5) For labels on the engine, make the
restrictions on imports in § 1068.301(b), nonconforming engines/equipment if labels readily visible to the average
but only if they are properly labeled and they are identical to certified engines/ person after the engine is installed in
there is clear and convincing evidence equipment produced by the same the equipment.
that each engine will be used in a manufacturer, subject to the following (b) On the engine/equipment label or
stationary application (see paragraph provisions: tag, do the following:
(2)(iii) of the definition of ‘‘Nonroad (1) You must meet all the following (1) Include the heading ‘‘EMISSION
engine’’). Section 1068.101 restricts the criteria: CONTROL INFORMATION’’.
use of stationary engines for non- (i) You have owned the engines/ (2) Include your full corporate name
stationary purposes, unless they are equipment for at least six months. and trademark.
certified under 40 CFR part 60 to the (ii) You agree not to sell, lease, (3) State the engine displacement (in
same standards that would apply to donate, trade, or otherwise transfer liters) and rated power. If the engine’s
nonroad engines for the same model ownership of the engines/equipment for rated power is not established, state the
year. at least five years. During this period, approximate power rating accurately
(c) Other engines/equipment. The the only acceptable way to dispose of enough to allow a determination of
standard-setting parts may exclude the engines/equipment is to destroy or which standards would otherwise
engines/equipment used in certain export them. apply.
applications. For example, engines used (iii) You use data or evidence (4) State: ‘‘THIS ENGINE IS EXEMPT
in aircraft and very small engines used sufficient to show that the engines/ FROM THE REQUIREMENTS OF
[identify the part referenced in the time the exemption expires or it has been destroyed or delivered to the
§ 1068.1(a) that would otherwise apply], directly after the display concludes, U.S. Customs Service for export or other
AS PROVIDED IN [identify the whichever comes first. disposition under applicable Customs
paragraph authorizing the exemption (d) Export exemption. You may laws and regulations. EPA or the U.S.
(for example, ‘‘40 CFR 1068.315(a)’’)]. temporarily import nonconforming Customs Service may offer you a grace
INSTALLING THIS ENGINE IN ANY engines/equipment to export them, as period to allow you to export
DIFFERENT APPLICATION MAY BE A described in § 1068.230. You may temporarily exempted engines/
VIOLATION OF FEDERAL LAW operate the engine/equipment in the equipment without penalty after the
SUBJECT TO CIVIL PENALTY.’’. United States only as needed to prepare exemption expires.
(c) Get us to approve alternate label it for export. Label the engine/
language if it is more accurate for your equipment as described in § 1068.230. Subpart E—[Amended]
engine/equipment. (e) Diplomatic or military exemption.
169. Section 1068.325 is revised to 172. Section 1068.401 is revised to
You may temporarily import
read as follows: read as follows:
nonconforming engines/equipment
without bond if you represent a foreign § 1068.401 What is a selective
§ 1068.325 What are the temporary
exemptions for imported engines/
government in a diplomatic or military enforcement audit?
equipment? capacity. In your request to the (a) We may conduct or require you to
Designated Officer (see § 1068.305), conduct emission tests on your
You may import engines/equipment
include either written confirmation production engines/equipment in a
under certain temporary exemptions,
from the U.S. State Department that you selective enforcement audit. This
subject to the conditions in this section.
qualify for this exemption or a copy of requirement is independent of any
We may ask the U.S. Customs Service to
your orders for military duty in the requirement for you to routinely test
require a specific bond amount to make
United States. We will rely on the State production-line engines/equipment. For
sure you comply with the requirements
Department or your military orders to products subject to equipment-based
of this subpart. You may not sell or
determine when your diplomatic or standards, but tested using engine-based
lease one of these engines/equipment
military status expires, at which time test procedures, this subpart applies to
while it is in the United States. You
you must export your exempt engines/ the engines and/or the equipment, as
must eventually export the engine/
equipment. applicable. Otherwise this subpart
equipment as we describe in this section
(f) Delegated-assembly exemption. applies to engines for products subject
unless you get a certificate of conformity
You may import a nonconforming to engine-based standards and to
for it or it qualifies for one of the
engine for final assembly under the equipment for products subject to
permanent exemptions in § 1068.315.
provisions of § 1068.260. However, this equipment-based standards.
Section 1068.330 specifies an additional
does not include the staged-assembly (b) If we send you a signed test order,
temporary exemption allowing you to
provisions of § 1068.260(j). you must follow its directions and the
import certain engines/equipment you (g) Partially complete engine
intend to modify. provisions of this subpart. We may tell
exemption. You may import an engine you where to test the engines/
(a) Exemption for repairs or
if another company already has a equipment. This may be where you
alterations. You may temporarily import
certificate of conformity and will be produce the engines/equipment or any
nonconforming engines/equipment
modifying the engine to be in its final, other emission testing facility.
under bond solely for repair or
certified configuration under the (c) If we select one or more of your
alteration. You may operate the engine/
provisions of § 1068.262. families for a selective enforcement
equipment in the United States only as
necessary to repair it, alter it, or ship it § 1068.330 [Removed] audit, we will send the test order to the
to or from the service location. Export 170. Section 1068.330 is removed. person who signed the application for
the engine/equipment directly after 171. Section 1068.335 is revised to certification or we will deliver it in
servicing is complete. read as follows: person.
(b) Testing exemption. You may (d) If we do not select a testing
temporarily import nonconforming § 1068.335 What are the penalties for facility, notify the Designated Officer
engines/equipment under bond for violations? within one working day of receiving the
testing if you follow the requirements of (a) All imported engines/equipment. test order where you will test your
§ 1068.210. You may operate the Unless you comply with the provisions engines/equipment.
engines/equipment in the United States of this subpart, importation of (e) You must do everything we require
only as needed to perform tests. This nonconforming engines/equipment in the audit without delay.
exemption expires one year after you violates sections 203 and 213(d) of the 173. Section 1068.405 is revised to
import the engine/equipment, unless we Act (42 U.S.C. 7522 and 7547(d)). You read as follows:
approve an extension. The engine/ may then have to export the engines/
equipment must be exported before the equipment, or pay civil penalties, or § 1068.405 What is in a test order?
exemption expires. both. The U.S. Customs Service may (a) In the test order, we will specify
(c) Display exemption. You may seize unlawfully imported engines and the following things:
temporarily import nonconforming equipment. (1) The family and configuration (if
engines/equipment under bond for (b) Temporarily imported engines/ any) we have identified for testing.
display, as described in § 1068.220. This equipment. If you do not comply with (2) The engine/equipment assembly
exemption expires one year after you the provisions of this subpart for a plant, storage facility, or (if you import
import the engine/equipment, unless we temporary exemption under § 1068.325 the engines/equipment) port facility
approve your request for an extension. or § 1068.330, you may forfeit the total from which you must select engines/
We may approve an extension of up to amount of the bond in addition to the equipment.
one more year for each request, but no sanctions we identify in paragraph (a) of (3) The procedure for selecting
more than three years in total. The this section. We will consider an engine engines/equipment for testing,
engine/equipment must be exported by or piece of equipment to be exported if including a selection rate.
(4) The test procedures, duty cycles, finish assembling the engines/ (g) Damage during shipment. If
and test points, as appropriate, for equipment. Assemble these components shipping the engine/equipment to a
testing the engines/equipment to show onto the test engines/equipment using remote facility for testing under a
that they meet emission standards. your documented assembly and quality selective enforcement audit makes
(b) We may state that we will select control procedures. necessary an adjustment or repair, you
the test engines/equipment. (c) Modifying engines/equipment. must wait until after the initial emission
(c) We may identify alternate families Once an engine or piece of equipment test to do this work. We may waive this
or configurations for testing in case we is selected for testing, you may adjust, requirement if the test would be
determine the intended engines/ repair, prepare, or modify it or check its impossible or unsafe, or if it would
equipment are not available for testing emissions only if one of the following is permanently damage the engine/
or if you do not produce enough true: equipment. Report to us, in your written
engines/equipment to meet the (1) You document the need for doing report under § 1068.450, all adjustments
minimum rate for selecting test engines/ so in your procedures for assembling or repairs you make on test engines/
equipment. and inspecting all your production equipment before each test.
(d) We may include other directions engines/equipment and make the action (h) Shipping engines/equipment. If
or information in the test order. routine for all the engines/equipment in you need to ship engines/equipment to
(e) We may ask you to show us that the family. another facility for testing, make sure
you meet any additional requirements (2) This subpart otherwise allows the test engines/equipment arrive at the
that apply to your engines/equipment your action. test facility within 24 hours after being
(closed crankcases, for example). (3) We approve your action in selected. You may ask that we allow
(f) In anticipation of a potential audit, advance. more time if you are unable to do this.
you may give us a list of your preferred (d) Engine/equipment malfunction. If (i) Retesting after invalid tests. You
families and the corresponding an engine/equipment malfunction may retest an engine or piece of
assembly plants, storage facilities, or (if prevents further emission testing, ask us equipment if you determine an emission
you import the engines/equipment) port to approve your decision to either repair test is invalid under the standard-setting
facilities from which we should select the engine or delete it from the test part. Explain in your written report
engines/equipment for testing. The sequence. reasons for invalidating any test and the
information would apply only for a (e) Setting adjustable parameters. emission results from all tests. If you
single model year, so it would be best Before any test, we may adjust or retest an engine or piece of equipment
to include this information in your require you to adjust any adjustable and, within ten days after testing, ask to
application for certification. If you give parameter to any setting within its substitute results of the new tests for the
us this list before we issue a test order, physically adjustable range. original ones, we will answer within ten
we will consider your (1) We may adjust or require you to days after we receive your information.
recommendations, but we may select adjust idle speed outside the physically (j) Retesting after reaching a fail
engines/equipment differently. adjustable range as needed until the decision. You may retest your engines/
(g) If you also do routine production- engine has stabilized emission levels equipment once a fail decision for the
line testing with the selected family in (see paragraph (f) of this section). We audit has been reached based on the
the same time period, the test order will may ask you for information needed to first test on each engine or piece of
tell you what changes you might need establish an alternate minimum idle equipment under § 1068.420(c). You
to make in your production-line testing speed. may test each engine or piece of
schedule. equipment up to a total of three times,
(2) We may make or specify
174. Section 1068.410 is revised to but you must perform the same number
adjustments within the physically
read as follows: of tests on each engine or piece of
adjustable range by considering their
effect on emission levels, as well as how equipment. You may further operate the
§ 1068.410 How must I select and prepare
my engines/equipment? likely it is someone will make such an engine/equipment to stabilize emission
adjustment with in-use engines/ levels before testing, subject to the
(a) Selecting engines/equipment.
equipment. provisions of paragraph (f) of this
Select engines/equipment as described
(f) Stabilizing emission levels. (1) section. We may approve retesting at
in the test order. If you are unable to
Before you test production-line engines/ other times if you send us a request with
select test engines/equipment this way,
equipment for exhaust emission, you satisfactory justification.
you may ask us to approve an alternate 175. Section 1068.415 is revised to
plan, as long as you make the request may operate the engine/equipment to
read as follows:
before you start selecting engines/ stabilize the exhaust emission levels.
equipment. Using good engineering judgment, § 1068.415 How do I test my engines/
(b) Assembling engines/equipment. operate your engines/equipment in a equipment?
Produce and assemble test engines/ way that represents the way production (a) Use the test procedures specified
equipment using your normal engines/equipment will be used. You in the standard-setting part for showing
production and assembly process for may operate each engine or piece of that your engines/equipment meet
that family. equipment for no more than the greater emission standards. The test order will
(1) Notify us directly if you make any of two periods: give further testing instructions.
change in your production, assembly, or (i) 50 hours. (b) If no test cells are available at a
quality control processes that might (ii) The number of hours you operated given facility, you may make alternate
affect emissions between the time you your emission-data engine/equipment testing arrangements with our approval.
receive the test order and the time you for certifying the family (see 40 CFR part (c) Test at least two engines/
finish selecting test engines/equipment. 1065, subpart E). equipment in each 24-hour period
(2) If you do not fully assemble (2) Use good engineering judgment (including void tests). However, if your
engines/equipment at the specified and follow the standard-setting part to projected U.S. nonroad sales within the
location, we will describe in the test stabilize equipment for evaporative family are less than 7,500 for the year,
order how to select components to emissions, where appropriate. you may test a minimum of one per 24-
hour period. If you request and justify (h) If we test some of your engines/ a hearing that we used erroneous
it, we may approve a lower testing rate. equipment in addition to your own information in deciding to suspend the
(d) For exhaust emissions, accumulate testing, we may decide not to include certificate, we will reinstate the
service on test engines/equipment at a your test results as official data for those certificate.
minimum rate of 6 hours per engine or engines/equipment if there is 179. Section 1068.435 is revised to
piece of equipment during each 24-hour substantial disagreement between your read as follows:
period. The first 24-hour period for testing and our testing. We will reinstate
§ 1068.435 May I sell engines/equipment
service accumulation begins when you your data as valid if you show us that from a family with a suspended certificate
finish preparing an engine or piece of we made an error and your data are of conformity?
equipment for testing. The minimum correct.
You may sell engines/equipment that
service accumulation rate does not (i) If we rely on our test data instead
you produce after we suspend the
apply on weekends or holidays. You of yours, we will notify you in writing
family’s certificate of conformity only if
may ask us to approve a lower service of our decision and the reasons we
one of the following occurs:
accumulation rate. We may require you believe your facility is not appropriate (a) You test each engine or piece of
to accumulate hours more rapidly than for doing the tests we require under this equipment you produce and show it
the minimum rate, as appropriate. Plan subpart. You may request in writing that complies with emission standards that
your service accumulation to allow we consider your test results from the apply.
testing at the rate specified in paragraph same facility for future testing if you (b) We conditionally reinstate the
(c) of this section. Select operation for show us that you have made changes to certificate for the family. We may do so
accumulating operating hours on your resolve the problem. if you agree to recall all the affected
test engines/equipment to represent 177. Section 1068.425 is revised to engines/equipment and remedy any
normal in-use operation for the family. read as follows: noncompliance at no expense to the
(e) Test engines/equipment in the owner if later testing shows that
§ 1068.425 What happens if one of my
same order you select them. production-line engines/equipment exceeds engines/equipment in the family still do
176. Section 1068.420 is revised to the emission standards? not comply.
read as follows: (a) If one of your production-line 180. Section 1068.440 is amended by
engines/equipment fails to meet one or revising paragraph (b) to read as follows:
§ 1068.420 How do I know when my family
fails an SEA? more emission standards (see § 1068.440 How do I ask EPA to reinstate
(a) A failed engine or piece of § 1068.420), the certificate of conformity my suspended certificate?
equipment is one whose final is automatically suspended for that * * * * *
deteriorated test results exceed an engine or piece of equipment. You must (b) Give us data from production-line
applicable emission standard for any take the following actions before your testing showing that engines/equipment
regulated pollutant. certificate of conformity can cover that in the remedied family comply with all
(b) Continue testing engines/ engine or piece of equipment: the emission standards that apply.
equipment until you reach a pass (1) Correct the problem and retest the 181. Section 1068.445 is revised to
decision for all pollutants or a fail engine/equipment to show it complies read as follows:
decision for one pollutant. with all emission standards.
(2) Include in your written report a § 1068.445 When may EPA revoke my
(c) You reach a pass decision for the certificate under this subpart and how may
description of the test results and the
SEA requirements when the number of I sell these engines/equipment again?
remedy for each engine or piece of
failed engines/equipment is less than or
equipment (see § 1068.450). (a) We may revoke your certificate for
equal to the pass decision number in
(b) You may at any time ask for a a family in the following cases:
Appendix A to this subpart for the total (1) You do not meet the reporting
hearing to determine whether the tests
number of engines/equipment tested. requirements under this subpart.
and sampling methods were proper (see
You reach a fail decision for the SEA (2) Your family fails an SEA and your
subpart G of this part).
requirements when the number of failed proposed remedy to address a
178. Section 1068.430 is revised to
engines/equipment is greater than or suspended certificate is inadequate to
read as follows:
equal to the fail decision number in solve the problem or requires you to
Appendix A to this subpart for the total § 1068.430 What happens if a family fails change the engine/equipment’s design
number of engines/equipment you test. an SEA? or emission control system.
An acceptable quality level of 40 (a) We may suspend your certificate of (b) To sell engines/equipment from a
percent is the basis for the pass or fail conformity for a family if it fails the family with a revoked certificate of
decision. SEA under § 1068.420. The suspension conformity, you must modify the family
(d) Consider test results in the same may apply to all facilities producing and then show it complies with the
order as the engine/equipment testing engines/equipment from a family, even applicable requirements.
sequence. if you find noncompliant engines/ (1) If we determine your proposed
(e) If you reach a pass decision for one equipment only at one facility. design change may not control
pollutant, but need to continue testing (b) We will tell you in writing if we emissions for the engine/equipment’s
for another pollutant, we will disregard suspend your certificate in whole or in full useful life, we will tell you within
these later test results for the pollutant part. We will not suspend a certificate five working days after receiving your
with the pass decision. until at least 15 days after the family report. In this case we will decide
(f) Appendix A to this subpart lists fails the SEA. The suspension is whether production-line testing will be
multiple sampling plans. Use the effective when you receive our notice. enough for us to evaluate the change or
sampling plan for the projected sales (c) Up to 15 days after we suspend the whether you need to do more testing.
volume you reported in your certificate for a family, you may ask for (2) Unless we require more testing,
application for the audited family. a hearing to determine whether the tests you may show compliance by testing
(g) We may choose to stop testing after and sampling methods were proper (see production-line engines/equipment as
any number of tests. subpart G of this part). If we agree before described in this subpart.
(3) We will issue a new or updated information for both valid and invalid and the regulations. (Authorized
certificate of conformity when you have tests and the reason for any Company Representative)
met these requirements. invalidation. * * * * *
182. Section 1068.450 is amended by (6) Describe completely and justify 183. Section 1068.455 is amended by
revising paragraphs (a), (b), and (c) to any nonroutine adjustment, revising paragraphs (d)(2), (d)(3), and (e)
read as follows: modification, repair, preparation, to read as follows:
§ 1068.450 What records must I send to maintenance, or test for the test engine/
§ 1068.455 What records must I keep?
EPA? equipment if you did not report it
separately under this subpart. Include * * * * *
(a) Within 30 calendar days of the end (d) * * *
of each audit, send us a report with the the results of any emission
measurements, regardless of the (2) The name of anyone who
following information: authorizes adjusting, repairing,
(1) Describe any facility used to test procedure or type of equipment.
preparing, or modifying a test engine/
production-line engines/equipment and (7) Report on each failed engine or
equipment and the names of all
state its location. piece of equipment as described in
supervisors who oversee this work.
(2) State the total U.S.-directed § 1068.425.
(3) If you shipped the engine/
production volume and number of tests (b) We may ask you to add equipment for testing, the date you
for each family. information to your written report, so
(3) Describe your test engines/ shipped it, the associated storage or port
we can determine whether your new facility, and the date the engine/
equipment, including the family’s engines/equipment conform with the
identification and the engine/ equipment arrived at the testing facility.
requirements of this subpart. * * * * *
equipment’s model year, build date,
model number, identification number, (c) An authorized representative of (e) If we ask, you must give us
and number of hours of operation before your company must sign the following projected or actual production for a
testing for each test engine or piece of statement: family. Include each assembly plant if
equipment. We submit this report under Sections you produce engines/equipment at more
(4) Identify where you accumulated 208 and 213 of the Clean Air Act. Our than one plant.
hours of operation on the engines/ testing conformed completely with the * * * * *
equipment and describe the procedure requirements of 40 CFR part 1068. We 184. Appendix A to Subpart E is
and schedule you used. have not changed production processes amended by revising Table A–1 and the
(5) Provide the test number; the date, or quality-control procedures for the heading and footnote for Table A–2 to
time and duration of testing; test family in a way that might affect the read as follows:
procedure; initial test results before and emission control from production
after rounding; final test results; and engines/equipment. All the information Appendix A to Subpart E of Part 1068—
final deteriorated test results for all in this report is true and accurate, to the Plans for Selective Enforcement
tests. Provide the emission figures for all best of my knowledge. I know of the Auditing
measured pollutants. Include penalties for violating the Clean Air Act * * * * *
TABLE A–1.—SAMPLING PLAN CODE LETTER

Minimum number of tests Maximum
Projected family sales Code letter 1 number of
To pass To fail tests
20–50 ............................................................................................................................... AA 3 5 20
20–99 ............................................................................................................................... A 4 6 30
100–299 ........................................................................................................................... B 5 6 40
300–499 ........................................................................................................................... C 5 6 50
500+ ................................................................................................................................. D 5 6 60
1 A manufacturer may optionally use either the sampling plan for code letter ‘‘AA’’ or sampling plan for code letter ‘‘A’’ for Selective Enforce-
ment Audits of families with annual sales between 20 and 50 engines/equipment. Additionally, the manufacturer may switch between these plans
during the audit.
Table A–2.— Sampling Plans for § 1068.501 How do I report emission- there is more than one certificate holder
Different Family Sales Volumes related defects? for the equipment.
* * * * * This section addresses the certificate (a) General provisions. As a certifying
a Stage
refers to the cumulative number of holder’s responsibility to investigate manufacturer, you must investigate in
engines/equipment tested. and report emission-related defects in certain circumstances whether engines/
design, materials, or workmanship. The equipment that have been introduced
185. The heading of subpart F is provisions of this section do not limit into U.S. commerce under your
revised to read as follows: your liability under this part or the certificate have incorrect, improperly
Clean Air Act. For example, selling an installed, or otherwise defective
Subpart F—Reporting Defects and engine/equipment that does not emission-related components or
Recalling Engines/Equipment conform to your application for systems. This includes defects in
certification is a violation of design, materials, or workmanship. You
186. Section 1068.501 is revised to § 1068.101(a)(1), independent of the must also send us reports as specified
read as follows: requirements of this section. The by this section.
requirements of this section apply (1) This section addresses defects for
separately to each certificate holder if any of the following emission-related
components, or systems containing the evaluating, reporting, and correcting (3) Your investigation must be
following components: potential and actual emissions-related prompt, thorough, consider all relevant
(i) Electronic control units, defects as the requirements in this information, follow accepted scientific
aftertreatment devices, fuel-metering section. In this case, provide all and engineering principles, and be
components, EGR-system components, available data necessary to demonstrate designed to obtain all the information
crankcase-ventilation valves, all why an alternate system is appropriate specified in paragraph (d) of this
components related to charge-air for your engines/equipment and how it section.
compression and cooling, and all will result in a system at least as (4) Your investigation needs to
sensors associated with any of these effective as that required under this consider possible defects that occur
components. section. only within the useful life period, or
(ii) For engines and equipment subject (7) If we determine that emission- within five years after the end of the
to evaporative emission standards, fuel related defects result in a substantial model year, whichever is longer.
tanks, fuel caps, and fuel lines and number of properly maintained and
connectors. (5) You must continue your
used engines/equipment not conforming investigation until you are able to show
(iii) Any other component whose to the regulations of this chapter during
primary purpose is to reduce emissions. that there is no emission-related defect
their useful life, we may order you to or you obtain all the information
(iv) Any other component whose conduct a recall of your engines/
failure might increase emissions of any specified for a defect report in
equipment (see § 1068.505). paragraph (d) of this section. Send us an
pollutant without significantly
(8) Send all reports required by this updated defect report anytime you have
degrading engine/equipment
section to the Designated Officer. significant additional information.
performance.
(2) The requirements of this section (9) This section distinguishes between (6) If a component with a possible
relate to defects in any of the defects and possible defects. A possible defect is used in additional families or
components or systems identified in defect exists anytime there is an model years, you must investigate
paragraph (a)(1) of this section if the indication that an emission-related whether the component may be
defects might affect any of the component or system might have a defective when used in these additional
parameters or specifications in defect, as described in paragraph (b)(1) families or model years, and include
Appendix II of this part or might of this section. these results in any defect report you
otherwise affect the emissions of any (b) Investigation of possible defects. send under paragraph (c) of this section.
pollutant. Investigate possible defects as follows:
(1) If the number of engines/ (7) If your initial investigation
(3) For the purposes of this section, concludes that the number of engines/
defects do not include damage to equipment that have a possible defect,
as defined by this paragraph (b)(1), equipment with a defect is fewer than
emission-related components or systems any of the thresholds specified in
(or maladjustment of parameters) caused exceeds a threshold specified in
paragraph (e) of this section, you must paragraph (f) of this section, but other
by owners improperly maintaining or information later becomes available that
abusing their engines/equipment. conduct an investigation to determine if
an emission-related component or may show that the number of engines/
(4) The requirements of this section equipment with a defect exceeds a
do not apply to emission control system is actually defective. You must
classify an engine/equipment threshold, then you must resume your
information labels. Note however, that investigation. If you resume an
§ 1068.101(a)(1) prohibits the sale of component or system as having a
possible defect if any of the following investigation, you must include the
engines/equipment without proper information from the earlier
labels, which also applies to misprinted sources of information shows there is a
significant possibility that a defect investigation to determine whether to
labels. send a defect report.
(5) You must track the information exists:
specified in paragraph (b)(1) of this (i) A warranty claim is submitted for (c) Reporting defects. You must send
section. You must assess this data at the component, whether this is under us a defect report in either of the
least every three months to evaluate your emission-related warranty or any following cases:
whether you exceed the thresholds other warranty. (1) Your investigation shows that the
specified in paragraphs (e) and (f) of this (ii) Your quality-assurance procedures number of engines/equipment with a
section. Where thresholds are based on suggest that a defect may exist. defect exceeds a threshold specified in
a percentage of engines/equipment in (iii) You receive any other paragraph (f) of this section. Send the
the family, use actual sales figures for information for which good engineering defect report within 21 days after the
the whole model year when they judgment would indicate the date you identify this number of
become available. Use projected sales component or system may be defective, defective engines/equipment. See
figures until the actual sales figures such as information from dealers, field- paragraph (h) of this section for
become available. You are not required service personnel, equipment reporting requirements that apply if the
to collect additional information other manufacturers, hotline complaints, or number of engines/equipment with a
than that specified in paragraph (b)(1) of engine diagnostic systems. defect does not exceed any of the
this section before reaching a threshold (2) If the number of shipped thresholds in paragraph (f) of this
for an investigation specified in replacement parts for any individual section.
paragraph (e) of this section. component is high enough that good (2) You know there are emission-
(6) You may ask us to allow you to engineering judgment would indicate a related defects for a component or
use alternate methods for tracking, significant possibility that a defect system in a number of engines/
investigating, reporting, and correcting exists, you must conduct an equipment that exceeds a threshold
emission-related defects. In your investigation to determine if it is specified in paragraph (f) of this section,
request, explain and demonstrate why actually defective. Note that this regardless of how you obtain this
you believe your alternate system will paragraph (b)(2) does not require data- information. Send the defect report
be at least as effective in the aggregate tracking or recording provisions related within 21 days after you learn that the
in tracking, identifying, investigating, to shipment of replacement parts. number of defects exceeds a threshold.
(d) Contents of a defect report. (1) For engines/equipment with section unless you routinely check
Include the following information in a maximum engine power at or below 560 every engine or piece of equipment in
defect report: kW: the family. Do not count any corrected
(1) Your corporate name and a person (i) For families with annual sales defects as actual defects under
to contact regarding this defect. below 1,000 units: 20 or more engines/ paragraph (f) of this section.
(2) A description of the defect, equipment. (5) Use aggregated data from all the
including a summary of any engineering (ii) For families with annual sales different sources identified in paragraph
analyses and associated data, if from 1,000 to 50,000 units: more than (b)(1) of this section to determine
available. 2.0 percent of the total number of whether you exceed a threshold in
(3) A description of the engines/ engines/equipment in the family. paragraphs (e) and (f) of this section.
equipment that have the defect, (iii) For families with annual sales (6) If information is readily available
including families, models, and range of from 50,000 to 550,000 units: more than to conclude that the possible defects
production dates. the total number of engines/equipment identified in paragraph (b)(1) of this
(4) An estimate of the number and represented by the following equation: section are actual defects, count these
percentage of each class or category of Reporting threshold = 1,000 + toward the reporting thresholds in
affected engines/equipment that have (Production units ¥50,000) × 0.01 paragraph (f) of this section.
the defect, and an explanation of how (7) During an investigation, use
(iv) For families with annual sales appropriate statistical methods to
you determined this number. Describe above 550,000 units: 6,000 or more
any statistical methods you used under project defect rates for engines/
engines/equipment. equipment that you are not otherwise
paragraph (g)(6) of this section. (2) For engines/equipment with
(5) An estimate of the defect’s impact able to evaluate. For example, if 75
maximum engine power greater than percent of the components replaced
on emissions, with an explanation of 560 kW:
how you calculated this estimate and a under warranty are available for
(i) For families with annual sales evaluation, it would be appropriate to
summary of any emission data below 150 units: 10 or more engines/
demonstrating the impact of the defect, extrapolate known information on
equipment. failure rates to the components that are
if available. (ii) For families with annual sales
(6) A description of your plan for unavailable for evaluation. Take steps as
from 150 to 750 units: 15 or more necessary to prevent bias in sampled
addressing the defect or an explanation engines/equipment.
of your reasons for not believing the data. Make adjusted calculations to take
(iii) For families with annual sales into account any bias that may remain.
defects must be addressed. above 750 units: more than 2.0 percent
(e) Thresholds for conducting a defect (h) Investigation reports. Once you
of the total number of engines/ trigger an investigation threshold under
investigation. You must begin a defect equipment in the family.
investigation based on the following paragraph (e) of this section, you must
(g) How to count defects. (1) Track report your progress and conclusions. In
number of engines/equipment that may defects separately for each model year
have the defect: your reports, include the information
and family as much as possible. If specified in paragraph (d) of this
(1) For engines/equipment with information is not identifiable by model
maximum engine power at or below 560 section, or explain why the information
year or family, use good engineering is not relevant. Send us the following
kW: judgment to evaluate whether you
(i) For families with annual sales reports:
exceed a threshold in paragraph (e) or (1) While you are investigating, send
below 500 units: 50 or more engines/ (f) of this section. Consider only your
equipment. us mid-year and end-of-year reports to
U.S.-directed production volume. describe the methods you are using and
(ii) For families with annual sales (2) Within a family, track defects
from 500 to 50,000 units: more than 10.0 the status of the investigation. Send
together for all components or systems these status reports no later than June 30
percent of the total number of engines/ that are the same in all material
equipment in the family. and December 31 of each year.
respects. If multiple companies (2) If you find that the number of
(iii) For families with annual sales separately supply a particular components or systems with an
from 50,000 to 550,000 units: more than component or system, treat each emission-related defect exceeds a
the total number of engines/equipment company’s component or system as threshold specified in paragraph (f) of
represented by the following equation: unique. this section, send us a report describing
Investigation threshold = 5,000 + (3) For engine-based standards, if a your findings within 21 days after the
(Production units¥50,000) × 0.04 possible defect is not attributed to any date you reach this conclusion.
(iv) For families with annual sales specific part of the engine, consider the (3) If you find that the number of
above 550,000 units: 25,000 or more complete engine a distinct component components or systems with an
engines/equipment. for evaluating whether you exceed a emission-related defect does not exceed
(2) For engines/equipment with threshold in paragraph (e) of this any of the thresholds specified in
maximum engine power greater than section. For equipment-based standards, paragraph (f) of this section, send us a
560 kW: if a possible defect is not attributed to final report supporting this conclusion.
(i) For families with annual sales any specific part of the equipment, For example, you may exclude warranty
below 250 units: 25 or more engines/ consider the complete piece of claims that resulted from misdiagnosis
equipment. equipment a distinct component for and you may exclude defects caused by
(ii) For families with annual sales at evaluating whether you exceed a improper maintenance, improper use, or
or above 250 units: more than 10.0 threshold in paragraph (e) of this misfueling. Send this report within 21
percent of the total number of engines/ section. days after the date you reach this
equipment in the family. (4) If you correct defects before they conclusion.
(f) Thresholds for filing a defect reach the ultimate purchaser as a result (i) Future production. If you identify
report. You must send a defect report of your quality-assurance procedures, a design or manufacturing defect that
based on the following number of count these against the investigation prevents engines/equipment from
engines/equipment that have the defect: thresholds in paragraph (e) of this meeting the requirements of this part,
you must correct the defect as soon as § 1068.510 How do I prepare and apply my under the remedial plan may include
possible for future production of remedial plan? only things you can show would cause
engines/equipment in every family (a) In your remedial plan, describe all noncompliance. Do not require use of a
affected by the defect. This applies of the following: component or service identified by
without regard to whether you are (1) The class or category of engines/ brand, trade, or corporate name, unless
required to conduct a defect equipment to be recalled, including the we approved this approach with your
investigation or submit a defect report number of engines/equipment involved original certificate of conformity. Also,
under this section. and the model year or other information do not place conditions on who
187. Section 1068.505 is revised to needed to identify the engines/ maintained the engine/equipment.
read as follows: equipment. (f) We may require you to adjust your
(2) The modifications, alterations, repair plan if we determine owners
§ 1068.505 How does the recall program repairs, corrections, adjustments, or would be without their engines/
work? other changes you will make to correct equipment or equipment for an
(a) If we make a determination that a the affected engines/equipment. unreasonably long time.
substantial number of properly (3) A brief description of the studies, (g) We will tell you in writing within
maintained and used engines/ tests, and data that support the 15 days of receiving your remedial plan
equipment do not conform to the effectiveness of the remedy you propose whether we have approved or
regulations of this chapter during their to use. disapproved it. We will explain our
useful life, you must submit a plan to (4) The instructions you will send to reasons for any disapproval.
remedy the nonconformity of your those who will repair the engines/ (h) Begin notifying owners within 15
engines/equipment. We will notify you equipment under the remedial plan. days after we approve your remedial
of our determination in writing. Our (5) How you will determine the plan. If we hold a hearing, but do not
notice will identify the class or category owners’ names and addresses. change our position about the
(6) How you will notify owners; noncompliance, you must begin
of engines/equipment affected and
include copies of any notification notifying owners within 60 days after
describe how we reached our
letters. we complete the hearing, unless we
conclusion. If this happens, you must (7) The proper maintenance or use
meet the requirements and follow the specify otherwise.
you will specify, if any, as a condition 189. Section 1068.515 is revised to
instructions in this subpart. You must to be eligible for repair under the
remedy at your expense noncompliant read as follows:
remedial plan. Describe how these
engines/equipment that have been specifications meet the provisions of § 1068.515 How do I mark or label repaired
properly maintained and used, as paragraph (e) of this section. Describe engines/equipment?
described in § 1068.510(a)(7). You may how the owners should show they meet (a) Attach a label to engines/
not transfer this expense to a dealer (or your conditions. equipment you repair under the
equipment manufacturer for engine- (8) The steps owners must take for remedial plan. At your discretion, you
based standards) through a franchise or you to do the repair. You may set a date may label or mark engines/equipment
other agreement. or a range of dates, specify the amount you inspect but do not repair.
(b) You may ask for a hearing if you of time you need, and designate certain (b) Make the label from a durable
disagree with our determination (see facilities to do the repairs. material suitable for its planned
subpart G of this part). (9) Which company (or group) you location. Make sure no one can remove
(c) Unless we withdraw the will assign to do or manage the repairs. the label without destroying or defacing
determination of noncompliance, you (10) If your employees or authorized it.
must respond to it by sending a warranty agents will not be doing the (c) On the label, designate the specific
remedial plan to the Designated Officer work, state who will and describe their recall campaign and state where you
by the later of these two deadlines: qualifications. repaired or inspected the engine/
(1) Within 60 days after we notify (11) How you will ensure an adequate equipment.
you. and timely supply of parts. (d) We may waive or modify the
(2) Within 60 days after a hearing. (12) The effect of proposed changes labeling requirements if we determine
(d) Once you have sold engines/ on fuel consumption, driveability, and they are overly burdensome.
equipment to the ultimate purchaser, we safety of the engines/equipment you 190. Section 1068.520 is revised to
may inspect or test the engines/ will recall; include a brief summary of read as follows:
equipment only if the purchaser permits the information supporting these
conclusions. § 1068.520 How do I notify affected
it, or if state or local inspection owners?
(13) How you intend to label the
programs separately provide for it. (a) Notify owners by first class mail,
engines/equipment you repair and
(e) You may ask us to allow you to where you will place the label on the unless we say otherwise. We may
conduct your recall differently than engine/equipment (see § 1068.515). require you to use certified mail.
specified in this subpart, consistent (b) We may require you to add Include the following in your notice:
with section 207(c) of the Act (42 U.S.C. information to your remedial plan. (1) State: ‘‘The U.S. Environmental
7541(c)). (c) We may require you to test the Protection Agency has determined that
(f) You may do a voluntary recall proposed repair to show it will remedy your engine/equipment may be emitting
under § 1068.535, unless we have made the noncompliance. pollutants in excess of the federal
the determination described in (d) Use all reasonable means to locate emission standards, as defined in Title
§ 1068.535(a). owners. We may require you to use 40 of the Code of Federal Regulations.
(g) For purposes of recall, owner government or commercial registration These emission standards were
means someone who owns an engine or lists to get owners’ names and established to protect the public health
piece of equipment affected by a addresses, so your notice will be or welfare from air pollution.’’.
remedial plan. effective. (2) State that you (or someone you
188. Section 1068.510 is revised to (e) The maintenance or use that you designate) will repair these engines/
read as follows: specify as a condition for eligibility equipment at your expense.
(3) If we approved maintenance and (1) The range of dates you needed to engines/equipment are inspected,
use conditions in your remedial plan, notify owners. whichever comes first.
state that you will make these repairs (2) The total number of notices sent. * * * * *
only if owners show their engines/ (3) The number of engines/equipment 194. Appendix I to part 1068 is
equipment meet the conditions for you estimate fall under the remedial amended by revising paragraph I to read
proper maintenance and use. Describe plan (explain how you determined this as follows:
these conditions and how owners number).
should prove their engines/equipment (4) The cumulative number of Appendix I to Part 1068—Emission-
are eligible for repair. engines/equipment you inspected under Related Components
(4) Describe the components your the remedial plan. * * * * *
repair will affect and say generally how (5) The cumulative number of these I. Emission-related components include
you will repair the engines/equipment. engines/equipment you found needed any engine/equipment parts related to the
(5) State that the engine/equipment, if the specified repair. following systems:
not repaired, may fail an emission (6) The cumulative number of these 1. Air-induction system.
engines/equipment you have repaired. 2. Fuel system, including evaporative
inspection test if state or local law emission controls.
requires one. (7) The cumulative number of
3. Ignition system.
(6) Describe any adverse effects on its engines/equipment you determined to
4. Exhaust gas recirculation systems.
performance or driveability that would be unavailable due to exportation, theft, 5. All components comprising the
be caused by not repairing the engine/ retirement, or other reasons (specify). combustion chamber, including the piston,
equipment. (8) The cumulative number of piston rings, block, head, and valves.
(7) Describe any adverse effects on the engines/equipment you disqualified for * * * * *
functions of other components that not being properly maintained or used. 195. A new part 1074 is added to
would be caused by not repairing the (c) If your estimated number of subchapter U of chapter I to read as
engine/equipment. engines/equipment falling under the follows:
(8) Specify the date you will start the remedial plan changes, change the
repairs, the amount of time you will estimate in your next report and add an PART 1074—PREEMPTION OF STATE
need to do them, and where you will do explanation for the change. STANDARDS AND PROCEDURES FOR
them. Include any other information * * * * * WAIVER OF FEDERAL PREEMPTION
owners may need to know. 192. Section 1068.530 is amended by FOR NONROAD ENGINES AND
(9) Include a self-addressed card that revising paragraph (b) to read as follows: NONROAD VEHICLES
owners can mail back if they have sold
§ 1068.530 What records must I keep? Subpart A—Applicability and General
the engine/equipment; include a space
* * * * * Provisions
for owners to write the name and
address of a buyer. (b) Keep a record of the names and Sec.
(10) State that owners should call you addresses of owners you notified. For 1074.1 Applicability.
each engine or piece of equipment, state 1074.5 Definitions.
at a phone number you give to report 1074.10 Scope of preemption.
any difficulty in obtaining repairs. whether you did any of the following:
(1) Inspected the engine/equipment. 1074.12 Scope of preemption—specific
(11) State: ‘‘To ensure your full provisions for locomotives and
protection under the emission warranty (2) Disqualified the engine/equipment
locomotive engines.
on your [engine/equipment] by federal for not being properly maintained or
law, and your right to participate in used. Subpart B—Procedures for Authorization
future recalls, we recommend you have (3) Completed the prescribed repairs. 1074.101 Procedures for California nonroad
your [engine/equipment] serviced as * * * * * authorization requests.
193. Section 1068.535 is amended by 1074.105 Criteria for granting authorization.
soon as possible. We may consider your
revising the introductory text and 1074.110 Adoption of California standards
not servicing it to be improper by other States.
maintenance.’’. paragraph (c) to read as follows:
1074.115 Relationship of Federal and State
(b) We may require you to add § 1068.535 How can I do a voluntary recall standards.
information to your notice or to send for emission-related problems? Authority: 42 U.S.C. 7401–7671q.
more notices. If we have made a determination that
(c) You may not in any Subpart A—Applicability and General
a substantial number of properly
communication with owners or dealers Provisions
maintained and used engines/
say or imply that your noncompliance
equipment do not conform to the
does not exist or that it will not degrade § 1074.1 Applicability.
regulations of this chapter during their
air quality. The requirements of this part apply
useful life, you may not use a voluntary
191. Section 1068.525 is amended by with respect to state and local standards
recall or other alternate means to meet
revising paragraphs (b) and (c) to read and other requirements relating to the
your obligation to remedy the
as follows: control of emissions from nonroad
noncompliance. Thus, this section only
applies where you learn that your engines and nonroad vehicles.
§ 1068.525 What records must I send to
EPA? family does not meet the requirements § 1074.5 Definitions.
* * * * * of this chapter and we have not made The definitions in this section apply
(b) From the time you begin to notify such a determination. to this part. As used in this part, all
owners, send us a report within 25 days * * * * * undefined terms have the meaning the
of the end of each calendar quarter. (c) From the time you start the recall Act gives to them. The definitions
Send reports for six consecutive campaign, send us a report within 25 follow:
quarters or until all the engines/ days of the end of each calendar quarter, Act means the Clean Air Act, as
equipment are inspected, whichever following the guidelines in amended, 42 U.S.C. 7401–7671q.
comes first. In these reports, identify the § 1068.525(b). Send reports for six Administrator means the
following: consecutive quarters or until all the Administrator of the Environmental
Protection Agency and any authorized § 1074.10 Scope of preemption. notice and opportunity for a public
representatives. (a) States and localities are preempted hearing regarding such requests.
Commercial means an activity from adopting or enforcing standards or
§ 1074.105 Criteria for granting
engaged in as a vocation. other requirements relating to the
authorization.
Construction equipment or vehicle control of emissions from new engines
smaller than 175 horsepower that are (a) The Administrator will grant the
means any internal combustion engine-
primarily used in farm or construction authorization if California determines
powered machine primarily used in
equipment or vehicles, as defined in that its standards will be, in the
construction and located on commercial
this part. For equipment that is used in aggregate, at least as protective of public
construction sites.
applications in addition to farming or health and welfare as otherwise
Engine used in a locomotive means applicable federal standards.
either an engine placed in a locomotive construction activities, if the equipment
is primarily used as farm and/or (b) The authorization will not be
to move other equipment, freight, or granted if the Administrator finds that
passenger traffic, or an engine mounted construction equipment or vehicles (as
defined in this part), it is considered any of the following are true:
on a locomotive to provide auxiliary (1) California’s determination is
power. farm or construction equipment or
vehicles. arbitrary and capricious.
Farm equipment or vehicle means any (b) For nonroad engines or vehicles (2) California does not need such
internal combustion engine-powered other than those described in paragraph standards to meet compelling and
machine primarily used in the (a) of this section and § 1074.12, States extraordinary conditions.
commercial production and/or and localities are preempted from (3) The California standards and
commercial harvesting of food, fiber, enforcing any standards or other accompanying enforcement procedures
wood, or commercial organic products requirements relating to control of are not consistent with section 209 of
or for the processing of such products emissions from nonroad engines or the Act (42 U.S.C. 7543).
for further use on the farm. vehicles except as provided in subpart (c) In considering any request from
Locomotive means a piece of B of this part. California to authorize the state to adopt
equipment meeting the definition of or enforce standards or other
locomotive in 40 CFR 1033.901 that is § 1074.12 Scope of preemption specific requirements relating to control of
propelled by a nonroad engine. provisions for locomotives and locomotive emissions from new nonroad spark-
engines.
New has the following meanings: ignition engines smaller than 50
(1) For locomotives, new has the (a) States and localities are preempted horsepower, the Administrator will give
meaning given in 40 CFR 1033.901. from adopting or enforcing standards or appropriate consideration to safety
other requirements relating to the factors (including the potential
(2) For engines used in locomotives,
control of emissions from new increased risk of burn or fire) associated
new means an engine incorporated in locomotives and new engines used in
(or intended to be incorporated in) in a with compliance with the California
locomotives. standard.
new locomotive. (b) During a period equivalent in
(3) For other nonroad engines and length to 133 percent of the useful life, § 1074.110 Adoption of California
equipment, new means a domestic or expressed as MW-hrs (or miles where standards by other States.
imported nonroad engine or nonroad applicable), beginning at the point at (a) Except as described in paragraph
vehicle the equitable or legal title to which the locomotive or engine (b) of this section, any state other than
which has never been transferred to an becomes new, those standards or other California that has plan provisions
ultimate purchaser. Where the equitable requirements which are preempted approved under Part D of Title I of the
or legal title to an engine or vehicle is include, but are not limited to, the Act (42 U.S.C. 7501 to 7515) may adopt
not transferred to an ultimate purchaser following: emission standards, and enforce emission standards for any
until after the engine or vehicle is mandatory fleet average standards, period for nonroad engines and vehicles
placed into service, then the engine or certification requirements, retrofit and subject to the following requirements:
vehicle will no longer be new once it is aftermarket equipment requirements, (1) The state must provide notice to
placed into service. A nonroad engine or and nonfederal in-use testing the Administrator that it has adopted
vehicle is placed into service when it is requirements. The standards and other such standards.
used for its functional purposes. This requirements specified in the preceding (2) Such standards may not apply to
paragraph (3) does not apply to sentence are preempted whether new engines smaller than 175
locomotives or engines used in applicable to new or other locomotives horsepower that are used in farm or
locomotives. or locomotive engines. construction equipment or vehicles, or
Nonroad engine has the meaning to new locomotives or new engines used
given in 40 CFR 1068.30 Subpart B—Procedures for
Authorization in locomotives.
Primarily used means used 51 percent (3) Such standards and
or more. § 1074.101 Procedures for California implementation and enforcement must
States and localities means any or all nonroad authorization requests. be identical, for the period concerned,
of the states, commonwealths, and (a) California must request to the California standards authorized
territories in the United States including authorization from the Administrator to by the Administrator.
the District of Columbia and any or all enforce its adopted standards and other (4) The state must adopt such
of their political subdivisions. requirements relating to control of standards at least two years before the
Ultimate purchaser means the first emissions from nonroad engines or standards first take effect.
person who in good faith purchases a vehicles that are not preempted by (5) California must have adopted such
new nonroad engine or new nonroad § 1074.10(a) or § 1074.12. The request standards two years before the standards
vehicle or equipment for purposes other must include the record on which the first take effect in the state that is
than resale. state rulemaking was based. adopting them under this section.
United States has the meaning given (b) After receiving the authorization (b) States and localities, other than the
in 40 CFR 1068.30. request, the Administrator will provide State of California, may not adopt or
attempt to enforce any standard or other § 1074.115 Relationship of Federal and as compliance with the otherwise
requirement applicable to the control of State standards. applicable standards of this chapter for
emissions from spark-ignition engines If state standards apply to a new engines or vehicles introduced into
smaller than 50 horsepower, except nonroad engine or vehicle pursuant to commerce in that state.
standards or other requirements that authorization granted under section 209 [FR Doc. 07–1998 Filed 5–17–07; 8:45 am]
were adopted by that state before of the Act (42 U.S.C. 7543), compliance
BILLING CODE 6560–50–P
September 1, 2003. with such state standards will be treated

Proposed Rule: Air Pollution Control: Nonroad Spark-Ignition Engines and Equipment Emissions Control

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Proposed Rule: Air Pollution Control: Nonroad Spark-Ignition Engines and Equipment Emissions Control

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Friday,

May 18, 2007

Category NAICS codes a SIC codes b Examples of potentially regulated entities

Industry 333618 3519 Manufacturers of new engines.

1 Otto-cycle engines (referred to here as spark-

TABLE I–1.—NONROAD ENGINE CATEGORIES FOR EPA EMISSION STANDARDS

1. Locomotives engines ........................................................ 40 CFR Part 92 .................................................................... d

TABLE I–2.—EPA’S RULEMAKINGS FOR NONROAD ENGINES

4 The term ‘‘Marine SI,’’ used throughout this

multiple tiers of increasingly stringent equipment. reductions in HC+NOX emissions by

Engine Type HC NOX CO PM

Two-Stroke Spark-Ignition ......................................................................... 30 + 100/P0.75 10.0 150 + 600/P

10 U.S. EPA. Air Quality Criteria for Ozone and

16 We expect many of the 8-hour ozone

No. EPA600/P–99/002bF. This document is 1999. (64 FR 35714, July 1, 1999).

1997 PM2.5 Standards: 39 areas currently designated ................................................................................... 208 88,394,000

Total .......................................................................................................................................................... 257 106,592,676

Report: Review of the Health Risk Assessment of

Cancer Risk), Environmental Protection Agency, OAR–2004–0008.

Missoula, MT .......................................... Missoula ................................................. Marine SI ................................................ 94

these new blocks is anticipated in mid

discussed above may be helpful. In

TABLE III–1.—PROPOSED NTE LIMITS BY SUBZONE FOR SD/I ENGINES

HC+NOX .......................................................................................................... 1.5 1.0 1.0 1.5

Marine engine manufacturers have requirement for marine diesel engines.

for a detailed description of these We are proposing to now formally

fewer than 1000 employees are standards. However, other small

introduce advanced technology earlier § 1045.105). standards for the purposes of

HC+NOX ...................................................................................................................................................... 28–0.3 × P 16

TABLE IV–2—PROPOSED NTE LIMITS BY SUBZONE FOR OB/PWC ENGINES

Primary ............................................................ HC+NOX ............................ 1.6 1.2 1.2 1.2

80 California ARB also adopted new fuel

which is devoted to evaporative permeation standard. We request compliance. Equipment manufacturers

their products since they are best

equipment or vessels today, they would be covered

TABLE VI.–1.—PROPOSED EVAPORATIVE EMISSION STANDARDS AND MODEL YEAR DATES

Implementation Dates: Small SI Equipment

Handheld .................... 2012 a b ...................... 2009–2013 c d ............ NA ............................. NA ............................. NA.

TABLE VI.–1.—PROPOSED EVAPORATIVE EMISSION STANDARDS AND MODEL YEAR DATES—Continued

Implementation Dates: Marine Vessels

85 Society of Automotive Engineers Surface

94 Auxiliary emission control device is defined at

vehicles to nonroad engines.96 Other would be easier for U.S. Customs to

if we approve a manufacturer’s use of an alternative

Emission Controls for Nonroad Spark-Ignition

Dickinson & R. Doyle, EPA, April 30, 2004. These

We are also proposing several

Pollutant Small SI/ma- Percent of Small SI/ma- Percent of

VOC ................................................................................................................. 2,239,056 28 1,351,739 27

2001 ............ Small Engine .......................................................................... 1,080,898 1,080,898

2001 ............ Small Engine .......................................................................... 101,928 101,928

Marine .................................................................................... 95,440 46,874 48,567 51

2001 ............ Small Engine .......................................................................... 23,163 23,163

2001 ............ Small Engine .......................................................................... 16,108,103 16,108,103 ........................ ........................

Annualized cost to Annualized fuel savings

Small SI Engines ...................................... Exhaust ..................................................... $281 $267 $71 $63

TABLE XII–7.—ESTIMATED COST PER TON OF THE HC+NOX EMISSION STANDARDS

Discounted cost per ton

Small SI Exhaust ......................................................................................................................... 2011–2012 $1700/$1860 $1270/$1420

TABLE XII–7.—ESTIMATED COST PER TON OF THE HC+NOX EMISSION STANDARDS—Continued

Discounted cost per ton

Small SI Evaporative ................................................................................................................... 2008–2013 720/770 120/170

2002 HH engines Phase 2 ................................................................................................................................................................ 840