Test Procedures for Testing Highway and Nonroad Engines and Omnibus Technical Amendments

[Federal Register: July 13, 2005 (Volume 70, Number 133)]
[Rules and Regulations]
[Page 40419-40468]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr13jy05-20]
[[Page 40420]]

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ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 85, 86, 89, 90, 91, 92, 94, 1039, 1048, 1051, 1065, and 1068
[AMS-FRL-7922-5]
RIN 2060-AM35

Test Procedures for Testing Highway and Nonroad Engines and
Omnibus Technical Amendments

AGENCY: Environmental Protection Agency (EPA).
ACTION: Final Rule.

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SUMMARY: This regulation revises and harmonizes test procedures from
the various EPA programs for controlling engine emissions. It does not
change emission standards, nor is it intended to change the emission
reductions expected from these EPA programs. Rather, it amends the
regulations that describe laboratory specifications for equipment and
test fuels, instructions for preparing engines and running tests,
calculations for determining final emission levels from measured
values, and instructions for running emission tests using portable
measurement devices outside the laboratory. These updated testing
regulations currently apply to land-based nonroad diesel engines, land-
based nonroad spark-ignition engines over 19 kilowatts, and
recreational vehicles. The revisions in this final rule will update the
regulations to deal more effectively with the more stringent standards
recently promulgated by EPA and will also clarify and better define
certain elements of the required test procedures. In particular, the
amendments better specify the procedures applicable to field testing
under the regulations.
This action also applies the updated testing regulations to highway
heavy-duty diesel engine regulations. This action is appropriate
because EPA has historically drafted a full set of testing
specifications for each vehicle or engine category subject to emission
standards as each program was developed over the past three decades.
This patchwork approach has led to some variation in test parameters
across programs, which we hope to address by adopting a common set of
test requirements. The primary goal of this effort is to create unified
testing requirements for all engines, which when implemented will
streamline laboratory efforts for EPA and industry.
This action will also include other technical changes intended to
clarify and better define requirements for several different EPA engine
programs. These changes are relatively minor and are technical in scope.

DATES: This final rule is effective September 12, 2005.
The incorporation by reference of certain publications listed in
this regulation is approved by the Director of the Federal Register as
of September 12, 2005.

ADDRESSES: EPA has established a docket for this action under Docket ID
No. OAR-2004-0017. All documents in the docket are listed in the
EDOCKET index at http://www.epa.gov/edocket. Although listed in the
index, some information is not publicly available, i.e., CBI or other
information whose disclosure is restricted by statute. Certain other
material, such as copyrighted material, is not placed on the Internet
and will be publicly available only in hard copy form. Publicly
available docket materials are available either electronically in
EDOCKET or in hard copy at the Air Docket in the EPA Docket Center,
EPA/DC, EPA West, Room B102, 1301 Constitution Ave., NW., Washington,
DC. The Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday
through Friday, excluding legal holidays. The telephone number for the
Public Reading Room is (202) 566-1744, and the telephone number for the
Air Docket is (202) 566-1742.

FOR FURTHER INFORMATION CONTACT: Alan Stout, U.S. EPA, Voice-mail (734)
214-4636; E-mail: stout.alan@epa.gov.

SUPPLEMENTARY INFORMATION:

A. Regulated Entities

This action affects companies that manufacture or sell engines.
Regulated categories and entities include:

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Examples of
Category NAICS codes a potentially
regulated entities
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Industry....................... 333618............ Manufacturers of
new engines.
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a North American Industry Classification System (NAICS)

This list is not intended to be exhaustive, but rather provides a
guide regarding entities likely to be regulated by this action. To
determine whether particular activities may be regulated by this
action, you should carefully examine the regulations. You may direct
questions regarding the applicability of this action to the person
listed in FOR FURTHER INFORMATION CONTACT.

B. How Can I Get Copies of This Document and Other Related Information?

1. Docket. EPA has established an official public docket for this
action under Docket ID No. OAR-2004-0017. The official public docket
consists of the documents specifically referenced in this action, any
public comments received, and other information related to this action.
Although a part of the official docket, the public docket does not
include Confidential Business Information (CBI) or other information
whose disclosure is restricted by statute. Documents in the official
public docket are listed in the index list in EPA's electronic public
docket and comment system, EDOCKET. Documents may be available either
electronically or in hard copy. Electronic documents may be viewed
through EDOCKET. Hard copy documents may be viewed at the EPA Docket
Center, (EPA/DC) EPA West, Room B102, 1301 Constitution Ave., NW.,
Washington, DC. Docket in The EPA Docket Center Public Reading Room is
open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding
legal holidays. The telephone number for the Public Reading Room is
(202) 566-1744.
This rule relies in part on information related to our November
2002 final rule, which can be found in Public Docket A-2000-01. This
docket is incorporated by reference into the docket for this action,
OAR-2004-0017.
2. Electronic Access. You may access this Federal Register document
electronically through the EPA Internet under the ``Federal Register''
listings at http://www.epa.gov/fedrgstr/ Or you can go to the federal-
wide eRulemaking site at http://www.regulations.gov.
An electronic version of the public docket is available through
EDOCKET. You may use EDOCKET at http://www.regulations.gov/ to view
public comments, access the index listing of the contents of the
official public docket, and to access those documents in the public
docket that are available electronically. Once in the system, select
``search,'' then key in the appropriate docket identification number.

Table of Contents

I. Modified Test Procedures for Highway and Nonroad Engines
A. Incorporation of Nonroad Test Procedures for Heavy Duty
Highway Engines
B. Revisions to Part 1065
II. Technical Amendments
A. Standard-Setting Changes that Apply to Multiple Categories

[[Page 40421]]

B. Nonroad general compliance provisions (40 CFR part 1068)
C. Land-based nonroad diesel engines (40 CFR parts 89 and 1039)
D. Marine diesel engines (40 CFR part 94)
E. Small nonroad spark-ignition engines (40 CFR part 90)
F. Marine spark-ignition engines (40 CFR part 91)
G. Large nonroad spark-ignition engines (40 CFR part 1048)
H. Recreational vehicles (40 CFR part 1051)
I. Locomotives (40 CFR part 92)
J. Highway engines and vehicles (40 CFR part 86)
III. Public Participation
IV. Statutory and Executive Order Reviews
V. Statutory Provisions and Legal Authority

I. Modified Test Procedures for Highway and Nonroad Engines

A. Incorporation of Nonroad Test Procedures for Heavy Duty Highway Engines

As part of our initiative to update the content, organization and
writing style of our regulations, we are revising our test
procedures.\1\ We have grouped all of our engine dynamometer and field
testing test procedures into one part entitled, ``Part 1065: Test
Procedures.'' For each engine or vehicle sector for which we have
recently promulgated standards (such as land-based nonroad diesel
engines or recreational vehicles), we identified an individual part as
the standard-setting part for that sector. These standard-setting parts
then refer to one common set of test procedures in part 1065. We intend
in this rule to continue this process of having all our engine programs
refer to a common set of procedures by applying part 1065 to all heavy-
duty highway engines.
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\1\ For an overview of our new regulatory organization, refer to
our fact sheet entitled, ``Plain-Language Format of Emission
Regulations for Nonroad Engines,'' EPA420-F-02-046, September 2002,
http://www.epa.gov/otaq/largesi.htm.

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In the past, each engine or vehicle sector had its own set of
testing procedures. There are many similarities in test procedures
across the various sectors. However, as we introduced new regulations
for individual sectors, the more recent regulations featured test
procedure updates and improvements that the other sectors did not have.
As this process continued, we recognized that a single set of test
procedures would allow for improvements to occur simultaneously across
engine and vehicle sectors. A single set of test procedures is easier
to understand than trying to understand many different sets of
procedures, and it is easier to move toward international test
procedure harmonization if we only have one set of test procedures. We
note that procedures that are particular for different types of engines
or vehicles, for example, test schedules designed to reflect the
conditions expected in use for particular types of vehicles or engines,
will remain separate and will be reflected in the standard-setting
parts of the regulations.
In addition to reorganizing and rewriting the test procedures for
improved clarity, we are making a variety of changes to improve the
content of the testing specifications, including the following:
? Writing specifications and calculations in international units
? Adding procedures by which manufacturers can demonstrate
that alternate test procedures are equivalent to specified procedures.
? Including specifications for new measurement technology
that has been shown to be equivalent or more accurate than existing
technology; procedures that improve test repeatability, calculations
that simplify emissions determination; new procedures for field testing
engines, and a more comprehensive set of definitions, references, and
symbols.
? Defining calibration and accuracy specifications that are
scaled to the applicable standard, which allows us to adopt a single
specification that applies to a wide range of engine sizes and
applications.
Some emission-control programs already rely on the test procedures
in part 1065. These programs regulate land-based nonroad diesel
engines, recreational vehicles, and nonroad spark-ignition engines over
19 kW.
We are adopting the lab-testing and field-testing specifications in
part 1065 for all heavy-duty highway engines, as described in Section
II.J. These procedures replace those currently published in subpart N
in 40 CFR part 86. We are making a gradual transition from the part 86
procedures. For several years, manufacturers will be able to optionally
use the part 1065 procedures. By the 2010 model year, part 1065
procedures will be required for any new testing. For all testing
completed for 2009 and earlier model years, manufacturers may continue
to rely on carryover test data based on part 86 procedures to certify
engine families in later years. In addition, other subparts in part 86,
as well as regulations for many different nonroad engines refer to the
test procedures in part 86. We are including updated references for all
these other programs to refer instead to the appropriate cite in part 1065.
Part 1065 is also advantageous for in-use testing because it
specifies the same procedures for all common parts of field testing and
laboratory testing. It also contains new provisions that help ensure
that engines are tested in a laboratory in a way that is consistent
with how they operate in use. These new provisions will ensure that
engine dynamometer lab testing and field testing are conducted in a
consistent way.
In the future, we may apply the test procedures specified in part
1065 to other types of engines, so we encourage companies involved in
producing or testing other engines to stay informed of developments
related to these test procedures. For example, we expect to propose in
the near future new regulations for locomotives, marine engines, and
several types of nonroad SI engines. We are likely to consider some
changes to part 1065 in each of these rulemakings.

B. Revisions to Part 1065

Part 1065 was originally adopted on November 8, 2002 (67 FR 68242),
and was initially applicable to standards regulating large nonroad
spark-ignition engines and recreational vehicles under 40 CFR parts
1048 and 1051. The recent rulemaking adopting emission standards for
nonroad diesel engines has also made part 1065 optional for Tier 2 and
Tier 3 standards and required for Tier 4 standards. The test procedures
initially adopted in part 1065 were sufficient to conduct testing, but
in this final rule we have reorganized these procedures and added
content to make various improvements. In particular, we have
reorganized part 1065 by subparts as shown below:

Subpart A: general provisions; global information on applicability,
alternate procedures, units of measure, etc.
Subpart B: equipment specifications; required hardware for testing
Subpart C: measurement instruments
Subpart D: calibration and verifications; for measurement systems
Subpart E: engine selection, preparation, and maintenance
Subpart F: test protocols; step-by-step sequences for laboratory
testing and test validation
Subpart G: calculations and required information
Subpart H: fuels, fluids, and analytical gases
Subpart I: oxygenated fuels; special test procedures
Subpart J: field testing and portable emissions measurement systems
Subpart K: definitions, references, and symbols

The regulations now prescribe scaled specifications for test
equipment and measurement instruments by parameters such as engine
power, engine speed and the emission standards to which an engine must
comply. That way this single set of specifications will cover the

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full range of engine sizes and our full range of emission standards.
Manufacturers will be able to use these specifications to determine
what range of engines and emission standards may be tested using a
given laboratory or field testing system.
The new content for part 1065 is mostly a combination of content
from our most recent updates to other test procedures and from test
procedures specified by the International Organization for
Standardization (ISO). In some cases, however, there is new content
that never existed in previous regulations. This new content addresses
very recent issues such as measuring very low concentrations of
emissions, using new measurement technology, using portable emissions
measurement systems, and performing field testing. A full description
of the changes is in the Technical Support Document that accompanies
this final rule (this document is available in the docket for this
rulemaking).
The new content also reflects a shift in our approach for
specifying measurement performance. In the past we specified numerous
calibration accuracies for individual measurement instruments, and we
specified some verifications for individual components, such as
NO₂ to NO converters. We have shifted our focus away from
individual instruments and toward the overall performance of complete
measurement systems. We did this for several reasons. First, some of
what we specified in the past precluded the implementation of new
measurement technologies. These new technologies, sometimes called
``smart analyzers'', combine signals from multiple instruments to
compensate for interferences that were previously tolerable at higher
emissions levels. These analyzers are useful for detecting low
concentrations of emissions. They are also useful for detecting
emissions from raw exhaust, which can contain high concentrations of
interferences, such as water vapor. This is particularly important for
field testing, which will most likely rely upon raw exhaust
measurements. Second, this new ``systems approach'' challenges complete
measurement systems with a series of periodic verifications, which we
feel will provide a more robust assurance that a measurement system as
a whole is operating properly. Third, the systems approach provides a
direct pathway to demonstrate that a field test system performs
similarly to a laboratory system. This is explained in more detail in
item 10 below. Finally, we feel that our systems approach will lead to
a more efficient way of assuring measurement performance in the
laboratory and in the field. We believe that this efficiency will stem
from less frequent individual instrument calibrations, and higher
confidence that a complete measurement system is operating properly.
We have organized the new content relating to measurement systems
performance into subparts C and D. We specify measurement instruments
in subpart C and calibrations and periodic system verifications in
subpart D. These two subparts apply to both laboratory and field
testing. We have organized content specific to running a laboratory
emissions test in subpart F, and we separated content specific to field
testing in subpart J.
In subpart C we specify the types of acceptable instruments, but we
only recommend individual instrument performance. We provide these
recommendations as guidance for procuring new instruments. We feel that
the periodic verifications that we require in subpart D will
sufficiently evaluate the individual instruments as part of their
respective overall measurement systems. In subpart F we specify
performance validations that must be conducted as part of every
laboratory test. In subpart J we specify similar performance
validations for field testing that must be conducted as part of every
field test. We feel that the periodic verifications in subpart D and
the validations for every test that we prescribed in subparts F and J
ensure that complete measurement systems are operating properly.
In subpart J we also specify an additional overall verification of
portable emissions measurement systems (PEMS). This verification is a
comprehensive comparison of a PEMS versus a laboratory system, and it
may take several days of laboratory time to set up, run, and evaluate.
However, we only require that this particular verification must be
performed at least once for a given make, model, and configuration of a
field test system.
Below is a brief description of the content of each subpart,
highlighting some of the new content. We also highlight the more
significant changes from the regulatory language that was proposed in
our responses to public comments. See the TSD for a more complete
listing of the changes and comments to our proposed part 1065.
1. Subpart A: General Provisions
In Subpart A we identify the applicability of part 1065 and
describe how procedures other than those in part 1065 may be used to
comply with a standard-setting part. In Sec. 1065.10(c)(1), we specify
that testing must be conducted in a way that represents in-use engine
operation, such that in the rare case where provisions in part 1065
result in unrepresentative testing, other procedures would be used. We
have revised the proposed regulatory language for this requirement to
clarify the manufacturers' requirements and the process that we would
use to make changes to the test procedures in these cases.
Other information in this subpart includes a description of the
conventions we use regarding units and certain measurements and we
discuss recordkeeping. We also provide an overview of how emissions and
other information are used to determine final emission results. The
regulations in Sec. 1065.15 include a figure illustrating the
different ways we allow brake-specific emissions to be calculated.
In this same subpart, we describe how continuous and batch sampling
may be used to determine total emissions. We also describe the two ways
of determining total work that we approve. Note that the figure
indicates our default procedures and those procedures that require
additional approval before we will allow them.
2. Subpart B: Equipment Specifications
Subpart B first describes engine and dynamometer related systems.
Many of these specifications are scaled to an engine's size, speed,
torque, exhaust flow rate, etc. We specify the use of in-use engine
subsystems such as air intake systems wherever possible in order to
best represent in-use operation when an engine is tested in a laboratory.
Subpart B also describes sampling dilution systems. These include
specifications for the allowable components, materials, pressures, and
temperatures. We describe how to sample crankcase emissions. We also
now allow limited use of partial-flow dilution for PM sampling. Subpart
B also specifies environmental conditions for PM filter stabilization
and weighing. Although these provisions mostly come from our recent
update to part 86, subpart N, we also describe some new aspects in detail.
The regulations in Sec. 1065.101 include a diagram illustrating
all the available equipment for measuring emissions.
3. Subpart C: Measurement Instruments
Subpart C specifies the requirements for the measurement
instruments used for testing. In subpart C we recommend accuracy,
repeatability, noise, and response time specifications for individual
measurement instruments, but note that we require that overall

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measurement systems meet the calibrations and verifications Subpart D.
In some cases we allow new instrument types to be used where we
previously did not allow them. For example, we now allow the use of a
nonmethane cutter for NMHC measurement, a nondispersive ultraviolet
analyzers for NO_X measurement, zirconia sensors for
O₂ measurement, various raw-exhaust flow meters for
laboratory and field testing measurement, and an ultrasonic flow meter
for CVS systems. We had proposed to also allow zirconia sensors for
NO_X measurement, but we are not finalizing that option at
this time because of manufacturer concerns about drift and sensor
response to NO₂ and NH₃.
4. Subpart D: Calibrations and Verifications
Subpart D describes what we mean when we specify accuracy,
repeatability and other parameters in subpart C. We are adopting
calibrations and verifications that scale with engine size and with the
emission standards to which an engine is certified. We are replacing
some of what we have called ``calibrations'' in the past with a series
of verifications, such as a linearity verification, which essentially
verifies the calibration of an instrument without specifying how the
instrument must be initially calibrated. Because new instruments have
built-in routines that linearize signals and compensate for various
interferences, our existing calibration specifications sometimes
conflicted with an instrument manufacturer's instructions. In addition,
there are new verifications in subpart D to ensure that the new
instruments we specify in subpart C are used correctly. The most
significant changes in this subpart from the proposal are that we split
the language for continuous gas analyzer verification into two sections
(Sec. Sec. 1065.308 and 1065.309), we provide more detailed
descriptions for the FID O₂ interference verifications
(Sec. 1065.362) and NMHC cutter setups (Sec. 1065.365), and we added
Sec. 1065.395 for inertial PM balance verification.
5. Subpart E: Engine Selection, Preparation, and Maintenance
Subpart E describes how to select, prepare, and maintain a test
engine. We updated these provisions to include both gasoline and diesel
engines. This subpart is relatively short, and we did not make many
changes to its proposed content.
6. Subpart F Test Protocols
Subpart F describes the step-by-step protocols for engine mapping,
test cycle generation, test cycle validation, pre-test preconditioning,
engine starting, emission sampling, and post-test validations. We
proposed an improved way to map and generate cycles for constant-speed
engines that would better represent in-use engine operation. We have
modified this language slightly to reflect the different ways in which
constant-speed test cycles can be specified. We are adopting a more
streamlined set of test cycle and validation criteria. We allow modest
corrections for drift of emission analyzer signals within a certain
range. We are also adopting a recommended procedure for weighing PM
samples. We are not finalizing our proposed procedure to correct for
instrument noise because after receiving many comments, we now acknowledge
that the procedure is not robust and applicable to all emissions.
7. Subpart G Calculations and Required Information
Subpart G includes all the calculations required in part 1065. We
are adopting definitions of statistical quantities such as mean,
standard deviation, slope, intercept, t-test, F-test, etc. By defining
these quantities mathematically we intend to resolve any potential mis-
communication when we discuss these quantities in other subparts. We
have written all calculations for calibrations and emission
calculations in international units to comply with 15 CFR part 1170,
which removes the voluntary aspect of the conversion to international
units for federal agencies. Furthermore, Executive Order 12770 (56 FR
35801, July 29, 1991) reinforces this policy by providing Presidential
authority and direction for the use of the metric system of measurement
by Federal agencies and departments. For our standards that are not
completely in international units (i.e., grams/horsepower-hour, grams/
mile), we specify in part 1065 the correct use of internationally
recognized conversion factors.
We also specify emission calculations based on molar quantities for
flow rates, instead of volume or mass. This change eliminates the
frequent confusion caused by using different reference points for
standard pressure and standard temperature. Instead of declaring
standard densities at standard pressure and standard temperature to
convert volumetric concentration measurements to mass-based units, we
declare molar masses for individual elements and compounds. Since these
values are independent of all other parameters, they are known to be
universally constant.
We have added some detail to the calculations relative to the
proposed calculations to make them clearer. We also made changes in
response to comments from manufacturers.
8. Subpart H Fuels, Fluids, and Analytical Gases
Subpart H specifies test fuels, lubricating oils and coolants, and
analytical gases for testing. We are eliminating the Cetane Index
specification for all diesel fuels, because the existing specification
for Cetane Number sufficiently determines the cetane levels of diesel
test fuels. We are not identifying any detailed specification for
service accumulation fuel. Instead, we specify that service
accumulation fuel may be a test fuel or a commercially available in-use
fuel. This helps ensure that testing is representative of in-use engine
operation. We are adding a list of ASTM specifications for in-use fuels
as examples of appropriate service accumulation fuels. Compared to the
proposed regulatory language, we have clarified that Sec.
1065.10(c)(1) does not require test fuels to be more representative
than the specified test fuels. We have added an allowance to use
similar test fuels that do not meet all of the specifications, provided
they do not compromise the manufacturer's ability to demonstrate
compliance. We also now allow the use of ASTM test methods specified in
40 CFR part 80 in lieu of those specified in part 1065. We did this
because we more frequently review and update the ASTM methods in 40 CFR
part 80 versus those in part 1065.
We proposed purity specifications for analytical gases that scale
with the standards that an engine must meet. In the final regulations,
we have clarified the requirement to use good engineering judgment to
maintain the stability of these gases, and have tightened the purity
specification for FID fuel in response to comment.
9. Subpart I Oxygenated Fuels
Subpart I describes special procedures for measuring certain
hydrocarbons whenever oxygenated fuels are used. We updated the
calculations for these procedures in Subpart G. We have made some
revisions to the proposed text to make it consistent the original
content of the comparable provisions in 40 CFR part 86. We have also
added an allowance to use the California NMOG

[[Page 40424]]

test procedures to measure alcohols and carbonyls.
10. Subpart J Field Testing and Portable Emissions Measurement Systems
We are adopting a wide range of changes to subpart J Field Testing.
Portable Emissions Measurement Systems (PEMS) must generally meet the
same specifications and verifications that laboratory instruments must
meet, according to subparts B, C, and D. However, allow some deviations
from laboratory specifications. In addition to meeting many of the
laboratory system requirements, a PEMS must meet an overall
verification relative to a laboratory measurements. This verification
involves repeating a duty cycle several times. The duty cycle itself
must have several individual field-test intervals (e.g., NTE events)
against which a PEMS is compared to the laboratory system. This is a
comprehensive verification of a PEMS. We are also adopting a procedure
for preparing and conducting a field test, and we are adopting drift
corrections for emission analyzers. Given the evolving state of PEMS
technology, the field-testing procedures provide for a number of known
measurement techniques. We have added provisions and conditions for the
use of PEMS in an engine dynamometer laboratory to conduct laboratory
testing.
11. Subpart K Definitions, References, and Symbols
In subpart K we are adopting new and revised definitions of terms
frequently used in part 1065. For example we have revised our
definitions of ``brake power'', ``constant-speed engine'', and
``aftertreatment'' to provide more clarity, and we have added new
definitions for things such as ``300 series stainless steel'',
``barometric pressure'', and ``operator demand''. There are new
definitions such as ``duty cycle'' and ``test interval'' to distinguish
the difference between a single interval over which brake-specific
emissions are calculated and the complete cycle over which emissions
are evaluated in a laboratory. We also present a thorough and
consistent set of symbols, abbreviations, and acronyms.

II. Technical Amendments

A. Standard-Setting Changes That Apply to Multiple Categories

1. Definitions
We are revising several definitions that apply over more than one
part of our regulations. These changes are designed to harmonize our
regulations.
We are changing the definition of Marine engine and Marine vessel
to harmonize our approach to amphibious vehicles and clarify other
issues. We have treated amphibious vehicles differently whether they
had a diesel engine or a spark-ignition engine. We are harmonizing our
treatment of amphibious vehicles by consistently treating these as
land-based products. We are also adding a provision defining amphibious
vehicles are those that are designed primarily for operation on land to
clarify that we don't consider hovercraft to be amphibious vehicles.
This is consistent with our intent and our analyses in the rulemaking
to initially set standards for these products. See the Technical
Support Document for additional information related to these
definitions. In particular, note that we describe our interpretation of
what it means for an engine to be ``installed in a marine vessel.''
Manufacturers have raised several questions related to this issue,
especially as it relates to portable engines installed on barges.
2. Penalties
The Clean Air Act specifies maximum penalty amounts corresponding
to each prohibited Act. These maximum penalty amounts are periodically
adjusted for inflation, based on the provisions of the Debt Collection
Improvement Act. These maximum penalties have been updated under 40 CFR
part 19. The new maximum penalties are $32,500 for introducing
noncompliant engines into commerce and for manufacturers guilty of
tampering, and $2,750 for non-manufacturers guilty of tampering. In
addition, the maximum penalty we can recover using administrative
procedures is $270,000. We are extending these revised penalties into
each of our emission-control programs.
3. Deterioration Factors for HC+NO_X Standards
Manufacturers requested that we allow them to calculate a single
deterioration factor for engines that are subject to combined
HC+NO_X emission standards, rather than calculating separate
deterioration factors for each pollutant. We proposed for some engines
to clarify that separate deterioration factors were appropriate. In the
case of spark-ignition engines, it is especially true that changing
carburetor calibrations and other things affecting air-fuel ratios have
a direct inverse relationship on HC and NO_X emissions. Where
deterioration factors are based on service accumulation through the
entire useful life, we believe it is therefore appropriate to base
deterioration factors for spark-ignition engines subject to
HC+NO_X emission standards on a single deterioration factor
for the combined pollutants. However, if deteriortion factors are based
on service accumulation over less than the full useful life, we want to
avoid the situation where a manufacturer is extrapolating values that
presume further improvement in the emission levels of any particular
pollutant. For such testing, we therefore specify that separate
deterioration factors for each pollutant are appropriate. We are making
a related, additional change to clarify that manufacturers must include
both low-hour and deteriorated emission measurements for each
pollutant, even if the regulations allow for a single deterioration
factor for HC+NO_X emissions together. Compression-ignition
engines have different wear mechanisms and generally have much longer
useful-life values, so it is not clear that this approach to allowing
combined deterioration factor is appropriate for these engines. We may
further consider applying this change to compression-ignition engines
in a future rulemaking.
4. Emission Warranty Related to Extended Service Contracts
Manufacturers objected to our proposal to apply emission-related
warranty requirements to components for which a consumer pays for an
extended performance warranty. We agree with the point raised by the
manufacturers that these service contracts do not necessarily imply
that the part should last longer, but rather that the manufacturer (or
a third-party provider) has made a calculation regarding the financial
and customer service benefits of offering contracts that provide free
or reduced-cost coverage for certain components after collecting an up-
front charge. We will remove this provision across all engine categories.
5. Exemption for Staged Assembly
Some manufacturers pointed out that they were facing difficulties
with production processes that required them to ship nearly completed
engines to one or more different facilities for final assembly. Without
an exemption, this would violate the applicable prohibited acts, since
it involves the introduction into commerce an engine that is not in its
certified configuration. To address this concern, we have adopted an
exemption that allows manufacturers to assemble engines at multiple
facilities, as long as they maintain control of the engines at all
times before final assembly. Manufacturers would need to

[[Page 40425]]

request approval for such an arrangement. EPA approval may be
conditioned on the manufacturer taking reasonable additional steps to
ensure that engines end up in their certified configuration. This
exemption applies to all the engine categories that are subject to 40
CFR part 1068 (as described in the next section), and to locomotives
and marine diesel engines.

B. Nonroad General Compliance Provisions (40 CFR Part 1068)

In addition to the changing test procedures described above, we are
making various changes to the general compliance provisions in 40 CFR
part 1068, which currently applies to land-based nonroad diesel
engines, recreational vehicles, and nonroad spark-ignition engines over
19 kW. We encourage manufacturers of other engines to take note of
these changes, since we intend eventually to apply the provisions of
part 1068 to all engines subject to EPA emission standards.
There was extensive comment related to the existing provisions in
Sec. 1068.260 related to the exemption that allows engine
manufacturers to arrange for shipment of aftertreatment devices
separately from engines that are intended to rely on aftertreatment.
Commenters suggested that we relax some of the provisions that were
intended to prevent noncompliance. We continue to believe the
provisions adopted in Sec. 1068.260 are appropriate for nonroad
engines. The more extensive oversight and control mechanisms are
important to ensuring that engines are assembled correctly, since there
are so many possible equipment manufacturers and so many different
business relationships among companies. Given that we are requiring
engine manufacturers to include the cost of aftertreatment components
in the price of the engine, we believe it is implicitly clear that the
engine manufacturer is responsible for shipping costs, so we have
removed the proposal to restate that in the regulations. We are making
three other adjustments to the proposal. First, we are removing the
requirement for engine manufacturers to arrange for direct shipment of
aftertreatment components from the supplier to the equipment
manufacturer, since a third party may appropriately be involved to
produce system assemblies for integration into equipment. Second, we
are adding a paragraph to clarify that integrated manufacturers can
meet their auditing requirements by maintaining a database for matching
up engines with the appropriate aftertreatment components. Third, we
are adopting the staged-assembly exemption, as described above, which
would streamline the production process for integrated engine and
equipment manufacturers and address a wide range of production
scenarios in addition to separate shipment of aftertreatment components.
The changes to part 1068 include several other minor adjustments
and corrections. These changes are described in the Technical Support
Document.

C. Land-Based Nonroad Diesel Engines (40 CFR Parts 89 and 1039)

We recently adopted a new tier of emission standards for nonroad
diesel engines, codifying these standards in 40 CFR part 1039. This
rulemaking led us to make several regulatory changes to the existing
tiers of standards for these engines in 40 CFR part 89. In cases where
we discovered the need for changes after publishing the proposed rule,
but we did not make those changes to part 89 in the final rule out of
concern that the public had not had an opportunity for comment.
Similarly, we are adopting some adjustments to part 1039, based on
information that surfaced late in that rulemaking. See the Technical
Support Document for a complete discussion of the rulemaking changes
for these engines.
We proposed to add a constraint for averaging, banking, and trading
to prevent manufacturers from including credits earned in California or
another state if there would ever be a situation in which manufacturers
would be making engines with lower emissions to meet more stringent
state standards or to earn emission credits under the state program. In
the case of nonroad diesel engines, California has adopted our Tier 4
standards without an emission-credit program that does not involve
California-specific credit calculations. The proposed provision would
therefore have no effect for the foreseeable future. We have decided
not to adopt the proposed provision, but expect to pursue this if
California adopts more stringent standards or creates a California-
specific emission-credit program for these engines (see 40 CFR
1051.701(d)(4)).

D. Marine Diesel Engines (40 CFR Part 94)

We are making several changes to our marine diesel engine program,
in 40 CFR part 94. These changes are intended to clarify several
aspects of the program. These changes are described in detail in the
Technical Support Document. This discussion also elaborates on our
interpretation of various provisions. For example, we describe how to
determine which standards apply to amphibious vehicles and hovercraft.
We also explain how we interpret the term ``marine diesel engine'' with
respect to auxiliary applications in which it may not be clear whether
the engine is ``installed'' on the vessel or not.

E. Small Nonroad Spark-Ignition Engines (40 CFR Part 90)

We are adding a new Sec. 90.913 to better define the
responsibilities for manufacturers choosing to certify their engines
below 19 kW to the emission standards for Large SI engines in 40 CFR
part 1048. We are also revising Sec. 90.1 to cross-reference
provisions in parts 86, 1048, and 1051 that allow highway motorcycle
engines and nonroad engines above 19 kW to meet the requirements in
part 90 under certain conditions.
We are making several amendments to the test procedures, such as
improving calculations for humidity corrections, adding clarifying
language, and adjusting reporting provisions. We are also updating
current references to test procedures in 40 CFR part 86 by pointing
instead to 40 CFR part 1065. In addition, we are making a variety of
minor corrections and clarifications. See the Technical Support
Document for a discussion of all these changes.

F. Marine Spark-Ignition Engines (40 CFR Part 91)

We are adopting only minimal changes for Marine SI engines in 40
CFR part 91. These changes are primarily to update current references
to test procedures in 40 CFR part 86 by pointing instead to 40 CFR part
1065. We are also updating various definitions, as described in Section
II.A. Manufacturers raised some issues in the comment period that
resulted in further minor corrections and adjustments for the final
rule. We also corrected equations for typographical errors.

G. Large Nonroad Spark-Ignition Engines (40 CFR Part 1048)

We adopted emission standards for nonroad spark-ignition engines
over 19 kW in November 2002 (67 FR 68242). The regulations in 40 CFR
part 1048 were our first attempt to draft emission-control regulations
in plain-language format. In the recent final rule for nonroad diesel
engines, we went through a similar process, including extensive
interaction with a different set of manufacturers. This process led us
to adopt regulatory provisions in 40 CFR part 1039 that differ somewhat
from those in part 1048. Since the process of meeting standards,
applying for

[[Page 40426]]

certificates, and complying with other emission-related requirements
has a lot of commonality across programs, we have a strong interest in
adopting consistent provisions and uniform terminology where possible.
As a result, we are making extensive changes in part 1048 to align with
the regulations in part 1039.
For discussion of these changes, see the Technical Support Document.

H. Recreational Vehicles (40 CFR Part 1051)

We adopted emission standards for recreational vehicles in November
2002 (67 FR 68242). The regulations in 40 CFR part 1051 were our first
attempt to draft emission-control regulations in plain-language format.
In the recent final rule for nonroad diesel engines, we went through a
similar process, including extensive interaction with a different set
of manufacturers. This process led us to adopt regulatory provisions in
40 CFR part 1039 that differ from those in part 1051. Since the process
of meeting standards, applying for certificates, and complying with
other emission-related requirements has a lot of commonality across
programs, we have a strong interest in adopting consistent provisions
and uniform terminology as much as possible. As a result, we are making
extensive changes in part 1051 to align with the regulations in part
1039. These provisions are all discussed in more detail in the
Technical Support Document.
We proposed to add a constraint for averaging, banking, and trading
to prevent manufacturers from including credits earned in California or
another state if there would ever be a situation in which manufacturers
would be making engines with lower emissions to meet more stringent
state standards or to earn emission credits under the state program. We
are adopting this provision in the final rule to require exclusion of
California sales from federal ABT calculations if a company is subject
to more stringent state standards, or if a company generates or uses
emissions credits to show that it meets California standards. This
provision is necessary to prevent double-counting of emission credits.
In the case of recreational vehicles, California adopted emission
standards that predate the EPA rulemaking. The California emission
standards are based on a similar technology assessment, but are in a
different form. For example, California specifies different numerical
standards that apply to hydrocarbon emissions only, while EPA's
standards apply to HC+NO_x emissions. Given the difficulty in
comparing these two sets of standards, we are making the judgment that,
for the purposes of ABT calculations, California's current exhaust
emission standards are equivalent to the EPA standards. Under the
current requirements, companies would therefore exclude their
California products from federal ABT calculations only if those
products generate or use emission credits under the California program.
If California adopts new standards for recreational vehicles, we will
again make a judgment regarding the relative stringency of the two
programs for ABT purposes.

I. Locomotives (40 CFR Part 92)

We proposed a variety of changes for our locomotive regulations in
40 CFR part 92 to correct various technical references and
typographical errors. We are finalizing those changes. We are also
finalizing other changes in response to comments. The large majority of
the comments received regarding locomotives came from the Engine
Manufacturers Association (EMA). See the Technical Support Document for
additional information. In addition to the changes being finalized, we
are also publishing the following clarifications in response to public
comments.
EMA asked that remanufacturers be allowed to limit the practice of
not replacing every power assembly with remanufactured power assemblies
at the time of engine remanufacture. Remanufacturers already can limit
this practice just as original manufacturers limit the parts that are
used in their locomotives. In fact, remanufacturers would be expected
to limit this practice to only those cases in which they can be certain
that the previously used power assembly will not cause an engine to
exceed an emission standard. By allowing an engine to be remanufactured
under its certificate, the remanufacturer is assuming responsibility
for the emission performance of that remanufactured engine. We define
remanufactured locomotives to be ``new'', and the certificate holder
has the same responsibilities as the manufacturer of a freshly
manufactured locomotive. The remanufacturer is thus expected to
maintain some degree of control over the remanufacturing process to
ensure that the remanufactured locomotive. For example, the
remanufacturer might limit the certificate to only those engines
remanufactured by installers that has been properly trained. It must be
noted, however, that while certificate holders have responsibility for
the emission performance of locomotives remanufactured under their
certificates, 40 CFR 92.209 also assigns responsibility to others
involved in the remanufacturing process.
EMA asked that EPA not use the term ``offer for sale'' in the
prohibited acts (40 CFR 92.1103). They are concerned that this would be
problematic because locomotives are generally manufactured only after a
sales agreement has been completed. The manufacturer offers to
manufacture and sell a locomotive at least several months before it
actually has obtained a certificate of conformity for the locomotive.
Given this confusion, we are clarifying that EPA does not interpret the
phrase ``offer to sell'' to apply to products that have not yet been
manufactured (or remanufactured, as applicable).
EMA asked that EPA exempt replacement engines as we do in other
nonroad engine programs. However, such exemption is not necessary with
locomotives. Long after the manufacturer has stopped manufacturing
brand new engines, that manufacturer (along with other remanufacturers)
will be certifying remanufacturing systems. Thus, we believe that the
cases in which a brand new engine will be needed will be rare.
Nevertheless, we are finalizing a regulatory change in 40 CFR 92.204 to
explicitly allow manufacturers to include freshly manufactured
locomotive engines in the same engine family as remanufactured
locomotives. We believe that this will resolve the issue, since
manufacturers would merely need to certify a remanufacturing system for
each engine it manufactures.
Finally, we are adopting a provision that will allow manufacturers
to certify locomotives that have total power less than 750 kW. This
provision will allow manufacturers of hybrid locomotives to certify
under 40 CFR part 92. EMA commented that if we do this, we should
specify test procedures and duty-cycle weightings for such hybrids. We
agree that this would be appropriate in the long term, but do not
believe that this rulemaking would be the proper place for such
provisions. Instead, we expect to rely on the testing and calculation
flexibility of 40 CFR 92.207 and 92.132(e) to certify hybrids on a
case-by-case basis.

J. Highway Engines and Vehicles (40 CFR Parts 85 and 86)

Most of the changes we are adopting in parts 85 and 86 apply
uniquely to different types of vehicles or engines. We are, however,
adopting changes to the program for Independent Commercial Importers
that affect all the different applications. The Technical

[[Page 40427]]

Support Document describes how we are limiting the importation of
products where the applicable standards are based on the year of
original production. We continue to allow unlimited importation of
products where the applicable standards are based on the year of
modification.
The following paragraphs provide an overview of the changes for
each type of engine or vehicle. See the Technical Support Document for
a more detailed discussion of these changes.
1. Light-Duty Vehicles
For light-duty vehicles, we are adopting a variety of
clarifications and corrections, especially related to test procedures.
2. Highway Motorcycles
For highway motorcycles, we are correcting fuel specifications,
clarifying the requirements related to engine labels, fixing the
provisions related to using nonroad certificates for highway
motorcycles below 50 cc (consistent with similar changes in other
programs), and making a variety of other minor corrections.
3. Heavy-Duty Highway Engines
As discussed above, we are adopting the lab-testing and field-
testing specifications in part 1065 for heavy-duty highway engines,
including both diesel and Otto-cycle engines. These procedures replace
those currently published in 40 CFR part 86, subpart N.
We proposed to complete the migration of heavy-duty highway test
procedures to part 1065 by the 2008 model year. Manufacturers pointed
out that it would be most appropriate to move this date back to 2010 to
correspond with the implementation of the new emission standards in
that year. We agree that it would be appropriate to make this
transition over several model years to fully migrate to part 1065, no
later than model year 2010. Manufacturers do not need to conduct new
testing if they are able to use carryover data, but any new testing for
2010 and later model years must be done using the part 1065 procedures.
Migrating heavy-duty highway engines to the part 1065 procedures allows
us to include all the testing-related improvements in the HD2007 rule,
including those we have adopted through guidance.\2\ In addition, part
1065 incorporates revisions based on updated procedures for sampling
low concentrations of PM.
---------------------------------------------------------------------------

\2\ ``Guidance Regarding Test Procedures for Heavy-Duty On-
Highway and Non-Road Engines,'' December 3, 2002.
---------------------------------------------------------------------------

Another question was raised about how EPA should conduct testing
during this transition stage. We intend to incorporate near-term
upgrades that would make our testing facilities capable of meeting the
requirements in part 1065. Most of the testing methods in part 1065
result in better measurements and should therefore not pose problems,
even if manufacturers based their certification on the test procedures
specified in part 86. Three exceptions to this include the steps for
mapping an engine, denormalizing test cycles, and evaluating cycle-
validation criteria. Changing the specified procedure for these three
items would involve different engine operation that could cause an
engine to have higher or lower emission levels.For all other
parameters, the new procedures would be equivalent, or would give more
accurate or more precise results. We are therefore specifying that we
will follow the manufacturer's procedures for these three items related
to engine operation, but will otherwise consider our tests valid if we
use procedures from either part 86 or part 1065, regardless of the
procedures used by the manufacturer.
EMA responded to our request for comment related to a provision
that would allow engine manufacturers to ship certified engines without
applicable aftertreatment components, while providing for separate
shipment of those components to equipment manufacturers. EMA commented
that such a provision would be appropriate, and that it should be set
up to require either that the component cost be included in the price
of the engine, or auditing requirements for engine manufacturers, but
not both, since the equipment manufacturer has enough incentive to make
the final installation without additional oversight. We agree with
manufacturers that these more flexible arrangements are appropriate for
the prevailing business relationships for heavy-duty highway engines.
There are far fewer manufacturers producing heavy-duty trucks and buses
than nonroad equipment. Engine manufacturers are therefore expected to
be able to maintain control with an approach that requires them either
to include the price of the aftertreatment in the engine price or to
conduct periodic audits of vehicle manufacturers, but not both. In the
periodic audit we require manufacturers to confirm the number of
aftertreatment component shipped is sufficient for the applicable
vehicle production. This confirmation is intended to show that the
vehicle manufacturers have purchasing and manufacturing processes in
place to ensure that they are ordering and receiving enough
aftertreatment components and that each vehicles is equipped with the
correct components. To reduce the risk of noncompliance where the
engine and aftertreatment components are not priced together, we
require that engine manufacturers have a written confirmation that the
vehicle manufacturer has ordered the appropriate aftertreatment before
shipping engines without the otherwise required aftertreatment components.
We are adopting a test-related provision that was described in the
proposal. We requested comment on approaches to address the concern
that some engines experience significant overspeed excursions when
following the proposed approach to defining maximum test speed and
denormalizing duty cycles. As described in the Technical Support
Document, we are finalizing a provision to define maximum test speed at
the highest speed point at which engines are expected to operate in use.

III. Public Participation

In the proposed rule, we invited public participation in a public
hearing, a public workshop, and a comment period for written comments.
No one responded to indicate in interest in the public hearing, but we
held the public workshop to talk through a wide range of issues. We
also received written comments from about 20 organizations, mostly
representing manufacturers. Several principle issues raised by
commenters are described in the individual sections above. The Final
Technical Support Document addresses the full range of comments.

IV. Statutory and Executive Order Reviews

A. Executive Order 12866: Regulatory Planning and Review

Under Executive Order 12866 the Agency must determine whether the
regulatory action is ``significant'' and therefore subject to review by
the Office of Management and Budget (OMB) and the requirements of this
Executive Order. The Executive Order defines a ``significant regulatory
action'' as any regulatory action that is likely to result in a rule
that may:
? Have an annual effect on the economy of $100 million or
more or adversely affect in a material way the economy, a sector of the
economy, productivity, competition, jobs, the environment, public
health or safety, or State, Local, or Tribal governments or communities;

[[Page 40428]]

? Create a serious inconsistency or otherwise interfere with
an action taken or planned by another agency;
? Materially alter the budgetary impact of entitlements,
grants, user fees, or loan programs, or the rights and obligations of
recipients thereof; or
? Raise novel legal or policy issues arising out of legal
mandates, the President's priorities, or the principles set forth in
the Executive Order.
The Office of Management and Budget reviewed this rule under the
provisions of Executive Order 12866. Any new costs associated with this
rule will be minimal. In addition, some of the changes will
substantially reduce the burden associated with testing, as described
in the Regulatory Support Document.

B. Paperwork Reduction Act

This rule does not include any new collection requirements, as it
merely revises the measurement methods and makes a variety of technical
amendments to existing programs.

C. Regulatory Flexibility Act

EPA has determined that it is not necessary to prepare a regulatory
flexibility analysis in connection with this final rule.
For purposes of assessing the impacts of this final rule on small
entities, a small entity is defined as: (1) A small business as defined
in the underlying rulemakings for each individual category of engines;
(2) a small governmental jurisdiction that is a government of a city,
county, town, school district or special district with a population of
less than 50,000; and (3) a small organization that is any not-for-
profit enterprise which is independently owned and operated and is not
dominant in its field.
After considering the economic impacts of this final rule on small
entities, EPA has concluded that this action will not have a
significant economic impact on a substantial number of small entities.
The small entities directly regulated by this rule are small businesses
that produce nonroad engines. We have determined that no small entities
will be negatively affected as a result of this rule. This rule merely
revises the measurement methods and makes a variety of technical
amendments to existing programs. This rule, therefore, does not require
a regulatory flexibility analysis.
Although this rule will not have a significant economic impact on a
substantial number of small entities, EPA nonetheless has tried to
reduce the impact of this rule on small entities. For example, most of
the changes clarify existing requirements, which will reduce the time
needed to comply, and added flexibility, which may allow for a simpler
effort to comply.

D. Unfunded Mandates Reform Act

Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), Public
Law. 104-4, establishes requirements for federal agencies to assess the
effects of their regulatory actions on state, local, and tribal
governments and the private sector. Under section 202 of the UMRA, EPA
generally must prepare a written statement, including a cost-benefit
analysis, for proposed and final rules with ``federal mandates'' that
may result in expenditures to state, local, and tribal governments, in
the aggregate, or to the private sector, of $100 million or more in any
one year. Before promulgating an EPA rule for which a written statement
is needed, section 205 of the UMRA generally requires EPA to identify
and consider a reasonable number of regulatory alternatives and adopt
the least costly, most cost-effective, or least burdensome alternative
that achieves the objectives of the rule. The provisions of section 205
do not apply when they are inconsistent with applicable law. Moreover,
section 205 allows EPA to adopt an alternative other than the least
costly, most cost-effective, or least burdensome alternative if the
Administrator publishes with the final rule an explanation of why that
alternative was not adopted.
Before EPA establishes any regulatory requirements that may
significantly or uniquely affect small governments, including tribal
governments, it must have developed under section 203 of the UMRA a
small government agency plan. The plan must provide for notifying
potentially affected small governments, enabling officials of affected
small governments to have meaningful and timely input in the
development of EPA regulatory proposals with significant federal
intergovernmental mandates, and informing, educating, and advising
small governments on compliance with the regulatory requirements.
This rule contains no federal mandates for state, local, or tribal
governments as defined by the provisions of Title II of the UMRA. The
rule imposes no enforceable duties on any of these governmental
entities. Nothing in the rule significantly or uniquely affects small
governments. We have determined that this rule contains no federal
mandates that may result in expenditures of more than $100 million to
the private sector in any single year. This rule merely revises the
measurement methods and makes a variety of technical amendments to
existing programs. The requirements of UMRA therefore do not apply to
this action.

E. Executive Order 13132: Federalism

Executive Order 13132, entitled ``Federalism'' (64 FR 43255, August
10, 1999), requires EPA to develop an accountable process to ensure
``meaningful and timely input by State and local officials in the
development of regulatory policies that have federalism implications.''
``Policies that have federalism implications'' is defined in the
Executive Order to include regulations that have ``substantial direct
effects on the states, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.''
Under Section 6 of Executive Order 13132, EPA may not issue a
regulation that has federalism implications, that imposes substantial
direct compliance costs, and that is not required by statute, unless
the Federal government provides the funds necessary to pay the direct
compliance costs incurred by State and local governments, or EPA
consults with State and local officials early in the process of
developing the proposed regulation. EPA also may not issue a regulation
that has federalism implications and that preempts State law, unless
the Agency consults with State and local officials early in the process
of developing the proposed regulation.
Section 4 of the Executive Order contains additional requirements
for rules that preempt State or local law, even if those rules do not
have federalism implications (i.e., the rules will not have substantial
direct effects on the States, on the relationship between the national
government and the states, or on the distribution of power and
responsibilities among the various levels of government). Those
requirements include providing all affected State and local officials
notice and an opportunity for appropriate participation in the
development of the regulation. If the preemption is not based on
express or implied statutory authority, EPA also must consult, to the
extent practicable, with appropriate State and local officials
regarding the conflict between State law and Federally protected
interests within the agency's area of regulatory responsibility.
This rule does not have federalism implications. It will not have
substantial direct effects on the States, on the relationship between
the national government and the States, or on the

[[Page 40429]]

distribution of power and responsibilities among the various levels of
government, as specified in Executive Order 13132.

F. Executive Order 13175: Consultation and Coordination With Indian
Tribal Governments

Executive Order 13175, entitled ``Consultation and Coordination
with Indian Tribal Governments'' (59 FR 22951, November 6, 2000),
requires EPA to develop an accountable process to ensure ``meaningful
and timely input by tribal officials in the development of regulatory
policies that have tribal implications.''
This rule does not have tribal implications as specified in
Executive Order 13175. This rule will be implemented at the Federal
level and impose compliance costs only on engine manufacturers and ship
builders. Tribal governments will be affected only to the extent they
purchase and use equipment with regulated engines. Thus, Executive
Order 13175 does not apply to this rule.

G. Executive Order 13045: Protection of Children From Environmental
Health and Safety Risks

Executive Order 13045, ``Protection of Children from Environmental
Health Risks and Safety Risks'' (62 FR 19885, April 23, 1997) applies
to any rule that (1) is determined to be ``economically significant''
as defined under Executive Order 12866, and (2) concerns an
environmental health or safety risk that EPA has reason to believe may
have a disproportionate effect on children. If the regulatory action
meets both criteria, Section 5-501 of the Order directs the Agency to
evaluate the environmental health or safety effects of the planned rule
on children, and explain why the planned regulation is preferable to
other potentially effective and reasonably feasible alternatives
considered by the Agency.
This rule is not subject to the Executive Order because it does not
involve decisions on environmental health or safety risks that may
disproportionately affect children.

H. Executive Order 13211: Actions That Significantly Affect Energy
Supply, Distribution, or Use

This rule is not a ``significant energy action'' as defined in
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use'' (66 FR 28355
(May 22, 2001)), because it is not likely to have a significant effect
on the supply, distribution, or use of energy.

I. National Technology Transfer Advancement Act

Section 12(d) of the National Technology Transfer and Advancement
Act of 1995 (``NTTAA''), Public Law 104-113, section 12(d) (15 U.S.C.
272 note) directs EPA to use voluntary consensus standards in its
regulatory activities unless doing so would be inconsistent with
applicable law or otherwise impractical. Voluntary consensus standards
are technical standards (e.g., materials specifications, test methods,
sampling procedures, and business practices) that are developed or
adopted by voluntary consensus standards bodies. NTTAA directs EPA to
provide Congress, through OMB, explanations when the Agency decides not
to use available and applicable voluntary consensus standards.
This rule involves technical standards. The International
Organization for Standardization (ISO) has a voluntary consensus
standard that can be used to test engines. However, the test procedures
in this final rule reflect a level of development that goes
substantially beyond the ISO or other published procedures. The
procedures incorporate new specifications for transient emission
measurements, measuring PM emissions at very low levels, measuring
emissions using field-testing procedures. The procedures we adopt in
this rule will form the working template for ISO and national and state
governments to define test procedures for measuring engine emissions.
As such, we have worked extensively with the representatives of other
governments, testing organizations, and the affected industries.

J. Congressional Review Act

The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the
Small Business Regulatory Enforcement Fairness Act of 1996, generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report, which includes a copy of the rule,
to each House of the Congress and to the Comptroller General of the
United States. EPA will submit a report containing this rule and other
required information to the U.S. Senate, the U.S. House of
Representatives, and the Comptroller General of the United States prior
to publication of the rule in the Federal Register. This rule is not a
``major rule'' as defined by 5 U.S.C. 804(2).

V. Statutory Provisions and Legal Authority

Statutory authority for the engine controls adopted in this rule is
in 42 U.S.C. 7401--7671q.

List of Subjects

40 CFR Part 85

Confidential business information, Imports, Labeling, Motor vehicle
pollution, Reporting and recordkeeping requirements, Research, Warranties.

40 CFR Part 86

Administrative practice and procedure, Confidential business
information, Labeling, Motor vehicle pollution, Reporting and
recordkeeping requirements.

40 CFR Part 89

Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Labeling, Motor vehicle
pollution, Reporting and recordkeeping requirements, Research, Vessels,
Warranties.

40 CFR Part 90

Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Labeling, Reporting and recordkeeping requirements, Research, Warranties.

40 CFR Part 91

Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Labeling, Penalties, Reporting and recordkeeping requirements, Warranties

40 CFR Part 92

Administrative practice and procedure, Air pollution control,
Confidential business information, Imports, Labeling, Railroads,
Reporting and recordkeeping requirements, Warranties

40 CFR Part 94

Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Penalties, Reporting and recordkeeping requirements, Vessels, Warranties.

40 CFR Parts 1039, 1048, and 1051

[[Page 40430]]

40 CFR Part 1065

Environmental protection, Administrative practice and procedure,
Incorporation by reference, Reporting and recordkeeping requirements,
Research.

40 CFR Part 1068

Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Motor vehicle pollution,
Penalties, Reporting and recordkeeping requirements, Warranties.

Dated: June 3, 2005.
Stephen L. Johnson,
Administrator.

? For the reasons set out in the preamble, title 40, chapter I of the
Code of Federal Regulations is amended as follows:

PART 85--CONTROL OF AIR POLLUTION FROM MOBILE SOURCES

? 1. The authority citation for part 85 continues to read as follows:

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

? 2. Section 85.1502 is amended by revising paragraph (a)(14) to read as
follows:

Sec. 85.1502 Definitions.

(a) * * *
(14) United States. United States includes the States, the District
of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the
Northern Mariana Islands, Guam, American Samoa, and the U.S. Virgin
Islands.
* * * * *

? 3. Section 85.1503 is amended by revising the section heading and
adding paragraphs (c), (d), and (e) to read as follows:

Sec. 85.1503 General requirements for importation of nonconforming
vehicles and engines.

* * * * *
(c) In any one certificate year (e.g., the current model year), an
ICI may finally admit no more than the following numbers of
nonconforming vehicles or engines into the United States under the
provisions of Sec. 85.1505 and Sec. 85.1509, except as allowed by
paragraph (e) of this section:
(1) 5 heavy-duty engines.
(2) A total of 50 light-duty vehicles, light-duty trucks, and
medium-duty passenger vehicles.
(3) 50 highway motorcycles.
(d) For ICIs owned by a parent company, the importation limits in
paragraph (c) of this section include importation by the parent company
and all its subsidiaries.
(e) An ICI may exceed the limits outlined paragraphs (c) and (d) of
this section, provided that any vehicles/engines in excess of the
limits meet the emission standards and other requirements outlined in
the provisions of Sec. 85.1515 for the model year in which the motor
vehicle/engine is modified (instead of the emission standards and other
requirements applicable for the OP year of the vehicle/engine).

? 4. Section 85.1513 is amended by revising paragraph (d) to read as
follows:

Sec. 85.1513 Prohibited acts; penalties.

* * * * *
(d) Any importer who violates section 203(a)(1) of the Act is
subject to a civil penalty under section 205 of the Act of not more
than $32,500 for each vehicle or engine subject to the violation. In
addition to the penalty provided in the Act, where applicable, under
the exemption provisions of Sec. 85.1511(b), or under Sec. 85.1512,
any person or entity who fails to deliver such vehicle or engine to the
U.S. Customs Service is liable for liquidated damages in the amount of
the bond required by applicable Customs laws and regulations.
* * * * *

? 5. Section 85.1515 is amended by revising paragraphs (c)(1) and (c)(2)
to read as follows:

Sec. 85.1515 Emission standards and test procedures applicable to
imported nonconforming motor vehicles and motor vehicle engines.

* * * * *
(c)(1) Nonconforming motor vehicles or motor vehicle engines of
1994 OP model year and later conditionally imported pursuant to Sec.
85.1505 or Sec. 85.1509 shall meet all of the emission standards
specified in 40 CFR part 86 for the OP year of the vehicle or motor
vehicle engine. At the option of the ICI, the nonconforming motor
vehicle may comply with the emissions standards in 40 CFR 86.1708-99 or
86.1709-99, as applicable to a light-duty vehicle or light light-duty
truck, in lieu of the otherwise applicable emissions standards
specified in 40 CFR part 86 for the OP year of the vehicle. The
provisions of 40 CFR 86.1710-99 do not apply to imported nonconforming
motor vehicles. The useful life specified in 40 CFR part 86 for the OP
year of the motor vehicle or motor vehicle engine is applicable where
useful life is not designated in this subpart.
(2)(i) Nonconforming light-duty vehicles and light light-duty
trucks(LDV/LLDTs) originally manufactured in OP years 2004, 2005 or
2006 must meet the FTP exhaust emission standards of bin 9 in Tables
S04-1 and S04-2 in 40 CFR 86.1811-04 and the evaporative emission
standards for light-duty vehicles and light light-duty trucks specified
in 40 CFR 86.1811-01(e)(5).
(ii) Nonconforming LDT3s and LDT4s (HLDTs) and medium-duty
passenger vehicles (MDPVs) originally manufactured in OP years 2004
through 2006 must meet the FTP exhaust emission standards of bin 10 in
Tables S04-1 and S04-2 in 40 CFR 86.1811-04 and the applicable
evaporative emission standards specified in 40 CFR 86.1811-04(e)(5).
For 2004 OP year HLDTs and MDPVs where modifications commence on the
first vehicle of a test group before December 21, 2003, this
requirement does not apply to the 2004 OP year. ICIs opting to bring
all of their 2004 OP year HLDTs and MDPVs into compliance with the
exhaust emission standards of bin 10 in Tables S04-1 and S04-2 in 40
CFR 86.1811-04 , may use the optional higher NMOG values for their
2004-2006 OP year LDT2s and 2004-2008 LDT4s.
(iii) Nonconforming LDT3s and LDT4s (HLDTs) and medium-duty
passenger vehicles (MDPVs) originally manufactured in OP years 2007 and
2008 must meet the FTP exhaust emission standards of bin 8 in Tables
S04-1 and S04-2 in 40 CFR 86.1811-04 and the applicable evaporative
standards specified in 40 CFR 86.1811-04(e)(5).
(iv) Nonconforming LDV/LDTs originally manufactured in OP years
2007 and later and nonconforming HLDTs and MDPVs originally
manufactured in OP years 2009 and later must meet the FTP exhaust
emission standards of bin 5 in Tables S04-1 and S04-2 in 40 CFR
86.1811-04, and the evaporative standards specified in 40 CFR
86.1811(e)(1) through (e)(4).
(v) ICIs are exempt from the Tier 2 and the interim non-Tier2
phase-in intermediate percentage requirements for exhaust, evaporative,
and refueling emissions described in 40 CFR 86.1811-04.
(vi) In cases where multiple standards exist in a given model year
in 40 CFR part 86 due to phase-in requirements of new standards, the
applicable standards for motor vehicle engines required to be certified
to engine-based standards are the least stringent standards applicable
to the engine type for the OP year.
* * * * *

? 6. Section 85.1713 is added to subpart R to read as follows:

Sec. 85.1713 Delegated-assembly exemption.

The provisions of this section apply for manufacturers of heavy-duty

[[Page 40431]]

highway engines. (a) Shipping an engine separately from an
aftertreatment component that you have specified as part of its
certified configuration will not be a violation of the prohibitions in
Clean Air Act section 203 (42 U.S.C. 7522), if you follow the
provisions of paragraph (b) or (c) of this section.
(b) If you include the cost of all aftertreatment components in the
cost of the engine and ship the aftertreatment components directly to
the vehicle manufacturer, or arrange for separate shipment by the
component manufacturer to the vehicle manufacturer, you must meet all
the following conditions:
(1) Apply for and receive a certificate of conformity for the
engine and its emission-control system before shipment.
(2) Provide installation instructions in enough detail to ensure
that the engine will be in its certified configuration if someone
follows these instructions.
(3) Have a contractual agreement with a vehicle manufacturer
obligating the vehicle manufacturer to complete the final assembly of
the engine so it is in its certified configuration when installed in
the vehicle. This agreement must also obligate the vehicle manufacturer
to provide the affidavits required under paragraph (b)(4) of this section.
(4) Take appropriate additional steps to ensure that all engines
will be in their certified configuration when installed by the vehicle
manufacturer. At a minimum, you must obtain annual affidavits from
every vehicle manufacturer to whom you sell engines under this section.
Include engines that you sell through distributors or dealers. The
affidavits must list the part numbers of the aftertreatment devices
that vehicle manufacturers install on each engine they purchase from
you under this section.
(5) Describe in your application for certification how you plan to
use the provisions of this section and any steps you plan to take under
paragraph (b)(3) of this section.
(6) Keep records to document how many engines you produce under
this exemption. Also, keep records to document your contractual
agreements under paragraph (b)(3) of this section. Keep all these
records for five years after the end of the model year and make them
available to us upon request.
(7) Make sure the engine has the emission control information label
we require under the standard-setting part.
(c) If you do not include the cost of all aftertreatment components
in the cost of the engine, you must meet all the conditions described
in paragraphs (b)(1) through (7) of this section, with the following
additional provisions:
(1) The contractual agreement described in paragraph (b)(3) of this
section must include a commitment that the vehicle manufacturer will do
the following things:
(i) Separately purchase the aftertreatment components you have
specified in your application for certification.
(ii) Perform audits as described in paragraph (c)(3) of this section.
(2) Before you ship an engine under the provisions of this
paragraph (c), you must have written confirmation that the vehicle
manufacturer has ordered the appropriate aftertreatment components.
(3) You must audit vehicle manufacturers as follows:
(i) If you sell engines to 16 or more vehicle manufacturers under
the provisions of this section, you must annually audit four vehicle
manufacturers to whom you sell engines under this section. To select
individual vehicle manufacturers, divide all the affected vehicle
manufacturers into quartiles based on the number of engines they buy
from you; select a single vehicle manufacturer from each quartile each
model year. Vary the vehicle manufacturers you audit from year to year,
though you may repeat an audit in a later model year if you find or
suspect that a particular vehicle manufacturer is not properly
installing aftertreatment devices.
(ii) If you sell engines to fewer than 16 vehicle manufacturers
under the provisions of this section, set up a plan to audit each
vehicle manufacturer on average once every four model years.
(iii) Starting with the 2014 model year, if you sell engines to
fewer than 40 vehicle manufacturers under the provisions of this
section, you may ask us to approve a reduced auditing rate. We may
approve an alternate plan that involves auditing each vehicle
manufacturer on average once every ten model years, as long as you show
that you have met the auditing requirements in preceding years without
finding noncompliance or improper procedures.
(iv) Audits must involve the assembling companies' facilities,
procedures, and production records to monitor their compliance with
your instructions, must include investigation of some assembled
engines, and must confirm that the number of aftertreatment devices
shipped were sufficient for the number of engines produced. Where a
vehicle manufacturer is not located in the United States, you may
conduct the audit at a distribution or port facility in the United States.
(v) If you produce engines and use them to produce vehicles under
the provisions of this section, you must take steps to ensure that your
facilities, procedures, and production records are set up to ensure
compliance with the provisions of this section, but you may meet your
auditing responsibilities under this paragraph (c)(3) of this section
by maintaining a database showing how you pair aftertreatment
components with the appropriate engines.
(vi) You must keep records of these audits for five years after the
end of the model year and provide a report to us describing any
uninstalled or improperly installed aftertreatment components. Send us
these reports within 90 days of the audit, except as specified in
paragraph (f) of this section.
(4) In your application for certification, give a detailed plan for
auditing vehicle manufacturers, as described in paragraph (c)(3) of
this section.
(d) An engine you produce under this section becomes new when it is
fully assembled, except for aftertreatment devices, for the first time.
Use this date to determine the engine's model year.
(e) Once the vehicle manufacturer takes possession of an engine
exempted under this section, the exemption expires and the engine is
subject to all the prohibitions in CleanAir Act section 203 (42 U.S.C.
7522).
(f) You must notify us within 15 days if you find from an audit or
another source that a vehicle manufacturer has failed to meet its
obligations under this section.
(g) We may suspend, revoke, or void an exemption under this
section, as follows:
(1) We may suspend or revoke your exemption for the entire engine
family if we determine that any of the engines are not in their
certified configuration after installation in the vehicle, or if you
fail to comply with the requirements of this section. If we suspend or
revoke the exemption for any of your engine families under this
paragraph (g), this exemption will not apply for future certificates
unless you demonstrate that the factors causing the nonconformity do
not apply to the other engine families. We may suspend or revoke the
exemption for shipments to a single facility where final assembly occurs.
(2) We may void your exemption for the entire engine family if you
intentionally submit false or incomplete information or fail to keep
and provide to EPA the records required by this section.

[[Page 40432]]

(h) You are liable for the in-use compliance of any engine that is
exempt under this section.
(i) It is a violation of the Act for any person to complete
assembly of the exempted engine without complying fully with the
installation instructions.
(j) [Reserved]
(k) You may ask us to provide a temporary exemption to allow you to
complete production of your engines at different facilities, as long as
you maintain control of the engines until they are in their certified
configuration. We may require you to take specific steps to ensure that
such engines are in their certified configuration before reaching the
ultimate purchaser. You may request an exemption under this paragraph
(k) in your application for certification, or in a separate submission.

? 7. Section 85.2111 is amended by revising the introductory text and
adding paragraph (d) to read as follows:

Sec. 85.2111 Warranty enforcement.

The following acts are prohibited and may subject a manufacturer to
up to a $32,500 civil penalty for each offense, except as noted in
paragraph (d) of this section:
* * * * *
(d) The maximum penalty value listed in this section is shown for
calendar year 2004. Maximum penalty limits for later years may be
adjusted based on the Consumer Price Index. The specific regulatory
provisions for changing the maximum penalties, published in 40 CFR part
19, reference the applicable U.S. Code citation on which the prohibited
action is based.

? 8. Appendix II to subpart V is amended by revising section 1 of part A
to read as follows:

Appendix II to Subpart V of Part 85--Arbitration Rules

Part A--Pre-Hearing

Section 1: Initiation of Arbitration

Either party may commence an arbitration under these rules by
filing at any regional office of the American Arbitration
Association (the AAA) three copies of a written submission to
arbitrate under these rules, signed by either party. It shall
contain a statement of the matter in dispute, the amount of money
involved, the remedy sought, and the hearing locale requested,
together with the appropriate administrative fee as provided in the
Administrative Fee Schedule of the AAA in effect at the time the
arbitration is filed. The filing party shall notify the MOD Director
in writing within 14 days of when it files for arbitration and
provide the MOD Director with the date of receipt of the bill by the
part manufacturer.
Unless the AAA in its discretion determines otherwise and no
party disagrees, the Expedited Procedures (as described in Part E of
these Rules) shall be applied in any case where no disclosed claim
or counterclaim exceeds $32,500, exclusive of interest and
arbitration costs. Parties may also agree to the Expedited
Procedures in cases involving claims in excess of $32,500.
All other cases, including those involving claims not in excess
of $32,500 where either party so desires, shall be administered in
accordance with Parts A through D of these Rules.
* * * * *

PART 86--CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES
AND ENGINES

? 9. The authority citation for part 86 continues to read as follows:

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

? 10. Section 86.004-16 is amended by revising paragraph (d) to read as
follows:

Sec. 86.004-16 Prohibition of defeat devices.

* * * * *
(d) For vehicle and engine designs designated by the Administrator
to be investigated for possible defeat devices:
(1) General. The manufacturer must show to the satisfaction of the
Administrator that the vehicle or engine design does not incorporate
strategies that reduce emission control effectiveness exhibited during
the applicable Federal emissions test procedures when the vehicle or
engine is operated under conditions which may reasonably be expected to
be encountered in normal operation and use, unless one of the specific
exceptions set forth in the definition of ``defeat device'' in Sec.
86.004-2 has been met.
(2) Information submissions required. The manufacturer will provide
an explanation containing detailed information (including information
which the Administrator may request to be submitted) regarding test
programs, engineering evaluations, design specifications, calibrations,
on-board computer algorithms, and design strategies incorporated for
operation both during and outside of the applicable Federal emission
test procedure.

? 11. Section 86.004-26 is amended by revising paragraph (c)(4) to read
as follows:

Sec. 86.004-26 Mileage and service accumulation; emission measurements.

* * * * *
(c) * * *
(4) The manufacturer shall determine, for each engine family, the
number of hours at which the engine system combination is stabilized
for emission-data testing. The manufacturer shall maintain, and provide
to the Administrator if requested, a record of the rationale used in
making this determination. The manufacturer may elect to accumulate 125
hours on each test engine within an engine family without making a
determination. Any engine used to represent emission-data engine
selections under Sec. 86.094-24(b)(2) shall be equipped with an engine
system combination that has accumulated at least the number of hours
determined under this paragraph. Complete exhaust emission tests shall
be conducted for each emission-data engine selection under Sec.
86.094-24(b)(2). Evaporative emission controls must be connected, as
described in 40 CFR part 1065, subpart F. The Administrator may
determine under Sec. 86.094-24(f) that no testing is required.
* * * * *

? 12. Section 86.007-11 is amended by revising paragraphs (a)(2) and
(a)(3)(i) and adding paragraph (g)(6) to read as follows:

Sec. 86.007-11 Emission standards and supplemental requirements for
2007 and later model year heavy-duty engines and vehicles.

* * * * *
(a) * * *
(2) The standards set forth in paragraph (a)(1) of this section
refer to the exhaust emitted over the duty cycle specified in
paragraphs (a)(2)(i) through (iii) of this section, where exhaust
emissions are measured and calculated as specified in paragraphs
(a)(2)(iv) and (v) of this section in accordance with the procedures
set forth in 40 CFR part 1065, except as noted in Sec. 86.007-23(c)(2):
(i) Perform the test interval set forth in paragraph (f)(2) of
Appendix I of this part with a cold-start according to 40 CFR part
1065, subpart F. This is the cold-start test interval.
(ii) Shut down the engine after completing the test interval and
allow 20 minutes to elapse. This is the hot-soak.
(iii) Repeat the test interval. This is the hot-start test interval.
(iv) Calculate the total emission mass of each constituent, m, and
the total work, W, over each test interval according to 40 CFR 1065.650.
(v) Determine your engine's brake-specific emissions using the
following calculation, which weights the emissions from the cold-start
and hot-start test intervals:

[[Page 40433]]
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.000

(3) * * *
(i) Exhaust emissions, as determined under Sec. 86.1360-2007(b)
pertaining to the supplemental emission test cycle, for each regulated
pollutant shall not exceed 1.0 times the applicable emission standards
or FELs specified in paragraph (a)(1) of this section.
* * * * *
(g) * * *
(6) Manufacturers may determine the number of engines and vehicles
that are required to certify to the NO_X standard in this
section (including the phase-out engines certified to the
NO_X+NMHC standard referenced in this paragraph(g)) based on
calendar years 2007, 2008, and 2009, rather than model years 2007,
2008, and 2009.
* * * * *

? 13. Section 86.007-21 is amended by revising paragraph (o) to read as
follows:

Sec. 86.007-21 Application for certification.

* * * * *
(o) For diesel heavy-duty engines, the manufacturer must provide
the following additional information pertaining to the supplemental
emission test conducted under Sec. 86.1360-2007:
(1) Weighted brake-specific emissions data (i.e., in units of g/
bhp-hr), calculated according to 40 CFR 1065.650 for all pollutants for
which a brake-specific emission standard is established in this subpart;
(2) For engines subject to the MAEL (see Sec. 86.007-
11(a)(3)(ii)), brake specific gaseous emission data for each of the 12
non-idle test points (identified under Sec. 86.1360-2007(b)(1)) and
the 3 EPA-selected test points (identified under Sec. 86.1360-2007(b)(2));
(3) For engines subject to the MAEL (see Sec. 86.007-
11(a)(3)(ii)), concentrations and mass flow rates of all regulated
gaseous emissions plus carbon dioxide;
(4) Values of all emission-related engine control variables at each
test point;
(5) A statement that the test results correspond to the test engine
selection criteria in 40 CFR 1065.401. The manufacturer also must
maintain records at the manufacturer's facility which contain all test
data, engineering analyses, and other information which provides the
basis for this statement, where such information exists. The
manufacturer must provide such information to the Administrator upon
request;
(6) For engines subject to the MAEL (see Sec. 86.007-
11(a)(3)(ii)), a statement that the engines will comply with the
weighted average emissions standard and interpolated values comply with
the Maximum Allowable Emission Limits specified in Sec. 86.007-
11(a)(3) for the useful life of the engine where applicable. The
manufacturer also must maintain records at the manufacturer's facility
which contain a detailed description of all test data, engineering
analyses, and other information which provides the basis for this
statement, where such information exists. The manufacturer must provide
such information to the Administrator upon request.
(7) [Reserved]
* * * * *

? 14. Section 86.007-35 is amended by revising paragraph (c) to read as
follows:

Sec. 86.007-35 Labeling.

* * * * *
(c) Vehicles powered by model year 2007 and later diesel-fueled
engines must include permanent, readily visible labels on the dashboard
(or instrument panel) and near all fuel inlets that state ``Use Ultra
Low Sulfur Diesel Fuel Only''; or ``Ultra Low Sulfur DieselFuel Only''.
* * * * *

? 15. Part 86 is amended by removing the first Sec. 86.008-10, which was
added on October 6, 2000.

? 16. Section 86.084-2 is amended by revising the definition for ``Curb-
idle'' to read as follows:

Sec. 86.084-2 Definitions.

* * * * *
Curb-idle means:
(1) For manual transmission code light-duty trucks, the engine
speed with the transmission in neutral or with the clutch disengaged
and with the air conditioning system, if present, turned off. For
automatic transmission code light-duty trucks, curb-idle means the
engine speed with the automatic transmission in the Park position (or
Neutral position if there is no Park position), and with the air
conditioning system, if present, turned off.
(2) For manual transmission code heavy-duty engines, the
manufacturer's recommended engine speed with the clutch disengaged. For
automatic transmission code heavy-duty engines, curb idle means the
manufacturer's recommended engine speed with the automatic transmission
in gear and the output shaft stalled. (Measured idle speed may be used
in lieu of curb-idle speed for the emission tests when the difference
between measured idle speed and curb idle speed is sufficient to cause
a void test under 40 CFR 1065.530 but not sufficient to permit
adjustment in accordance with 40 CFR part 1065, subpart E.
* * * * *

? 17. Section 86.095-35 is amended by revising paragraph (a)(3)(iii)(B)
to read as follows:

Sec. 86.095-35 Labeling.

* * * * *
(a) * * *
(3) * * *
(iii) * * *
(B) The full corporate name and trademark of the manufacturer;
though the label may identify another company and use its trademark
instead of the manufacturer's as long as the manufacturer complies with
the provisions of 40CFR 1039.640.
* * * * *

? 18. Section 86.096-38 is amended by revising paragraph (g)(19)(iii) to
read as follows:

Sec. 86.096-38 Maintenance instructions.

* * * * *
(g) * * *
(19) * * *
(iii) Any person who violates a provision of this paragraph (g)
shall be subject to a civil penalty of not more than $32,500 per day
for each violation. This maximum penalty is shown for calendar year
2004. Maximum penalty limits for later years may be set higher based on
the Consumer Price Index, as specified in 40 CFR part 19. In addition,
such person shall be liable for all other remedies set forth in Title
II of the Clean Air Act, remedies pertaining to provisions of Title II
of the Clean Air Act, or other applicable provisions of law.

? 19. Section 86.121-90 is amended by revising paragraph (d) introductory
text to read as follows:

Sec. 86.121-90 Hydrocarbon analyzer calibration.

* * * * *
(d) FID response factor to methane. When the FID analyzer is to be
used for the analysis of gasoline, diesel, methanol, ethanol, liquefied
petroleum gas, and natural gas-fueled vehicle hydrocarbon samples, the
methane

[[Page 40434]]

response factor of the analyzer must be established. To determine the
total hydrocarbon FID response to methane, known methane in air
concentrations traceable to the National Institute of Standards
andTechnology (NIST) must be analyzed by the FID. Several methane
concentrations must be analyzed by the FID in the range of
concentrations in the exhaust sample. The total hydrocarbon FID
response to methane is calculated as follows:

r_CH4=FIDppm/SAMppm

Where:
* * * * *

? 20. Section 86.144-94 is amended by revising paragraph (c)(8)(vi) to
read as follows:

Sec. 86.144-94 Calculations; exhaust emissions.

* * * * *
(c) * * *
(8) * * *
(vi) rCH4=HC FID response to methane as measured in Sec. 86.121(d).
* * * * *

? 21. Section 86.158-00 is amended by revising the introductory text to
read as follows:

Sec. 86.158-00 Supplemental Federal Test Procedures; overview.

The procedures described in Sec. Sec. 86.158-00, 86.159-00,
86.160-00, and 86.162-00 discuss the aggressive driving (US06) and air
conditioning (SC03) elements of the Supplemental Federal Test
Procedures (SFTP). These test procedures consist of two separable test
elements: A sequence of vehicle operation that tests exhaust emissions
with a driving schedule (US06) that tests exhaust emissions under high
speeds and accelerations (aggressive driving); and a sequence of
vehicle operation that tests exhaust emissions with a driving schedule
(SC03) which includes the impacts of actual air conditioning operation.
These test procedures (and the associated standards set forth in
subpart S of this part) are applicable to light-duty vehicles and
light-duty trucks.
* * * * *

? 22. Section 86.159-00 is amended by revising paragraph (f)(2)(ix) to
read as follows:

Sec. 86.159-00 Exhaust emission test procedure for US06 emissions.

* * * * *
(f) * * *
(2) * * *
(ix) Turn the engine off 2 seconds after the end of the last
deceleration (i.e., engine off at 596 seconds).
* * * * *
? 23. Section 86.160-00 is amended by revising the first sentence of
paragraph (a), and paragraphs (c)(10), (c)(12), (d)(10), and (d)(13) to
read as follows:

Sec. 86.160-00 Exhaust emission test procedure for SC03 emissions.

(a) Overview. The dynamometer operation consists of a single, 600
second test on the SC03 driving schedule, as described in appendix I,
paragraph (h), of this part. * * *
* * * * *
(c) * * *
(10) Eighteen seconds after the engine starts, begin the initial
vehicle acceleration of the driving schedule.
* * * * *
(12) Turn the engine off 2 seconds after the end of the last
deceleration (i.e., engine off at 596 seconds).
* * * * *
(d) * * *
(10) Turn the engine off 2 seconds after the end of the last
deceleration (i.e., engine off at 596 seconds).
* * * * *
(13) Immediately after the end of the sample period, turn off the
cooling fan, disconnect the exhaust tube from the vehicle tailpipe(s),
and drive the vehicle from dynamometer.
* * * * *

? 24. Section 86.161-00 is amended by revising paragraph (b)(1) to read
as follows:

Sec. 86.161-00 Air conditioning environmental test facility ambient
requirements.

* * * * *
(b) * * *
(1) Ambient humidity is controlled, within the test cell, during
all phases of the air conditioning test sequence to an average of 100
+/-5 grains of water/pound of dry air.
* * * * *

? 25. Section 86.164-00 is amended by revising paragraph (c)(1)(i)
introductory text to read as follows:

Sec. 86.164-00 Supplemental federal test procedure calculations.

* * * * *
(c)(1) * * *

(i) Y_WSFTP = 0.35(Y_FTP) + 0.37(Y_SC03)
+ 0.28(Y_US06)

Where:
* * * * *

? 26. Section 86.410-2006 is amended by adding paragraph (e)(3) to read
as follows:

Sec. 86.410-2006 Emission standards for 2006 and later model year
motorcycles.

* * * * *
(e) * * *
(3) Small-volume manufacturers are not required to comply with
permeation requirements in paragraph (g) of this section until model
year 2010.
* * * * *

? 27. A new Sec. 86.413-2006 is added to read as follows:

Sec. 86.413-2006 Labeling.

(a)(1) The manufacturer of any motorcycle shall, at the time of
manufacture, affix a permanent, legible label, of the type and in the
manner described in this section, containing the information provided
in this section, to all production models of such vehicles available
for sale to the public and covered by a certificate of conformity.
(2) A permanent, legible label shall be affixed in a readily
accessible position. Multi-part labels may be used.
(3) The label shall be affixed by the vehicle manufacturer who has
been issued the certificate of conformity for such vehicle, in such a
manner that it cannot be removed without destroying or defacing the
label, and shall not be affixed to any part which is easily detached
from the vehicle or is likely to be replaced during the useful life of
the vehicle.
(4) The label shall contain the following information lettered in
the English language in block letters and numerals, which shall be of a
color that contrasts with the background of the label:
(i) The label heading shall read: ``Vehicle Emission Control
Information'';
(ii) Full corporate name and trademark of the manufacturer;
(iii) Engine displacement (in cubic centimeters or liters) and
engine family identification;
(iv) Engine tuneup specifications and adjustments, as recommended
by the manufacturer, including, if applicable: idle speed, ignition
timing, and the idle air-fuel mixture setting procedure and value
(e.g., idle CO, idle air-fuel ratio, idle speed drop). These
specifications shall indicate the proper transmission position during
tuneup, and which accessories should be in operation and which systems
should be disconnected during a tuneup;
(v) Any specific fuel or engine lubricant requirements (e.g., lead
content, research octane number, engine lubricant type);
(vi) Identification of the exhaust emission control system, using
abbreviations in accordance with SAE J1930, June 1993, including the
following abbreviations for items commonly appearing on motorcycles:

[[Page 40435]]

OC Oxidation catalyst;
TWC Three-way catalyst;
AIR Secondary air injection (pump);
PAIR Pulsed secondary air injection;
DFI Direct fuel injection;
O2S Oxygen sensor;
HO2S Heated oxygen sensor;
EM Engine modification;
CFI Continuous fuel injection;
MFI Multi-port (electronic) fuel injection; and
TBI Throttle body (electronic) fuel injection.

(viii) An unconditional statement of conformity to U.S. EPA
regulations which includes the model year; for example, ``This Vehicle
Conforms to U.S. EPA Regulations Applicable to----Model Year New
Motorcycles'' (the blank is to be filled in with the appropriate model
year). For all Class III motorcycles and for Class I and Class II
motorcycles demonstrating compliance with the averaging provisions in
40 CFR 86.449 the statement must also include the phrase ``is certified
to an HC+NO_X emission standard of ---- grams/kilometer''
(the blank is to be filled in with the Family Emission Limit determined
by the manufacturer).
(b) The provisions of this section shall not prevent a manufacturer
from also reciting on the label that such vehicle conforms to any other
applicable Federal or State standards for new motorcycles or any other
information that such manufacturer deems necessary for, or useful to,
the proper operation and satisfactory maintenance of the vehicle.

? 28. Section 86.447-2006 is revised to read as follows:

Sec. 86.447-2006 What provisions apply to motorcycle engines below 50
cc that are certified under the Small SI program or the Recreational-
vehicle program?

(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce into commerce a new highway motorcycle
(that is, a motorcycle that is a motor vehicle) if it has an engine
below 50 cc that is already certified to the requirements that apply to
engines or vehicles under 40 CFR part 90 or 1051 for the appropriate
model year. If you comply with all the provisions of this section, we
consider the certificate issued under 40 CFR part 90 or 1051 for each
engine or vehicle to also be a valid certificate of conformity under
this part 86 for its model year, without a separate application for
certification under the requirements of this part 86. See Sec. 86.448-
2006 for similar provisions that apply to vehicles that are certified
to chassis-based standards under 40CFR part 1051.
(b) Vehicle-manufacturer provisions. If you are not an engine
manufacturer, you may produce highway motorcycles using nonroad engines
below 50 cc under this section as long as you meet all the requirements
and conditions specified in paragraph (d) of this section. If you
modify the nonroad engine in any of the ways described in paragraph
(d)(2) of this section for installation in a highway motorcycle, we
will consider you a manufacturer of a new highway motorcycle. Such
engine modifications prevent you from using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section, and vehicles containing these engines, are exempt from all the
requirements and prohibitions of this part, except for those specified
in this section. Engines and vehicles exempted under this section must
meet all the applicable requirements from 40 CFR part 90 or 1051. This
applies to engine manufacturers, vehicle manufacturers who use these
engines, and all other persons as if these engines were used in
recreational vehicles or other nonroad applications. The prohibited
acts of 42 U.S.C. 7522 apply to these new highway motorcycles; however,
we consider the certificate issued under 40 CFR part 90 or 1051 for
each engine to also be a valid certificate of conformity under this
part 86 for its model year. If we make a determination that these
engines do not conform to the regulations during their useful life, we
may require you to recall them under 40 CFR part 86, 90, or 1068.
(d) Specific requirements. If you are an engine or vehicle
manufacturer and meet all the following criteria and requirements
regarding your new engine or vehicle, the highway motorcycle is
eligible for an exemption under this section:
(1) Your engine must be below 50 cc and must be covered by a valid
certificate of conformity for Class II engines issued under 40 CFR part
90 or for recreational vehicles under 40 CFR part 1051.
(2) You must not make any changes to the certified engine that
could reasonably be expected to increase its exhaust emissions for any
pollutant, or its evaporative emissions, if applicable. For example, if
you make any of the following changes to one of these engines, you do
not qualify for this exemption:
(i) Change any fuel system or evaporative system parameters from
the certified configuration.
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original engine
manufacturer's specified ranges.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in highway motorcycles. This
includes engines used in any application, without regard to which
company manufactures the vehicle or equipment. In addition, if you
manufacture highway motorcycles, you must show that fewer than 50
percent of the engine family's total sales in the United States are
highway motorcycles. Show that you meet the engine-sales criterion as
follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm the engine sales volumes based on its sales
information.
(4) You must ensure that the engine has the label we require under
40 CFR part 90 or 1051.
(5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
vehicle. In the supplemental label, do the following:
(i) Include the heading: ``HIGHWAY MOTORCYCLE ENGINE EMISSION
CONTROL INFORMATION''.
(ii) Include your full corporate name and trademark. You may
instead include the full corporate name and trademark of another
company you choose to designate.
(iii) State: ``THIS ENGINE WAS ADAPTED FOR HIGHWAY USE
WITHOUTAFFECTING ITS EMISSION CONTROLS.''.
(iv) State the date you finished installation (month and year), if
applicable.
(6) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone number.
(ii) List the engine or vehicle models you expect to produce under
this exemption in the coming year.
(iii) State: ``We produce each listed [engine or vehicle]
model for
without making any changes that could increase its certified emission
levels, as described in 40 CFR 86.447-2006.''.
(e) Failure to comply. If your highway motorcycles do not meet the
criteria listed in paragraph (d) of this section, they will be subject
to the standards,

[[Page 40436]]

requirements, and prohibitions of this part 86 and the certificate
issued under 40 CFR part 90 or 1051 will not be deemed to also be a
certificate issued under this part 86. Introducing these engines into
commerce without a valid exemption or certificate of conformity under
this part violates the prohibitions in 40 CFR part 85.
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Engines or
vehicles adapted for recreational use under this section may not
generate or use emission credits under this part 86. These engines or
vehicles may generate credits under the ABT provisions in 40 CFR part
90 or 1051. These engines or vehicles must use emission credits under
40 CFR part 90 or 1051 if they are certified to an FEL that exceeds an
applicable standard.

? 29. Section 86.448-2006 is revised to read as follows:

Sec. 86.448-2006 What provisions apply to vehicles certified under
the Recreational-vehicle program?

(a) General provisions. If you are a highway-motorcycle
manufacturer, this section allows you to introduce into commerce a new
highway motorcycle with an engine below 50 cc if it is already
certified to the requirements that apply to recreational vehicles under
40 CFR parts 1051. A highway motorcycle is a motorcycle that is a motor
vehicle. If you comply with all of the provisions of this section, we
consider the certificate issued under 40 CFR part 1051 for each
recreational vehicle to also be a valid certificate of conformity for
the motor vehicle under this part 86 for its model year, without a
separate application for certification under the requirements of this
part 86. See Sec. 86.447-2006 for similar provisions that apply to
nonroad engines produced for highway motorcycles.
(b) Nonrecreational-vehicle provisions. If you are not a
recreational-vehicle manufacturer, you may produce highway motorcycles
from recreational vehicles with engines below 50 cc under this section
as long as you meet all the requirements and conditions specified in
paragraph (d) of this section. If you modify the recreational vehicle
or its engine in any of the ways described in paragraph (d)(2) of this
section for installation in a highway motorcycle, we will consider you
a manufacturer of a new highway motorcycle. Such modifications prevent
you from using the provisions of this section.
(c) Liability. Vehicles for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines and vehicles
exempted under this section must meet all the applicable requirements
from 40 CFR part 1051. This applies to engine manufacturers, vehicle
manufacturers, and all other persons as if the highway motorcycles were
recreational vehicles. The prohibited acts of 42 U.S.C. 7522 apply to
these new highway motorcycles; however, we consider the certificate
issued under 40 CFR part 1051 for each recreational vehicle to also be
a valid certificate of conformity for the highway motorcycle under this
part 86 for its model year. If we make a determination that these
engines or vehicles do not conform to the regulations during their
useful life, we may require you to recall them under 40 CFR part 86 or
40 CFR 1068.505.
(d) Specific requirements. If you are a recreational-vehicle
manufacturer and meet all the following criteria and requirements
regarding your new highway motorcycle and its engine, the highway
motorcycle is eligible for an exemption under this section:
(1) Your motorcycle must have an engine below 50 cc and it must be
covered by a valid certificate of conformity as a recreational vehicle
issued under 40 CFR part 1051.
(2) You must not make any changes to the certified recreational
vehicle that we could reasonably expect to increase its exhaust
emissions for any pollutant, or its evaporative emissions if it is
subject to evaporative-emission standards. For example, if you make any
of the following changes, you do not qualify for this exemption:
(i) Change any fuel system parameters from the certified configuration.
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the vehicle
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original vehicle
manufacturer's specified ranges.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in highway motorcycles. This
includes highway and off-highway motorcycles, without regard to which
company completes the manufacturing of the highway motorcycle. Show
this as follows:
(i) If you are the original manufacturer of the vehicle, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the vehicle to confirm this based on their sales information.
(4) The highway motorcycle must have the vehicle emission control
information we require under 40 CFR part 1051.
(5) You must add a permanent supplemental label to the highway
motorcycle in a position where it will remain clearly visible. In the
supplemental label, do the following:
(i) Include the heading: ``HIGHWAY MOTORCYCLE ENGINE EMISSION
CONTROL INFORMATION''.
(ii) Include your full corporate name and trademark. You may
instead include the full corporate name and trademark of another
company you choose to designate.
(iii) State: ``THIS VEHICLE WAS ADAPTED FOR HIGHWAY USE WITHOUT
AFFECTING ITS EMISSION CONTROLS.''.
(iv) State the date you finished modifying the vehicle (month and
year), if applicable.
(6) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone number.
(ii) List the highway motorcycle models you expect to produce under
this exemption in the coming year.
(iii) State: ``We produced each listed highway motorcycle without
making any changes that could increase its certified emission levels,
as described in 40 CFR 86.448-2006.''.
(e) Failure to comply. If your highway motorcycles do not meet the
criteria listed in paragraph (d) of this section, they will be subject
to the standards, requirements, and prohibitions of this part 86 and 40
CFR part 85, and the certificate issued under 40 CFR part 1051 will not
be deemed to also be a certificate issued under this part 86.
Introducing these motorcycles into commerce without a valid exemption
or certificate of conformity under this part violates the prohibitions
in 40 CFR part 85.
(f) Data submission. We may require you to send us emission test
data on the duty cycle for Class I motorcycles.
(g) Participation in averaging, banking and trading. Recreational
vehicles adapted for use as highway motorcycles under this section may
not generate or use emission credits under this part 86. These engines
may generate credits under the ABT provisions in 40 CFR part 1051.
These engines must use emission credits under 40 CFR part

[[Page 40437]]

1051 if they are certified to an FEL that exceeds an applicable standard.

? 30. In Sec. 86.513-2004, Table 1 in paragraph (a)(1) is revised to
read as follows:

Sec. 86.513-2004 Fuel and engine lubricant specifications.

* * * * *
(a) * * *
(1) * * *

Table 1 of Sec. 86.513-2004--Gasoline Test Fuel Specifications
------------------------------------------------------------------------
Item Procedure Value
------------------------------------------------------------------------
Distillation Range:
------------------------------------------------------------------------
1. Initial boiling point, [deg]C ASTM D 86-97...... 23.9--35.0 \1\
2. 10% point, [deg]C............ ASTM D 86-97...... 48.9--57.2
3. 50% point, [deg]C............ ASTM D 86-97...... 93.3--110.0
4. 90% point, [deg]C............ ASTM D 86-97...... 148.9--162.8
5. End point, [deg]C............ ASTM D 86-97...... 212.8
---------------------------------
Hydrocarbon composition:
------------------------------------------------------------------------
1. Olefins, volume %............ ASTM D 1319-98.... 10 maximum
2. Aromatics, volume %.......... ASTM D 1319-98.... 35 maximum
3. Saturates.................... ASTM D 1319-98.... Remainder
Lead (organic), g/liter......... ASTM D 3237....... 0.013 maximum
Phosphorous, g/liter............ ASTM D 3231....... 0.0013 maximum
Sulfur, weight %................ ASTM D 1266....... 0.008 maximum
Volatility (Reid Vapor ASTM D 323........ 55.2 to 63.4 \1\
Pressure), kPa.
------------------------------------------------------------------------
\1\ For testing at altitudes above 1,219 m, the specified volatility
range is 52 to 55 kPa and the specified initial boiling point range is
(23.9 to 40.6) [deg]C.

* * * * *

? 31. Section 86.884-8 is amended by revising paragraph (c) introductory
text to read as follows:

Sec. 86.884-8 Dynamometer and engine equipment.

* * * * *
(c) An exhaust system with an appropriate type of smokemeter placed
no more than 32 feet from the exhaust manifold(s), turbocharger
outlet(s), exhaust aftertreatment device(s), or crossover junction (on
Vee engines), whichever is farthest downstream. The smoke exhaust
system shall present an exhaust backpressure within ±0.2
inch Hg of the upper limit at maximum rated horsepower, as established
by the engine manufacturer in his sales and service literature for
vehicle application. The following options may also be used:
* * * * *

? 32. Section 86.884-10 is amended by revising paragraph (a) introductory
text to read as follows:

Sec. 86.884-10 Information.

* * * * *
(a) Engine description and specifications. A copy of the
information specified in this paragraph must accompany each engine sent
to the Administrator for compliance testing. If the engine is submitted
to the Administrator for testing under subpart N of this part or 40 CFR
part 1065, only the specified information need accompany the engine.
The manufacturer need not record the information specified in this
paragraph for each test if the information, with the exception of
paragraphs (a)(3), (a)(12), and (a)(13) of this section, is included in
the manufacturer's part I.
* * * * *

? 33. Section 86.884-12 is amended by revising paragraph (c)(2) to read
as follows:

Sec. 86.884-12 Test run.

* * * * *
(c) * * *
(2) Warm up the engine by the procedure described in 40 CFR 1065.530.
* * * * *

? 34. Section 86.1005-90 is amended by revising paragraphs (a)(1)(i),
(a)(1)(ii), (a)(2)(vi)(A), and (a)(2)(vi)(B) to read as follows:

Sec. 86.1005-90 Maintenance of records; submittal of information.

(a) * * *
(1) * * *
(i) If testing heavy-duty gasoline-fueled or methanol-fueled Otto-
cycle engines, the equipment requirements specified in 40 CFR part
1065, subparts B and C;
(ii) If testing heavy-duty petroleum-fueled or methanol-fueled
diesel engines, the equipment requirements specified in 40 CFR part
1065, subparts B and C;
* * * * *
(2) * * *
(vi) * * *
(A) If testing gasoline-fueled or methanol-fueled Otto-cycle heavy-
duty engines, the record requirements specified in 40 CFR 1065.695;
(B) If testing petroleum-fueled or methanol-fueled diesel heavy-
duty engines, the record requirements specified in 40 CFR 1065.695;
* * * * *

? 35. Section 86.1108-87 is amended by revising paragraphs (a)(1)(i),
(a)(1)(ii), (a)(2)(vi)(A), and (a)(2)(vi)(B) to read as follows:

Sec. 86.1108-87 Maintenance of records.

(a) * * *
(1) * * *
(i) If testing heavy-duty gasoline engines, the equipment
requirements specified in 40 CFR part 1065, subparts B and C;
(ii) If testing heavy-duty diesel engines, the equipment
requirements specified in 40 CFR part 1065, subparts B and C;
* * * * *
(2) * * *
(vi) * * *
(A) If testing heavy-duty gasoline engines, the record requirements
specified in 40 CFR 1065.695;
(B) If testing heavy-duty diesel engines, the record requirements
specified in 40 CFR 1065.695;
* * * * *

? 36. A new Sec. 86.1213-08 is added to read as follows:

[[Page 40438]]

Sec. 86.1213-08 Fuel specifications.

The test fuels listed in 40 CFR part 1065, subpart H, shall be used
for evaporative emission testing.

? 37. Section 86.1301-90 is redesignated as Sec. 86.1301 and revised to
read as follows:

Sec. 86.1301 Scope; applicability.

This subpart specifies gaseous emission test procedures for Otto-
cycle and diesel heavy-duty engines, and particulate emission test
procedures for diesel heavy-duty engines, as follows:
(a) For model years 1990 through 2003, manufacturers must use the
test procedures specified in Sec. 86.1305-90.
(b) For model years 2004 through 2009, manufacturers may use the
test procedures specified in Sec. 86.1305-2004 or Sec. 86.1305-2010.
For any EPA testing before the 2010 model year, EPA will use the
manufacturer's selected procedures for mapping engines, generating duty
cycles, and applying cycle-validation criteria. For any other parameters,
EPA may conduct testing using either of the specified procedures.
(c) For model years 2010 and later, manufacturers must use the test
procedures specified in Sec. 86.1305-2010.
(d) As allowed under subpart A of this part, manufacturers may use
carryover data from previous model years to demonstrate compliance with
emission standards, without regard to the provisions of this section.

? 38. Section 86.1304-90 is redesignated as Sec. 86.1304 and amended by
revising paragraph (a) to read as follows:

Sec. 86.1304 Section numbering; construction.

(a) Section numbering. The model year of initial applicability is
indicated by the section number. The digits following the hyphen
designate the first model year for which a section is applicable. The
section continues to apply to subsequent model years unless a later
model year section is adopted. (Example: Sec. 86.13xx-2004 applies to
the 2004 and subsequent model years. If a Sec. 86.13xx-2007 is
promulgated it would apply beginning with the 2007 model year; Sec.
86.13xx-2004 would apply to model years 2004 through 2006.)
* * * * *

? 39. A new Sec. 86.1305-2010 is added to read as follows:

Sec. 86.1305-2010 Introduction; structure of subpart.

(a) This subpart specifies the equipment and procedures for
performing exhaust-emission tests on Otto-cycle and diesel-cycle heavy-
duty engines. Subpart A of this part sets forth the emission standards
and general testing requirements to comply with EPA certification
procedures.
(b) Use the applicable equipment and procedures for spark-ignition
or compression-ignition engines in 40 CFR part 1065 to determine
whether engines meet the duty-cycle emission standards in subpart A of
this part. Measure the emissions of all regulated pollutants as
specified in 40 CFR part 1065. Use the duty cycles and procedures
specified in Sec. 86.1333-2007, Sec. 86.1360-2007, and Sec. 86.1362-
2007. Adjust emission results from engines using aftertreatment
technology with infrequent regeneration events as described in Sec.
86.004-28.
(c) The provisions in Sec. 86.1370-2007 and Sec. 86.1372-2007
apply for determining whether an engine meets the applicable not-to-
exceed emission standards.
(d) Measure smoke using the procedures in subpart I of this part
for evaluating whether engines meet the smoke standards in subpart A of
this part.
(e) Use the fuels specified in 40 CFR part 1065 to perform valid
tests, as follows:
(1) For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use engines
will use.
(2) For diesel-fueled engines, use the ultra low-sulfur diesel fuel
specified in 40 CFR part 1065 for emission testing.
(f) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
(g) This subpart applies to you as a manufacturer, and to anyone
who does testing for you.

? 40. Section 86.1321-90 is amended by revising paragraph (a)(3)(ii) to
read as follows:

Sec. 86.1321-90 Hydrocarbon analyzer calibration.

* * * * *
(a) * * *
(3) * * *
(ii) The HFID optimization procedures outlined in Sec. 86.331-79(c).
* * * * *

? 41. Section 86.1321-94 is amended by revising paragraph (a)(3)(ii) to
read as follows:

Sec. 86.1321-94 Hydrocarbon analyzer calibration.

* * * * *
(a) * * *
(3) * * *
(ii) The procedure listed in Sec. 86.331-79(c).
* * * * *

? 42. A new Sec. 86.1333-2010 is added to read as follows:

Sec. 86.1333-2010 Transient test cycle generation.

(a) Generating transient test cycles. The heavy-duty transient
engine cycles for Otto-cycle and diesel engines are listed in Appendix
I((f) (1), (2) and (3)) to this part. These second-by-second listings
represent torque and rpm maneuvers characteristic of heavy-duty
engines. Both rpm and torque are normalized (expressed as a percentage
of maximum) in these listings.
(1) To unnormalize rpm, use the following equations:
(i) For diesel engines:
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.001

Where:

MaxTestSpeed = the maximum test speed as calculated in 40 CFR part 1065.
(ii) For Otto-cycle engines:
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.002

Where:

MaxTestSpeed = the maximum test speed as calculated in 40 CFR part 1065.
(2) Torque is normalized to the maximum torque at the rpm listed
with it. Therefore, to unnormalize the torque values in the cycle, the
maximum torque curve for the engine in question must be used. The
generation of the

[[Page 40439]]

maximum torque curve is described in 40 CFR part 1065.
(b) Example of the unnormalization procedure. Unnormalize the
following test point, given Maximum Test speed = 3800 rpm and Curb Idle
Speed = 600 rpm.
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.003

(1) Calculate actual rpm:
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.004

(2) Determine actual torque: Determine the maximum observed torque
at 1829 rpm from the maximum torque curve. Then multiply this value
(e.g., 358 ft-lbs) by 0.82. This results in an actual torque of 294 ft-lbs.
(c) Clutch operation. Manual transmission engines may be tested
with a clutch. If used, the clutch shall be disengaged at all zero
percent speeds, zero percent torque points, but may be engaged up to
two points preceding a non-zero point, and may be engaged for time
segments with zero percent speed and torque points of durations less
than four seconds. (See 40 CFR 1065.514 for allowances in the cycle
validation criteria.)

? 43. Section 86.1360-2007 is amended by revising paragraph (b), removing
and reserving paragraphs (c) and (e), and removing paragraphs (h) and
(i) to read as follows:

Sec. 86.1360-2007 Supplemental emission test; test cycle and procedures.

* * * * *
(b) Test cycle. (1) Perform testing as described in Sec. 86.1362-
2007 for determining whether an engine meets the applicable standards
when measured over the supplemental emission test.
(2) For engines not certified to a NO_X standard or FEL
less than 1.5 g/bhp-hr, EPA may select, and require the manufacturer to
conduct the test using, up to three discrete test points within the
control area defined in paragraph (d) of this section. EPA will notify
the manufacturer of these supplemental test points in writing in a
timely manner before the test. Emission sampling for these discrete
test modes must include all regulated pollutants except particulate matter.
* * * * *
? 44. A new Sec. 86.1362-2007 is added to read as follows:

Sec. 86.1362-2007 Steady-state testing with a ramped-modal cycle.

This section describes how to test engines under steady-state
conditions. Manufacturers may alternatively use the procedures
specified in Sec. 86.1363-2007 through the 2009 model year.
(a) Start sampling at the beginning of the first mode and continue
sampling until the end of the last mode. Calculate emissions as
described in 40 CFR 1065.650 and cycle statistics as described in 40
CFR 1065.514.
(b) Measure emissions by testing the engine on a dynamometer with
the following ramped-modal duty cycle to determine whether it meets the
applicable steady-state emission standards:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed1,2 Torque (percent)2,3
----------------------------------------------------------------------------------------------------------------
1a Steady-state........................ 170 Warm Idle.................. 0
1b Transition.......................... 20 Linear Transition.......... Linear Transition
2a Steady-state........................ 170 A.......................... 100
2b Transition.......................... 20 A.......................... Linear Transition
3a Steady-state........................ 102 A.......................... 25
3b Transition.......................... 20 A.......................... Linear Transition
4a Steady-state........................ 100 A.......................... 75
4b Transition.......................... 20 A.......................... Linear Transition
5a Steady-state........................ 103 A.......................... 50
5b Transition.......................... 20 Linear Transition.......... Linear Transition
6a Steady-state........................ 194 B.......................... 100
6b Transition.......................... 20 B.......................... Linear Transition
7a Steady-state........................ 219 B.......................... 25
7b Transition.......................... 20 B.......................... Linear Transition
8a Steady-state........................ 220 B.......................... 75
8b Transition.......................... 20 B.......................... Linear Transition
9a Steady-state........................ 219 B.......................... 50
9b Transition.......................... 20 Linear Transition.......... Linear Transition
10a Steady-state....................... 171 C.......................... 100
10b Transition......................... 20 C.......................... Linear Transition
11a Steady-state....................... 102 C.......................... 25
11b Transition......................... 20 C.......................... Linear Transition
12a Steady-state....................... 100 C.......................... 75
12b Transition......................... 20 C.......................... Linear Transition
13a Steady-state....................... 102 C.......................... 50
13b Transition......................... 20 Linear Transition.......... Linear Transition
14 Steady-state........................ 168 Warm Idle.................. 0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the speed or torque setting of the current mode to the speed or torque setting of
the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.

[[Page 40440]]

(c) During idle mode, operate the engine with the following parameters:
(1) Hold the speed within your specifications.
(2) Set the engine to operate at its minimum fueling rate.
(3) Keep engine torque under 5 percent of maximum test torque.
(d) For full-load operating modes, operate the engine at its
maximum fueling rate.
(e) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.
(f) Perform the ramped-modal test with a warmed-up engine. If the
ramped-modal test follows directly after testing over the Federal Test
Procedure, consider the engine warm. Otherwise, operate the engine to
warm it up as described in 40 CFR part 1065, subpart F.

? 45. A new Sec. 86.1363-2007 is added to read as follows:

Sec. 86.1363-2007 Steady-state testing with a discrete-mode cycle.

This section describes an alternate procedure for steady-state
testing that manufacturers may use through the 2009 model year.
(a) Use the following 13-mode cycle in dynamometer operation on the
test engine:

----------------------------------------------------------------------------------------------------------------
Percent Weighting Mode length (minutes)
Mode number Engine speed \1\ load \2\ factors \3\
----------------------------------------------------------------------------------------------------------------
1.................................... Idle.................... ......... 0.15 4
2.................................... A....................... 100 0.08 2
3.................................... B....................... 50 0.10 2
4.................................... B....................... 75 0.10 2
5.................................... A....................... 50 0.05 2
6.................................... A....................... 75 0.05 2
7.................................... A....................... 25 0.05 2
8.................................... B....................... 100 0.09 2
9.................................... B....................... 25 0.10 2
10................................... C....................... 100 0.08 2
11................................... C....................... 25 0.05 2
12................................... C....................... 75 0.05 2
13................................... C....................... 50 0.05 2
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.

(b) Prior to beginning the test sequence, the engine must be
warmed-up according to the procedures in Sec. 86.1332-90(d)(3)(i)
through (iv).
(c) The test must be performed in the order of the mode numbers in
paragraph (a) of this section. Where applicable, the EPA-selected test
points identified under Sec. 86.1360-2007(b)(2) must be performed
immediately upon completion of mode 13. The engine must be operated for
the prescribed time in each mode, completing engine speed and load
changes in the first 20 seconds of each mode. The specified speed must
be held to within±50 rpm and the specified torque must be
held to within plus or minus two percent of the maximum torque at the
test speed.
(d) One filter shall be used for sampling PM over the 13-mode test
procedure. The modal weighting factors specified in paragraph (a) of
this section shall be taken into account by taking a sample
proportional to the exhaust mass flow during each individual mode of
the cycle. This can be achieved by adjusting sample flow rate, sampling
time, and/or dilution ratio, accordingly, so that the criterion for the
effective weighting factors is met. The sampling time per mode must be
at least 4 seconds per 0.01 weighting factor. Sampling must be
conducted as late as possible within each mode. Particulate sampling
shall be completed no earlier than 5 seconds before the end of each mode.
(e) The test must be conducted with all emission-related engine
control variables in the highest brake-specific NO_X
emissions state which could be encountered for a 30 second or longer
averaging period at the given test point and for the conditions under
which the engine is being tested.
(f) Manufacturers must follow the exhaust emissions sample analysis
procedures under Sec. 86.1340, and the calculation formulas and
procedures under Sec. 86.1342, for the 13-mode cycle and the 3 EPA-
selected test points as applicable for steady-state testing, including
the NO_X correction factor for humidity.
(g) Calculate the weighted average emissions as follows:
(1) For each regulated gaseous pollutant, calculate the weighted
average emissions using the following equation:
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.005

Where:

A_WA = Weighted average emissions for each regulated gaseous
pollutant, in grams per brake horse-power hour.
A_M = Modal average mass emissions level, in grams per hour.
Mass emissions must be calculated as described in Sec. 86.1342.
A_P = Modal average power, in brake horse-power. Any power
measured during the idle mode (mode 1) is not included in this
calculation.
W_F = Weighting factor corresponding to each mode of the
steady-state test cycle, as defined in paragraph (a) of this section.
i = The modes of the steady-state test cycle defined in paragraph (a)
of this section.
n = 13, corresponding to the 13 modes of the steady-state test cycle
defined in paragraph (a) of this section.

(2) For PM measurements, a single filter must be used to measure PM
over the 13 modes. The brake-specific PM emission level for the test
must be calculated as described for a transient hot start test in Sec.
86.1343. Only the power measured during the sampling period shall be
used in the calculation.
(h) The test fuel used for supplemental steady-state testing under
this section must meet the requirements of Sec. 86.1313.
(i) Ambient conditions, charge cooling specifications, and intake
and exhaust restrictions for supplemental steady-state testing and
maximum allowable emission limit testing under this section must meet
the requirements of Sec. 86.1330.

[[Page 40441]]

?
46. Section 86.1370-2007 is amended by revising paragraph (a) to read
as follows:

Sec. 86.1370-2007 Not-To-Exceed test procedures.

(a) General. The purpose of this test procedure is to measure in-
use emissions of heavy-duty diesel engines while operating within a
broad range of speed and load points (the Not-To-Exceed Control Area)
and under conditions which can reasonably be expected to be encountered
in normal vehicle operation and use. Emission results from this test
procedure are to be compared to the Not-To-Exceed Limits specified in
Sec. 86.007-11(a)(4), or to later Not-To-Exceed Limits. The Not-To-
Exceed Limits do not apply for engine-starting conditions. Tests
conducted using the procedures specified in Sec. 86.1301 are
considered valid Not-To-Exceed tests (Note: duty cycles and limits on
ambient conditions do not apply for Not-To-Exceed tests).

? 47. Section 86.1509-84 is amended by revising paragraphs (c) and (d) to
read as follows:

Sec. 86.1509-84 Exhaust gas sampling system.

* * * * *
(c) A CVS sampling system with bag or continuous analysis as
specified in 40 CFR part 1065 is permitted as applicable. The inclusion
of an additional raw carbon dioxide (CO₂) analyzer as
specified in 40 CFR part 1065 is required if the CVS system is used, in
order to accurately determine the CVS dilution factor. The heated
sample line specified in 40CFR part 1065 for raw emission requirements
is not required for the raw (CO₂) measurement.
(d) A raw exhaust sampling system as specified in 40 CFR part 1065
is permitted.

? 48. Section 86.1511-84 is amended by revising paragraphs (a)(1) and (b)
to read as follows:

Sec. 86.1511-84 Exhaust gas analysis system.

(a) * * *
(1) The analyzer used shall conform to the accuracy provisions of
40 CFR part 1065, subparts C, D, and F.
* * * * *
(b) The inclusion of a raw CO₂ analyzer as specified in
40 CFR part 1065 is required in order to accurately determine the CVS
dilution factor.

? 49. Section 86.1513-90 is revised to read as follows:

Sec. 86.1513-90 Fuel specifications.

The requirements of this section are set forth in Sec. 86.1313-94
for heavy-duty engines, and in Sec. 86.113-90(a) for light-duty trucks.

? 50. Section 86.1513-94 is revised to read as follows:

Sec. 86.1513-94 Fuel specifications.

The requirements of this section are set forth in 40 CFR part 1065,
subpart H, for heavy-duty engines and in Sec. 86.113-94 for light-duty
trucks.

? 51. Section 86.1514-84 is amended by revising paragraphs (b) and (c) to
read as follows:

Sec. 86.1514-84 Analytical gases.

* * * * *
(b) If the raw CO sampling system specified in 40 CFR part 1065 is
used, the analytical gases specified in 40 CFR part 1065, subpart H,
shall be used.
(c) If a CVS sampling system is used, the analytical gases
specified in 40 CFR part 1065, subpart H, shall be used.

? 52. Section 86.1519-84 is revised to read as follows:

Sec. 86.1519-84 CVS calibration.

If the CVS system is used for sampling during the idle emission
test, the calibration instructions are specified in 40 CFR part 1065,
subpart D, for heavy-duty engines, and Sec. 86.119-78 for light-duty
trucks.

? 53. Section 86.1524-84 is revised to read as follows:

Sec. 86.1524-84 Carbon dioxide analyzer calibration.

(a) The calibration requirements for the dilute-sample
CO₂ analyzer are specified in 40 CFR part 1065, subpart D,
for heavy-duty engines and Sec. 86.124-78 for light-duty trucks.
(b) The calibration requirements for the raw CO₂
analyzer are specified in 40 CFR part 1065, subpart D.

? 54. Section 86.1530-84 is amended by revising paragraph (b) to read as
follows:

Sec. 86.1530-84 Test sequence; general requirements.

* * * * *
(b) Ambient test cell conditions during the test shall be those
specified in Sec. 86.130-78 or 40 CFR part 1065, subpart F.

? 55. Section 86.1537-84 is amended by revising paragraphs (c), (e)(6),
and (f) to read as follows:

Sec. 86.1537-84 Idle test run.

* * * * *
(c) Achieve normal engine operating condition. The transient engine
or chassis dynamometer test is an acceptable technique for warm-up to
normal operating condition for the idle test. If the emission test is
not performed prior to the idle emission test, a heavy-duty engine may
be warmed up according to 40 CFR part 1065, subpart F. A light-duty
truck may be warmed up by operation through one Urban Dynamometer
Driving Schedule test procedure (see Sec. 86.115-78 and appendix I to
this part).
* * * * *
(e) * * *
(6) For bag sampling, sample idle emissions long enough to obtain a
sufficient bag sample, but in no case shorter than 60 seconds nor
longer than 6 minutes. Follow the sampling and exhaust measurements
requirements of 40 CFR part 1065, subpart F, for conducting the raw
CO₂ measurement.
* * * * *
(f) If the raw exhaust sampling and analysis technique specified in
40 CFR part 1065 is used, the following procedures apply:
(1) Warm up the engine or vehicle per paragraphs (c) and (d) of
this section. Operate the engine or vehicle at the conditions specified
in paragraph (e)(4) of this section.
(2) Follow the sampling and exhaust measurement requirements of 40
CFR part 1065, subpart F. The idle sample shall be taken for 60 seconds
minimum, and no more than 64 seconds. The chart reading procedures of
40 CFR part 1065, subpart F, shall be used to determine the analyzer
response.
* * * * *

? 56. Section 86.1540-84 is amended by revising paragraphs (b) and (c) to
read as follows:

Sec. 86.1540-84 Idle exhaust sample analysis.

* * * * *
(b) If the CVS sampling system is used, the analysis procedures for
dilute CO and CO₂ specified in 40 CFR part 1065 apply.
Follow the raw CO₂ analysis procedure specified in 40 CFR
part 1065, subpart F, for the raw CO₂ analyzer.
(c) If the continuous raw exhaust sampling technique specified in
40 CFR part 1065 is used, the analysis procedures for CO specified in
40 CFR part 1065, subpart F, apply.

? 57. Section 86.1542-84 is amended by revising paragraph (a)
introductory text to read as follows:

Sec. 86.1542-84 Information required.

(a) General data--heavy-duty engines. Information shall be recorded
for each idle emission test as specified in 40 CFR part 1065, subpart
G. The following test data are required:
* * * * *

? 58. Section 86.1544-84 is amended by revising paragraphs (b)(1),
(b)(2), and (c) to read as follows:

[[Page 40442]]

Sec. 86.1544-84 Calculation; idle exhaust emissions.

* * * * *
(b) * * *
(1) Use the procedures, as applicable, in 40 CFR 1065.650 to
determine the dilute wet-basis CO and CO₂ in percent.
(2) Use the procedure, as applicable, in 40 CFR 1065.650 to
determine the raw dry-basis CO₂ in percent.
* * * * *
(c) If the raw exhaust sampling and analysis system specified in 40
CFR part 1065 is used, the percent for carbon monoxide on a dry basis
shall be calculated using the procedure, as applicable, in 40 CFR 1065.650.
* * * * *

? 59. Section 86.1708-99 is amended by revising Tables R99-5 and R99-6 to
read as follows:

Sec. 86.1708-99 Exhaust emission standards for 1999 and later light-
duty vehicles.

* * * * *
(c) * * *
(2) * * *

Table R99-5.--Intermediate Useful Life (50,000 mile) In-Use Standards (g/mi) for Light-Duty Vehicles
----------------------------------------------------------------------------------------------------------------
Vehicle emission category Model year NMOG CO NOX HCHO
----------------------------------------------------------------------------------------------------------------
LEV................................................................ 1999 0.100 3.4 0.3 0.015
ULEV............................................................... 1999-2002 0.055 2.1 0.3 0.008
----------------------------------------------------------------------------------------------------------------

Table R99-6.--Full Useful Life (100,000 mile) In-Use Standards (g/mi) for Light-Duty Vehicles
----------------------------------------------------------------------------------------------------------------
Vehicle emission category Model year NMOG CO NOX HCHO
----------------------------------------------------------------------------------------------------------------
LEV................................................................ 1999 0.125 4.2 0.4 0.018
ULEV............................................................... 1999-2002 0.075 3.4 0.4 0.011
----------------------------------------------------------------------------------------------------------------

* * * * *
? 60. Section 86.1709-99 is amended by revising paragraph (c)(1)
introductory text and by revising Table R99-14.2, to read as follows:

Sec. 86.1709-99 Exhaust emission standards for 1999 and later light
light-duty trucks.

* * * * *
(c) * * *
(1) 1999 model year light light-duty trucks certified as LEVs and
1999 through 2002 model year light light-duty trucks certified as ULEVs
shall meet the applicable intermediate and full useful life in-use
standards in paragraph (c)(2) of this section, according to the
following provisions:
* * * * *
(e) * * *
(2) * * *

Table R99-14.2.--SFTP Exhaust Emission Standards (g/mi) for LEVs and ULEVs
----------------------------------------------------------------------------------------------------------------
US06 Test A/C Test
----------------------------------------------------------------------------------------------------------------
Loaded vehicle weight (lbs) MNHC + NOX CO NMHC + NOX CO
----------------------------------------------------------------------------------------------------------------
0-3750.......................................................... 0.14 8.0 0.20 2.7
3751-5750....................................................... 0.25 10.5 0.27 3.5
----------------------------------------------------------------------------------------------------------------

* * * * *

? 61. Section 86.1710-99 is amended by revising paragraph (c)(8)
introductory text to read as follows:

Sec. 86.1710-99 Fleet average non-methane organic gas exhaust
emission standards for light-duty vehicles and light light-duty trucks.

* * * * *
(c) * * *
(8) Manufacturers may earn and bank credits in the NTR for model
years 1997 and 1998. In states without a Section 177 Program effective
in model year 1997 or 1998, such credits will be calculated as set
forth in paragraphs (a) and (b) of this section, except that the
applicable fleet average NMOG standard shall be 0.25 g/mi NMOG for the
averaging set for light light-duty trucks from 0-3750 lbs LVW and
light-duty vehicles or 0.32 g/mi NMOG for the averaging set for light
light-duty trucks from 3751-5750 lbs LVW. In states that opt into
National LEV and have a Section 177Program effective in model year 1997
or 1998, such credits will equal the unused credits earned in those states.
* * * * *

? 62. Section 86.1711-99 is amended by revising the section heading and
paragraph (a) to read as follows:

Sec. 86.1711-99 Limitations on sale of Tier 1 vehicles and TLEVs.

(a) In the 2001 and subsequent model years, manufacturers may sell
Tier 1 vehicles and TLEVs in the NTR only if vehicles with the same
engine families are certified and offered for sale in California in the
same model year, except as provided under Sec. 86.1707(d)(4).
* * * * *

? 63. Section 86.1807-07 is amended by revising paragraph (h) to read as
follows:

Sec. 86.1807-07 Vehicle labeling.

* * * * *
(h) Vehicles powered by model year 2007 and later diesel-fueled
engines and other diesel vehicles certified using a test fuel with 15
ppm sulfur or less, must include permanent readily visible labels on
the dashboard (or instrument panel) and near all fuel inlets that state
``Use Ultra Low Sulfur Diesel Fuel Only'' or ``Ultra Low Sulfur Diesel
Fuel Only''.

? 64. Section 86.1808-01 is amended by revising paragraph (f)(19)(iii) to
read as follows:

[[Page 40443]]

Sec. 86.1808-01 Maintenance instructions.

* * * * *
(f) * * *
(19) * * *
(iii) Any person who violates a provision of this paragraph (f)
shall be subject to a civil penalty of not more than $32,500 per day
for each violation. This maximum penalty is shown for calendar year
2004. Maximum penalty limits for later years may be set higher based on
the Consumer Price Index, as specified in 40 CFR part 19. In addition,
such person shall be liable for all other remedies set forth in Title
II of the Clean Air Act, remedies pertaining to provisions of Title II
of the Clean Air Act, or other applicable provisions of law.

? 65. Section 86.1808-07 is amended by revising paragraph (g) to read as
follows:

Sec. 86.1808-07 Maintenance instructions.

* * * * *
(g) For each new diesel-fueled Tier 2 vehicle (certified using a
test fuel with 15 ppm sulfur or less), the manufacturer shall furnish
or cause to be furnished to the purchaser a statement that ``This
vehicle must be operated only with ultra low sulfur diesel fuel (that
is, diesel fuel meeting EPA specifications for highway diesel fuel,
including a 15 ppm sulfur cap).''.

? 66. Section 86.1811-04 is amended by revising Table S04-2 in paragraph
(c)(6) to read as follows:

Sec. 86.1811-04 Emission standards for light-duty vehicles, light-
duty trucks and medium-duty passenger vehicles.

* * * * *
(c) * * *
(6) * * *

Table S04-2.--Tier 2 and Interim Non-Tier 2 Intermediate Useful Life (50,000 mile) Exhaust Mass Emission Standards (grams per mile)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Bin No. NOX NMOG CO HCHO PM Notes
--------------------------------------------------------------------------------------------------------------------------------------------------------
11........................................ 0.6 0.195 5.0 0.022 .............. \a\ \c\ \f\ \h\
10........................................ 0.4 0.125/0.160 3.4/4.4 0.015/0.018 .............. \a\ \b\ \d\ \f\ \g\ \h\
9......................................... 0.2 0.075/0.140 3.4 0.015 .............. \a\ \b\ \e\ \f\ \g\ \h\
8......................................... 0.14 0.100/0.125 3.4 0.015 .............. \b\ \f\ \h\ \i\
7......................................... 0.11 0.075 3.4 0.015 .............. \f\ \h\
6......................................... 0.08 0.075 3.4 0.015 .............. \f\ \h\
5......................................... 0.05 0.075 3.4 0.015 .............. \f\ \h\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\a\ This bin deleted at end of 2006 model year (end of 2008 model year for HLDTs and MDPVs ).
\b\ Higher NMOG, CO and HCHO values apply for HLDTs and MDPVs only.
\c\ This bin is only for MDPVs.
\d\ Optional NMOG standard of 0.195 g/mi applies for qualifying LDT4s and qualifying MDPVs only.
\e\ Optional NMOG standard of 0.100 g/mi applies for qualifying LDT2s only.
\f\ The full useful life PM standards from Table S04-1 also apply at intermediate useful life.
\g\ Intermediate life standards of this bin are optional for diesels.
\h\ Intermediate life standards are optional for vehicles certified to a useful life of 150,000 miles.
\i\ Higher NMOG standard deleted at end of 2008 model year.

* * * * *

? 67. Section 86.1816-08 is amended by revising paragraph (j)(2) to read
as follows:

Sec. 86.1816-08 Emission standards for complete heavy-duty vehicles.

* * * * *
(j) * * *
(2) The in-use adjustments are:
(i) 0.1 g/mi for NO_X.
(ii) 0.100 g/mi NMHC.
(iii) 0.01 g/mi for PM.

? 68. Section 86.1834-01 is amended by revising paragraph (b)(4)
introductory text,(b)(6)(ii) introductory text, and (b)(6)(ii)(D) to
read as follows:

Sec. 86.1834-01 Allowable maintenance.

* * * * *
(b) * * *
(4) For diesel-cycle light-duty vehicles and light-duty trucks,
emission-related maintenance in addition to, or at shorter intervals
than the following will not be accepted as technologically necessary,
except as provided in paragraph (b)(7) of this section:
* * * * *
(6) * * *
(ii) All critical emission-related scheduled maintenance must have
a reasonable likelihood of being performed in use. The manufacturer
shall be required to show the reasonable likelihood of such maintenance
being performed in use, and such showing shall be made prior to the
performance of the maintenance on the durability data vehicle. Critical
emission-related scheduled maintenance items which satisfy one of the
following conditions will be accepted as having a reasonable likelihood
of the maintenance item being performed in use:
* * * * *
(D) A manufacturer may desire to demonstrate through a survey that
a critical maintenance item is likely to be performed without a visible
signal on a maintenance item for which there is no prior in-use
experience without the signal. To that end, the manufacturer may in a
given model year market up to 200 randomly selected vehicles per
critical emission-related maintenance item without such visible
signals, and monitor the performance of the critical maintenance item
by the owners to show compliance with paragraph(b)(6)(ii)(B) of this
section. This option is restricted to two consecutive model years and
may not be repeated until any previous survey has been completed.
If the critical maintenance involves more than one test group, the
sample will be sales weighted to ensure that it is representative of
all the groups in question.
* * * * *
? 69. In Appendix I to Part 86, paragraph (a) is amended by revising the
table entries for ``961'' and ``1345'', paragraph (b) is amended by
revising the table entries for ``363,'' ``405,'' ``453,'' ``491,''
``577,'' ``662,'' ``663,'' ``664,'' and ``932'', and paragraph (h) is
amended by adding table entries for ``595,'' ``596,'' ``597,'' ``598,''
``599,'' and ``600'' in numerical order to read as follows:

Appendix I to Part 86--Urban Dynamometer Schedules

(a) EPA Urban Dynamometer Driving Schedule for Light-Duty
Vehicles and Light-Duty Trucks.

[[Page 40444]]

EPA Urban Dynamometer Driving Schedule
[Speed versus Time Sequence]
------------------------------------------------------------------------
Speed
Time (sec.) (m.p.h.)
------------------------------------------------------------------------

* * * * *
961..................................................... 5.3

* * * * *
1345.................................................... 18.3

* * * * *
------------------------------------------------------------------------

(b) EPA Urban Dynamometer Driving Schedule for Light-Duty
Vehicles, Light-Duty Trucks, and Motorcycles with engine
displacements equal to or greater than 170 cc (10.4 cu. in.).

Speed versus Time Sequence
------------------------------------------------------------------------
Speed
Time (seconds) (kilometers
per hour)
------------------------------------------------------------------------

* * * * *
363..................................................... 52.8

* * * * *
405..................................................... 14.8

* * * * *
453..................................................... 31.9

* * * * *
491..................................................... 55.5

* * * * *
577..................................................... 27.4

* * * * *
662..................................................... 42.0
663..................................................... 42.2
664..................................................... 42.2

* * * * *
932..................................................... 40.2

* * * * *
------------------------------------------------------------------------

* * * * *
(h) EPA SC03 Driving Schedule for Light-Duty Vehicles and Light-
Duty Trucks.

EPA SC03 DRIVING SCHEDULE
[Speed versus Time Sequence]
------------------------------------------------------------------------
Time (sec) Speed (mph)
------------------------------------------------------------------------

* * * * *
595..................................................... 0.0
596..................................................... 0.0
597..................................................... 0.0
598..................................................... 0.0
599..................................................... 0.0
600..................................................... 0.0
------------------------------------------------------------------------

PART 89--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD
COMPRESSION-IGNITION ENGINES

? 70. The authority citation for part 89 is revised to read as follows:

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

? 71. Section 89.1 is amended by revising paragraph (b)(4)(ii) and adding
paragraph (c) to read as follows:

Sec. 89.1 Applicability.

* * * * *
(b) * * *
(4) * * *
(ii) Are exempted from the requirements of 40 CFR part 94 by
exemption provisions of 40 CFR part 94 other than those specified in 40
CFR 94.907 or 94.912.
* * * * *
(c) In certain cases, the regulations in this part 89 apply to
engines at or above 250 kW that would otherwise be covered by 40 CFR
part 1048. See 40 CFR 1048.620 for provisions related to this allowance.

? 72. Section 89.2 is amended by removing the definitions for ``Marine
diesel engine'' and ``Vessel'', revising the definition of ``United
States'', and adding definitions for ``Amphibious vehicle'', ``Marine
engine'', and ``Marine vessel'' to read as follows:

Sec. 89.2 Definitions.

? 73. Section 89.102 is amended by revising paragraph (d)(1)(i) to read
as follows:

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

* * * * *
(d) * * *
(1) * * *
(i) Equipment rated at or above 37 kW. For nonroad equipment and
vehicles with engines rated at or above 37 kW, a manufacturer may take
any of the actions identified in Sec. 89.1003(a)(1) for a portion of
its U.S.-directed production volume of such equipment and vehicles
during the seven years immediately following the date on which Tier 2
engine standards first apply to engines used in such equipment and
vehicles, provided that the seven-year sum of these portions in each
year, as expressed as a percentage for each year, does not exceed 80,
and provided that all such equipment and vehicles or equipment contain
Tier 1 or Tier 2 engines;
* * * * *

? 74. Section 89.110 is amended by revising paragraph (b)(2) to read as
follows:

Sec. 89.110 Emission control information label.

* * * * *
(b) * * *
(2) The full corporate name and trademark of the manufacturer;
though the label may identify another company and use its trademark
instead of the manufacturer's if the provisions of Sec. 89.1009 are met.
* * * * *

? 75. Section 89.112 is amended by revising paragraph (f)(3) to read as
follows:

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

* * * * *
(f) * * *
(3) Test procedures. NO_X, NMHC, and PM emissions are
measured using the procedures set forth in 40 CFR part 1065, in lieu of
the procedures set forth in subpartE of this part. CO emissions may be
measured using the procedures set forth either in 40 CFR part 1065 or
in subpart E of this part. Manufacturers may use an alternate procedure
to demonstrate the desired level of emission control if approved in
advance by the Administrator. Engines meeting the requirements to
qualify as Blue Sky

[[Page 40445]]

Series engines must be capable of maintaining a comparable level of
emission control when tested using the procedures set forth in
paragraph (c) of this section and subpart E of this part. The numerical
emission levels measured using the procedures from subpartE of this
part may be up to 20 percent higher than those measured using the
procedures from 40 CFR part 1065 and still be considered comparable.
* * * * *

? 76. Section 89.114 is amended by revising paragraph (b)(3) and adding
paragraph (b)(4) to read as follows:

Sec. 89.114 Special and alternate test procedures.

* * * * *
(b) * * *
(3) A manufacturer may elect to use the test procedures in 40 CFR
part 1065 as an alternate test procedure without advance approval by
the Administrator. The manufacturer must identify in its application
for certification that the engines were tested using the procedures in
40 CFR part 1065. For any EPA testing with Tier 2 orTier 3 engines, EPA
will use the manufacturer's selected procedures for mapping engines,
generating duty cycles, and applying cycle-validation criteria. For any
other parameters, EPA may conduct testing using either of the specified
procedures.
(4) Where we specify mandatory compliance with the procedures of 40
CFR part 1065, such as in Sec. 89.419, manufacturers may elect to use
the procedures specified in 40 CFR part 86, subpart N, as an alternate
test procedure without advance approval by the Administrator.

? 77. Section 89.130 is revised to read as follows:

Sec. 89.130 Rebuild practices.

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

? 78. Section 89.301 is amended by revising paragraph (d) to read as
follows:

Sec. 89.301 Scope; applicability.

* * * * *
(d) Additional information about system design, calibration
methodologies, and so forth, for raw gas sampling can be found in 40
CFR part 1065. Examples for system design, calibration methodologies,
and so forth, for dilute exhaust gas sampling can be found in 40 CFR
part 1065.

? 79. Section 89.319 is amended by revising paragraphs (b)(2)(ii) and (c)
introductory text to read as follows:

Sec. 89.319 Hydrocarbon analyzer calibration.

(b) * * *
(2) * * *
(ii) The HFID optimization procedures outlined in 40 CFR part 1065,
subpart D.
* * * * *
(c) Initial and periodic calibration. Prior to introduction into
service, after any maintenance which could alter calibration, and
monthly thereafter, the FID or HFID hydrocarbon analyzer shall be
calibrated on all normally used instrument ranges using the steps in
this paragraph (c). Use the same flow rate and pressures as when
analyzing samples. Calibration gases shall be introduced directly at
the analyzer, unless the ``overflow'' calibration option of 40 CFR part
1065, subpart F, for the HFID is taken. New calibration curves need not
be generated each month if the existing curve can be verified as
continuing to meet the requirements of paragraph (c)(3) of this section.
* * * * *

? 80. Section 89.320 is amended by revising paragraph (d) to read as
follows:

Sec. 89.320 Carbon monoxide analyzer calibration.

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

? 81. Section 89.321 is amended by revising paragraph (d) to read as
follows:

Sec. 89.321 Oxides of nitrogen analyzer calibration.

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

? 82. Section 89.322 is amended by revising paragraph (b) to read as
follows:

Sec. 89.322 Carbon dioxide analyzer calibration.

* * * * *
(b) The initial and periodic interference, system check, and
calibration test procedures specified in 40 CFR part 1065 may be used
in lieu of the procedures in this section.

? 83. Section 89.410 is amended by adding paragraph (e) to read as follows:

Sec. 89.410 Engine test cycle.

* * * * *
(e) Manufacturers may optionally use the ramped-modal duty cycles
corresponding to the discrete-mode duty cycles specified in this
section, as described in 40 CFR 1039.505.

? 84. Section 89.419 is amended by revising paragraphs (a) introductory
text, (a)(3)(i),(b)(1) introductory text, (b)(2)(i), (b)(2)(v)(B),
(b)(4)(ii), and (b)(4)(iii) to read as follows:

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

(a) General. The exhaust gas sampling system described in this
section is designed to measure the true mass of gaseous emissions in
the exhaust of petroleum-fueled nonroad compression-ignition engines.
This system utilizes the CVS concept (described in 40CFR part 1065,
subparts A and B) of measuring mass emissions of HC, CO, and
CO₂. A continuously integrated system is required for HC and
NO_X measurement and is allowed for all CO and CO₂
measurements. The mass of gaseous emissions is determined from the
sample concentration and total flow over the test period. As an option,
the measurement of total fuel mass consumed over a cycle may be
substituted for the exhaust measurement of CO₂. General
requirements are as follows:
* * * * *
(3) * * *
(i) Bag sampling (see 40 CFR part 1065) and analytical capabilities
(see 40 CFR part 1065), as shown in Figure 2 and Figure 3 in appendix A
to this subpart; or
* * * * *
(b) * * *
(1) Exhaust dilution system. The PDP-CVS shall conform to all of
the requirements listed for the exhaust gas PDP-CVS in 40 CFR part
1065. The CFV-CVS shall conform to all the requirements listed for the
exhaust gas CFV-CVS in 40 CFR part 1065. In addition, the CVS must
conform to the following requirements:
* * * * *
(2) * * *
(i) The continuous HC sample system (as shown in Figure 2 or 3 in
appendix A to this subpart) uses an ``overflow'' zero and span system.
In this type of system, excess zero or span gas spills out of the probe
when zero and span checks of the analyzer are made. The ``overflow''
system may also be used to calibrate the HC analyzer according to 40
CFR part 1065, subpart F, although this is not required.
* * * * *
(v) * * *
(B) Have a wall temperature of 191 [deg]C ±11 [deg]C
over its entire length. The temperature of the system shall be
demonstrated by profiling the thermal characteristics of the system
where possible at initial installation and after

[[Page 40446]]

any major maintenance performed on the system. The profiling shall be
accomplished using the insertion thermocouple probing technique. The
system temperature will be monitored continuously during testing at the
locations and temperature described in 40 CFR 1065.145.
* * * * *
(4) * * *
(ii) The continuous NO_X, CO, or CO₂ sampling
and analysis system shall conform to the specifications of 40 CFR
1065.145 with the following exceptions and revisions:
(A) The system components required to be heated by 40 CFR 1065.145
need only be heated to prevent water condensation, the minimum
component temperature shall be 55 [deg]C.
(B) The system response shall meet the specifications in 40 CFR
part 1065, subpart C.
(C) Alternative NO_X measurement techniques outlined in
40 CFR part 1065, subpart D, are not permitted for NO_X
measurement in this subpart.
(D) All analytical gases must conform to the specifications of
Sec. 89.312.
(E) Any range on a linear analyzer below 155 ppm must have and use
a calibration curve conforming to Sec. 89.310.
(iii) The chart deflections or voltage output of analyzers with
non-linear calibration curves shall be converted to concentration
values by the calibration curve(s) specified in Sec. 89.313 before
flow correction (if used) and subsequent integration takes place.

? 85. Section 89.421 is amended by revising paragraphs (b) and (c) to
read as follows:

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

* * * * *
(b) Major component description. The analytical system, Figure 4 in
appendix A to this subpart, consists of a flame ionization detector
(FID) (heated for petroleum-fueled compression-ignition engines to 191
[deg]C ±6 [deg]C) for the measurement of hydrocarbons,
nondispersive infrared analyzers (NDIR) for the measurement of carbon
monoxide and carbon dioxide, and a chemiluminescence detector (CLD) (or
HCLD) for the measurement of oxides of nitrogen. The exhaust gas
analytical system shall conform to the following requirements:
(1) The CLD (or HCLD) requires that the nitrogen dioxide present in
the sample be converted to nitric oxide before analysis. Other types of
analyzers may be used if shown to yield equivalent results and if
approved in advance by the Administrator.
(2) If CO instruments are used which are essentially free of
CO₂ and water vapor interference, the use of the
conditioning column may be deleted. (See 40 CFR part 1065, subpart D.)
(3) A CO instrument will be considered to be essentially free of
CO₂ and water vapor interference if its response to a
mixture of 3 percent CO₂ in N2, which has been bubbled
through water at room temperature, produces an equivalent CO response,
as measured on the most sensitive CO range, which is less than 1
percent of full scaleCO concentration on ranges above 300 ppm full
scale or less than 3 ppm on ranges below 300 ppm full scale. (See 40
CFR part 1065, subpart D.)
(c) Alternate analytical systems. Alternate analysis systems
meeting the specifications of 40 CFR part 1065, subpart A, may be used
for the testing required under this subpart. Heated analyzers may be
used in their heated configuration.
* * * * *

? 86. Section 89.424 is amended by revising the note at the end of
paragraph (d)(3) to read as follows:

Sec. 89.424 Dilute emission sampling calculations.

* * * * *
(d) * * *
(3) * * *
(Note: If a CO instrument that meets the criteria specified in 40
CFR part 1065, subpart C, is used without a sample dryer according to
40 CFR 1065.145, CO_em must be substituted directly for
CO_e and CO_dm must be substituted directly for
CO_d.)
* * * * *

? 87. Appendix A to Subpart F is amended by revising Table 1 to read as
follows:

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

Table 1.--Sampling Plan Code Letter
------------------------------------------------------------------------
Code
Annual engine family sales letter
------------------------------------------------------------------------
20-50.......................................................... AA 1
20-99.......................................................... A
100-299........................................................ B
300-499........................................................ C
500 or greater................................................. D
------------------------------------------------------------------------
1 A manufacturer may optionally use either the sampling plan for code
letter ``AA'' or sampling plan for code letter ``A'' for Selective
Enforcement Audits of engine families with annual sales between 20 and
50 engines. Additionally, the manufacturer may switch between these
plans during the audit.

* * * * *

? 88. Section 89.603 is amended by adding paragraph (e) to read as follows:

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

* * * * *
(e)(1) The applicable emission standards for engines imported by an
ICI under this subpart are the emission standards applicable to the
Original Production (OP) year of the engine.
(2) Where engine manufacturers have choices in emission standards
for one or more pollutants in a given model year, the standard that
applies to the ICI is the least stringent standard for that pollutant
applicable to the OP year for the appropriate power category.
(3) ICIs may not generate, use or trade emission credits or
otherwise participate in any way in the averaging, banking and trading
program.
(4) An ICI may import no more than a total of five engines under
this part for any given model year, except as allowed by paragraph
(e)(5) of this section. For ICIs owned by a parent company, the
importation limit includes importation by the parent company and all
its subsidiaries.
(5) An ICI may exceed the limit outlined in paragraph (e)(4) of
this section, provided that any engines in excess of the limit meet the
emission standards and other requirements outlined in the applicable
provisions of Part 89 or 1039 of this chapter for the model year in
which the engine is modified (instead of the emission standards and
other requirements applicable for the OP year of the vehicle/engine).

? 89. Section 89.611 is amended by revising paragraph (b)(1) to read as
follows:

Sec. 89.611 Exemptions and exclusions.

* * * * *
(b) * * *
(1) Exemption for repairs or alterations. A person may
conditionally import under bond a nonconforming engine solely for
purpose of repairs or alterations. The engine may not be operated in
the United States other than for the sole purpose of repair or
alteration or shipment to the point of repair or alteration and to the
port of export. It may not be sold or leased in the United States and
is to be exported upon completion of the repairs or alterations.
* * * * *

? 90. Section 89.612 is amended by revising paragraph (d) to read as follows:

Sec. 89.612 Prohibited acts; penalties.

* * * * *

[[Page 40447]]

(d) An importer who violates section 213(d) and section 203 of the
Act is subject to the provisions of section 209 of the Act and is also
subject to a civil penalty under section 205 of the Act of not more
than $32,500 for each nonroad engine subject to the violation.
In addition to the penalty provided in the Act, where applicable, a
person or entity who imports an engine under the exemption provisions
of Sec. 89.611(b) and, who fails to deliver the nonroad engine to the
U.S. Customs Service is liable for liquidated damages in the amount of
the bond required by applicable Customs laws and regulations. The
maximum penalty value listed in this paragraph (d) is shown for
calendar year 2004. Maximum penalty limits for later years may be
adjusted based on the Consumer Price Index. The specific regulatory
provisions for changing the maximum penalties, published in 40 CFR part
19, reference the applicable U.S. Code citation on which the prohibited
action is based.
* * * * *

? 91. A new Sec. 89.614 is added to subpart G to read as follows:

Sec. 89.614 Importation of partially complete engines.

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

? 92. A new Sec. 89.913 is added to subpart J to read as follows:

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

You may use the provisions of 40 CFR 1039.605 to introduce new
nonroad engines into commerce if they are already certified to the
requirements that apply to compression-ignition engines under 40 CFR
parts 85 and 86. However, when using the provisions of 40 CFR 1039.605,
references to this part 89 or sections in this part shall be used
instead of references to 40 CFR part 1039 or sections in that part.

? 93. A new Sec. 89.914 is added to subpart J to read as follows:

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

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

? 94. A new Sec. 89.915 is added to subpart J to read as follows:

Sec. 89.915 Staged-assembly exemption.

You may ask us to provide a temporary exemption to allow you to
complete production of your engines at different facilities, as long as
you maintain control of the engines until they are in their certified
configuration. We may require you to take specific steps to ensure that
such engines are in their certified configuration before reaching the
ultimate purchaser. You may request an exemption under this section in
your application for certification, or in a separate submission.

? 95. Section 89.1003 is amended by removing and reserving paragraphs
(b)(5) and (b)(6), redesignating (b)(7)(iv) as (b)(7)(vii), revising
paragraphs (a)(3)(iii), (b)(7)(ii), and(b)(7)(iii), and adding
paragraphs (b)(7)(iv) and (b)(7)(viii) to read as follows:

Sec. 89.1003 Prohibited acts.

(a) * * *
(3) * * *
(iii) For a person to deviate from the provisions of Sec. 89.130
when rebuilding an engine (or rebuilding a portion of an engine or
engine system). Such a deviation violates paragraph (a)(3)(i) of this
section.
* * * * *
(b) * * *
(7) * * *
(ii) The engine manufacturer or its agent takes ownership and
possession of the engine being replaced or confirms that the engine has
been destroyed; and
(iii) If the engine being replaced was not certified to any
emission standards under this part, the replacement engine must have a
permanent label with your corporate name and trademark and the
following language, or similar alternate language approved by the
Administrator: THIS ENGINE DOES NOT COMPLY WITH FEDERAL NONROAD OR ON-
HIGHWAY EMISSION REQUIREMENTS. SALE OR INSTALLATION OF THIS ENGINE FOR
ANY PURPOSE OTHER THAN AS A REPLACEMENT ENGINE FOR AN ENGINE
MANUFACTURED PRIOR TO JANUARY 1 [INSERT APPROPRIATE YEAR]
IS A
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(iv) If the engine being replaced was certified to emission
standards less stringent than those in effect when you produce the
replacement engine, the replacement engine must have a permanent label
with your corporate name and trademark and the following language, or
similar alternate language approved by the Administrator: THIS ENGINE
COMPLIES WITH U.S. EPA NONROAD EMISSIONREQUIREMENTS FOR [Insert
appropriate year reflecting when the Tier 1 or Tier 2 standards for the
replaced engine began to apply]
ENGINES UNDER 40 CFR 89.1003(b)(7).
SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO REPLACE
A NONROAD ENGINE BUILT BEFORE JANUARY 1, [Insert appropriate year
reflecting when the next tier of emission standards began to apply]
MAY
BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
* * * * *
(viii) The provisions of this section may not be used to circumvent
emission standards that apply to new engines under this part.

? 96. Section 89.1006 is amended by revising paragraphs (a)(1), (a)(2),
(a)(5), and (c)(1) and adding paragraph (a)(6) to read as follows:

Sec. 89.1006 Penalties.

(a) * * *
(1) A person who violates Sec. 89.1003(a)(1), (a)(4), or (a)(6),
or a manufacturer or dealer who violates Sec. 89.1003(a)(3)(i), is
subject to a civil penalty of not more than $32,500 for each violation.
(2) A person other than a manufacturer or dealer who violates Sec.
89.1003(a)(3)(i) or any person who violates Sec. 89.1003(a)(3)(ii) is
subject to a civil penalty of not more than $2,750 for each violation.
* * * * *
(5) A person who violates Sec. 89.1003(a)(2) or (a)(5) is subject
to a civil penalty of not more than $32,500 per day of violation.
(6) The maximum penalty values listed in this section are shown for
calendar year 2004. Maximum penalty limits for later years may be
adjusted based on the Consumer Price Index. The specific regulatory
provisions for changing the maximum penalties, published in 40 CFR part
19, reference the applicable U.S. Code citation on which the prohibited
action is based.
* * * * *
(c) * * *
(1) Administrative penalty authority. In lieu of commencing a civil
action under paragraph (b) of this section, the Administrator may
assess any civil penalty prescribed in paragraph (a) of this section,
except that the maximum amount of penalty sought against each violator
in a penalty assessment proceeding shall not exceed $270,000, unless
the Administrator and the Attorney General jointly determine that a
matter involving a larger penalty

[[Page 40448]]

amount is appropriate for administrative penalty assessment. Any such
determination by the Administrator and the Attorney General is not
subject to judicial review. Assessment of a civil penalty shall be by
an order made on the record after opportunity for a hearing held in
accordance with the procedures found at part 22 of this chapter. The
Administrator may compromise, or remit, with or without conditions, any
administrative penalty which may be imposed under this section.
* * * * *

? 97. A new Sec. 89.1009 is added to subpart K to read as follows:

Sec. 89.1009 What special provisions apply to branded engines?

A manufacturer identifying the name and trademark of another
company on the emission control information label, as provided by Sec.
89.110(b)(2), must comply with the provisions of 40 CFR 1039.640.

PART 90--CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES
AT OR BELOW 19 KILOWATTS

? 98. The authority citation for part 90 is revised to read as follows:

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

? 99. Section 90.1 is amended by revising paragraphs (b) and (d)(5) and
adding text to paragraph (c) to read as follows:

Sec. 90.1 Applicability.

* * * * *
(b) In certain cases, the regulations in this part 90 also apply to
new engines with a gross power output above 19 kW that would otherwise
be covered by 40 CFR part 1048 or 1051. See 40 CFR 1048.615 or
1051.145(a)(3) for provisions related to this allowance.
(c) In certain cases, the regulations in this part 90 apply to new
engines below 50 cc used in motorcycles that are motor vehicles. See 40
CFR 86.447-2006 for provisions related to this allowance.
(d) * * *
(5) Engines certified to meet the requirements of 40 CFR part 1048,
subject to the provisions of Sec. 90.913.
* * * * *

? 100. Section 90.3 is amended by revising the definitions for Marine
engine, Marine vessel, and United States and adding definitions for
Amphibious vehicle, Good engineering judgment, and Maximum engine power
in alphabetical order to read as follows:

Sec. 90.3 Definitions.

* * * * *
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
* * * * *
Good engineering judgment has the meaning given in 40 CFR 1068.30.
See 40 CFR 1068.5 for the administrative process we use to evaluate
good engineering judgment.
* * * * *
Marine engine means a nonroad engine that is installed or intended
to be installed on a marine vessel. This includes a portable auxiliary
marine engine only if its fueling, cooling, or exhaust system is an
integral part of the vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Maximum engine power means the maximum value of gross power at
rated speed.
* * * * *
United States means the States, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
* * * * *

? 101. Section 90.119 is amended by revising paragraph (a)(1)(i) to read
as follows:

Sec. 90.119 Certification procedure--testing.

(a) * * *
(1) * * *
(i) Class I and II engines must use the test cycle that is
appropriate for their application. Engines that operate only at
intermediate speed must use Test Cycle A, which is described in Table 2
of Appendix A to subpart E of this part. Engines that operate only at
rated speed must use Test Cycle B, which is described in Table 2 of
Appendix A to subpart E of this part. If an engine family includes
engines used in both rated-speed and intermediate-speed applications,
the manufacturer must select the duty cycle that will result in worst-
case emission results for certification. For any testing after
certification, the engine must be tested using the most appropriate
test cycle based on the engine's installed governor.
* * * * *

? 102. Section 90.120 is amended by adding and reserving paragraph (b)(3)
and adding paragraph (b)(4) to read as follows:

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

* * * * *
(b) * * *
(3) [Reserved]
(4) Where we specify mandatory compliance with the procedures of 40
CFR part 1065, manufacturers may elect to use the procedures specified
in 40 CFR part 86, subpart N, as an alternate test procedure without
advance approval by the Administrator.
* * * * *

? 103. Section 90.301 is amended by revising paragraphs (c) and (d) to
read as follows:

Sec. 90.301 Applicability.

* * * * *
(c) Additional information about system design, calibration
methodologies, and so forth, for raw gas sampling can be found in 40
CFR part 1065. Examples for system design, calibration methodologies,
and so forth, for dilute exhaust gas sampling can be found in 40 CFR
part 1065.
(d) For Phase 2 Class I, Phase 2 Class I-B, and Phase 2 Class II
natural gas fueled engines, use the procedures of 40 CFR part 1065 to
measure nonmethane hydrocarbon (NMHC) exhaust emissions from Phase 2
Class I, Phase 2 Class I-B, and Phase 2 Class II natural gas fueled
engines.

? 104. Section 90.308 is amended by revising paragraph (b)(1) to read as
follows:

Sec. 90.308 Lubricating oil and test fuels.

* * * * *
(b) * * *
(1) The manufacturer must use gasoline having the specifications,
or substantially equivalent specifications approved by the
Administrator, as specified in Table 3 in Appendix A of this subpart
for exhaust emission testing of gasoline fueled engines. As an option,
manufacturers may use the fuel specified in 40 CFR part 1065, subpart
H, for gasoline-fueled engines.
* * * * *

? 105. Section 90.316 is amended by revising paragraphs (b)(2)(ii) and
(c) introductory text to read as follows:

Sec. 90.316 Hydrocarbon analyzer calibration.

* * * * *
(b) * * *
(2) * * *

[[Page 40449]]

(ii) The HFID optimization procedures outlined in 40 CFR part 1065,
subpart D.
* * * * *
(c) Initial and periodic calibration. Prior to initial use and
monthly thereafter, or within one month prior to the certification
test, the FID or HFID hydrocarbon analyzer must be calibrated on all
normally used instrument ranges using the steps in this paragraph. Use
the same flow rate and pressures as when analyzing samples. Introduce
calibration gases directly at the analyzer. An optional method for
dilute sampling described in 40 CFR part 1065, subpart F, may be used.
* * * * *

? 106. Section 90.318 is amended by revising paragraph (d) to read as
follows:

Sec. 90.318 Oxides of nitrogen analyzer calibration.

* * * * *
(d) The initial and periodic interference, system check, and
calibration test procedures specified in 40 CFR part 1065, subpart D,
may be used in lieu of the procedures specified in this section.

? 107. Section 90.320 is amended by revising paragraph (b) to read as
follows:

Sec. 90.320 Carbon dioxide analyzer calibration.

* * * * *
(b) The initial and periodic interference, system check, and
calibration test procedures specified in 40 CFR part 1065, subparts C
and D, may be used in lieu of the procedures in this section.

? 108. Section 90.324 is amended by revising paragraphs (a)(3) and (b) to
read as follows:

Sec. 90.324 Analyzer leakage check.

(a) * * *
(3) The sample probe and the connection between the sample probe
and valve V2, see Figure 1 in Appendix B of subpart E of this part, may
be excluded from the leak check.
(b) Pressure-side leak check. Substantial leaks of the sample on
the pressure side of the system may impact sample integrity if the
leaks are of sufficient magnitude. As a safety precaution, good
engineering practice would require that manufacturers perform periodic
pressure-side leak checks of the sampling system. The recommended
maximum leakage rate on the pressure side is five percent of the in-use
flow rate.

? 109. Section 90.326 is amended by revising the introductory text, and
paragraphs (a) and (e)(4) to read as follows:

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

Calibrate only the range of each analyzer used during the engine
exhaust emission test prior to and after each test in accordance with
the following:
(a) Make the calibration by using a zero gas and a span gas. The
span gas value must be between 75 and 100 percent of the highest range
used.
* * * * *
(e) * * *
(4) If the response of the zero gas or span gas differs more than
one percent of full scale at the highest range used, then repeat
paragraphs (e)(1) through (3) of this section.

? 110. Section 90.401 is amended by revising paragraph (d) to read as
follows:

Sec. 90.401 Applicability.

* * * * *
(d) For Phase 2 Class I, Phase 2 Class I-B, and Phase 2 Class II
natural gas fueled engines, use the equipment specified in 40 CFR part
1065, subparts D and E, to measure nonmethane hydrocarbon (NMHC)
exhaust emissions from Phase 2 Class I, Phase 2 Class I-B, and Phase 2
Class II natural gas fueled engines.

? 111. Section 90.405 is amended by removing paragraph (d)(10).

? 112. Section 90.408 is amended by revising paragraph (b)(2) to read as
follows:

Sec. 90.408 Pre-test procedures.

* * * * *
(b) * * *
(2) An evaluation of the effects of test measurement systems on
engine emissions shall be conducted using good engineering judgment to
ensure that such test systems do not significantly impact exhaust
emissions from the engine. For example, this would require evaluation
of all types of emission sampling systems, and of fuel- and air-flow
measurement systems for raw sampling. This can be accomplished by
operating the engine at the highest engine torque value that will be
encountered on the test cycle before and after such test systems are
installed to ensure that the impact on measured torque is less than 5
percent. This may also be accomplished by measuring air-to-fuel ratio
using a zirconia universal exhaust gas oxygen (UEGO) sensor to ensure
that the impact on measured air-to-fuel ratio is less than 5 percent at
the highest engine torque value that will be encountered on the test
cycle before and after such test systems are installed. The impact of
air- and fuel-flow measurement systems may be evaluated based on an
engineering analysis of the impact of the change in pressure induced on
air-intake pressure and fuel supply pressure by these measurement
systems. While this would typically be done before testing, it may also
be done as a post-test verification.
* * * * *

? 113. Section 90.409 is amended by revising paragraph (c)(6) to read as
follows:

Sec. 90.409 Engine dynamometer test run.

* * * * *
(c) * * *
(6) If, during the emission measurement portion of a mode, the
value of the gauges downstream of the NDIR analyzer(s) G3 or G4 (see
Figure 1 in Appendix B of this subpart), differs by more than < plus-
minus>0.5kPa from the pretest value, the test mode is void.

? 114. Section 90.417 is revised to read as follows:

Sec. 90.417 Fuel flow measurement specifications.

(a) Fuel flow measurement is required only for raw testing. Fuel
flow is allowed for dilute testing.
(b) The fuel flow measurement instrument must have a minimum
accuracy of one percent of full-scale flow rate for each measurement
range used. An exception is allowed for the idle mode. For this mode,
the minimum accuracy is ± five percent of full-scale flow
rate for the measurement range used. The controlling parameters are the
elapsed time measurement of the event and the weight or volume
measurement. You may apply the accuracy specifications of 40 CFR part
1065, subpart C, instead of those in this paragraph(b).

? 115. Section 90.418 is revised to read as follows:

Sec. 90.418 Data evaluation for gaseous emissions.

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

? 116. Section 90.419 is amended by removing paragraph (e) and revising
the equations for K_H and H in paragraphs (b) and (c) to read
as follows:

Sec. 90.419 Raw emission sampling calculations--gasoline fueled engines.

* * * * *
(b) * * *
K_H = Factor for correcting the effects of humidity on
NO₂ formation for 4-

[[Page 40450]]

stroke gasoline small engines, as follows:

K_H = (9.953 x H + 0.832)

Where:

H = the amount of water in an ideal gas; 40 CFR 1065.645 describes how
to determine this value (referred to as x_H2_O).
K_H = 1 for two-stroke gasoline engines.

K_H = Factor for correcting the effects of humidity on
NO₂ formation for 4-stroke gasoline small engines, as
follows:
K_H = (9.953 x H + 0.832)

Where:

H = the amount of water in an ideal gas; 40 CFR 1065.645 describes how
to determine this value (referred to as x_H2_O).
K_H = 1 for two-stroke gasoline engines.
* * * * *

? 117. Section 90.421 is amended by revising paragraph (b) introductory
text and (b)(4)(ii) introductory text to read as follows:

Sec. 90.421 Dilute gaseous exhaust sampling and analytical system
description.

* * * * *
(b) Component description. The components necessary for exhaust
sampling must meet the following requirements:
* * * * *
(4) * * *
(ii) Conform to the continuous NO_X, CO, or
CO₂ sampling and analysis system to the specifications of 40
CFR 1065.145, with the following exceptions and revisions:
* * * * *

? 118. Section 90.426 is amended by removing and reserving paragraphs (f)
and (g) and revising paragraph (e) to read as follows:

Sec. 90.426 Dilute emission sampling calculations--gasoline fueled
engines.

* * * * *
(e) The humidity correction factor K_H is an adjustment
made to measured NO_X values. This corrects for the
sensitivity that a spark-ignition engine has to the humidity of its
combustion air. The following formula is used to determine
K_H for NO_X calculations:

K_H = (9.953 H + 0.832)

Where:

H = the amount of water in an ideal gas; 40 CFR 1065.645 describes how
to determine this value (referred to as x_H2_O).

K_H = 1 for two-stroke gasoline engines.

(f) [Reserved]
(g) [Reserved]
* * * * *

? 119. Section 90.612 is amended by revising paragraph (b)(1) to read as
follows:

Sec. 90.612 Exemptions and exclusions.

? 120. Section 90.613 is amended by revising paragraph (d) to read as
follows:

Sec. 90.613 Prohibited acts; penalties.

* * * * *
(d) An importer who violates section 213(d) and section 203 of the
Act is subject to a civil penalty under section 205 of the Act of not
more than $32,500 for each engine subject to the violation. In addition
to the penalty provided in the Act, where applicable, under the
exemption provisions of Sec. 90.612(b), a person or entity who fails
to deliver the engine to the U.S. Customs Service is liable for
liquidated damages in the amount of the bond required by applicable
Customs laws and regulations. The maximum penalty value listed in this
paragraph (d) is shown for calendar year 2004. Maximum penalty limits
for later years may be adjusted based on the Consumer Price Index. The
specific regulatory provisions for changing the maximum penalties,
published in 40 CFR part 19, reference the applicable U.S. Code
citation on which the prohibited action is based.

? 121. A new Sec. 90.615 is added to subpart G to read as follows:

Sec. 90.615 Importation of partially complete engines.

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

? 122. Section 90.706 is amended by revising the equation for N in
paragraph (b)(1) to read as follows:

Sec. 90.706 Engine sample selection.

* * * * *
(b) * * *
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.006

* * * * *

? 123. A new Sec. 90.913 is added to subpart J to read as follows:

Sec. 90.913 Exemption for engines certified to standards for large SI
engines.

(a) An engine is exempt from the requirements of this part if it is
in an engine family that has a valid certificate of conformity showing
that it meets emission standards and other requirements under 40 CFR
part 1048 for the appropriate model year.
(b) The only requirements or prohibitions from this part that apply
to an engine that is exempt under this section are in this section.
(c) If your engines do not have the certificate required in
paragraph (a) of this section, they will be subject to the provisions
of this part. Introducing these engines into commerce without a valid
exemption or certificate of conformity violates the prohibitions in
Sec. 90.1003.
(d) Engines exempted under this section are subject to all the
requirements affecting engines under 40 CFR part 1048. The requirements
and restrictions of 40 CFR part 1048 apply to anyone manufacturing
these engines, anyone manufacturing equipment that uses these engines,
and all other persons in the same manner as if these were nonroad
spark-ignition engines above 19 kW.
(e) Engines exempted under this section may not generate or use
emission credits under this part 90.

? 124. Section 90.1006 is amended by revising paragraphs (a)(1), (a)(2),
(a)(5), and (c)(1) and adding paragraph (a)(6) to read as follows:

Sec. 90.1006 Penalties.

(a) * * *
(1) A person who violates Sec. 90.1003(a)(1), (a)(4), or (a)(5),
or a manufacturer or dealer who violates Sec. 90.1003(a)(3)(i), is
subject to a civil penalty of not more than $32,500 for each violation.
(2) A person other than a manufacturer or dealer who violates Sec.
90.1003(a)(3)(i) or any person who violates Sec. 90.1003(a)(3)(ii) is
subject to a civil penalty of not more than $2,750 for each violation.
* * * * *
(5) A person who violates Sec. 90.1003(a)(2) or (a)(6) is subject
to a civil penalty of not more than $32,500 per day of violation.
(6) The maximum penalty values listed in this section are shown for

[[Page 40451]]

calendar year 2004. Maximum penalty limits for later years may be
adjusted based on the Consumer Price Index. The specific regulatory
provisions for changing the maximum penalties, published in 40 CFR part
19, reference the applicable U.S. Code citation on which the prohibited
action is based.
* * * * *
(c) * * *
(1) Administrative penalty authority. In lieu of commencing a civil
action under paragraph (b) of this section, the Administrator shall
assess any civil penalty prescribed in paragraph (a) of this section,
except that the maximum amount of penalty sought against each violator
in a penalty assessment proceeding can not exceed $270,000, unless the
Administrator and the Attorney General jointly determine that a matter
involving a larger penalty amount is appropriate for administrative
penalty assessment. Any such determination by the Administrator and the
Attorney General is not subject to judicial review. Assessment of a
civil penalty is made by an order made on the record after opportunity
for a hearing held in accordance with the procedures found at part 22
of this chapter. The Administrator may compromise, or remit, with or
without conditions, any administrative penalty which may be imposed
under this section.
* * * * *

PART 91--CONTROL OF EMISSIONS FROM MARINE SPARK-IGNITION ENGINES

? 125. The authority citation for part 91 is revised to read as follows:

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

? 126. Section 91.3 is amended by revising the definitions for ``Marine
spark-ignition engine'', ``Marine vessel'', and ``United States'',
adding definitions for ``Amphibious vehicle'', ``Marine engine'', and
``Spark-ignition'' in alphabetical order to read as follows:

Sec. 91.3 Definitions.

* * * * *
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
* * * * *
Marine engine means a nonroad engine that is installed or intended
to be installed on a marine vessel. This includes a portable auxiliary
marine engine only if its fueling, cooling, or exhaust system is an
integral part of the vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
* * * * *
Marine spark-ignition engine means a spark-ignition marine engine
that propels a marine vessel.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
* * * * *
Spark-ignition means relating to a gasoline-fueled engine or any
other type of engine with a spark plug (or other sparking device) and
with operating characteristics significantly similar to the theoretical
Otto combustion cycle. Spark-ignition engines usually use a throttle to
regulate intake air flow to control power during normal operation.
* * * * *
United States means the States, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
* * * * *

? 127. Section 91.119 is amended by adding and reserving paragraph (b)(3)
and adding paragraph (b)(4) to read as follows:

Sec. 91.119 Certification procedure--use of special test procedures.

? 128. Section 91.207 is amended by revising the second equation for S(t)
in paragraph (a) to read as follows:

Sec. 91.207 Credit calculation and manufacturer compliance with
emission standards.

(a) * * *

S(t) = exp -(0.906 x t/[mu]_life)4
* * * * *

? 129. Section 91.301 is amended by revising paragraph (c) to read as
follows:

Sec. 91.301 Scope; applicability.

? 130. Section 91.316 is amended by revising paragraphs (b)(2)(ii) and
(c) introductory text, and the first equation in paragraph (d)(6) to
read as follows:

Sec. 91.316 Hydrocarbon analyzer calibration.

* * * * *
(b) * * *
(2) * * *
(ii) The HFID optimization procedures outlined in 40 CFR part 1065,
subpart D.
* * * * *
(c) Initial and periodic calibration. Prior to introduction into
service and monthly thereafter, or within one month prior to the
certification test, calibrate the FID or HFID hydrocarbon analyzer on
all normally used instrument ranges, using the steps in this paragraph.
Use the same flow rate and pressures as when analyzing samples.
Introduce calibration gases directly at the analyzer. An optional
method for dilute sampling described in 40 CFR part 1065, subpart F,
may be used.
* * * * *
(d) * * *
(6) * * *

percent O₂ I = (B - Analyzer response (ppm C))/B x 100
* * * * *

? 131. Section 91.318 is amended by revising paragraph (d) and the
equation in paragraph (b)(11) to read as follows:

Sec. 91.318 Oxides of nitrogen analyzer calibration.

* * * * *
(b) * * *
(11) * * *

percent efficiency = (1 + (a - b)/(c - d)) x 100
* * * * *
(d) The initial and periodic interference, system check, and
calibration test procedures specified in 40 CFR part 1065, subparts C
and D, may be used in lieu of the procedures specified in this section.

? 132. Section 91.320 is amended by revising paragraph (b) to read as
follows:

Sec. 91.320 Carbon dioxide analyzer calibration.

? 133. Section 91.325 is amended by revising the equations in paragraphs

[[Page 40452]]

(c)(1)(iv) and (c)(2)(iii) and adding paragraph (c)(2)(iv) to read as
follows:

Sec. 91.325 Analyzer interference checks.

* * * * *
(c) * * *
(1) * * *
(iv) * * *

percent CO₂ quench =100 - 100 x [c x a/(d x a - d x b)]
x a/b
* * * * *
(2) * * *
(iii) * * *

D1 = D x (1 - Z1/100)

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

Wm(%) = 0.9 x A(%)

Where:

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

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

% Water Quench = 100 x (D1 - AR)/D1 x Wm/Z1

? 134. Section 91.419 is amended by revising the entry defining
``M_HCexh'' in paragraph (b) to read as follows:

Sec. 91.419 Raw emission sampling calculations.

* * * * *
(b) * * *

M_HCexh = Molecular weight of hydrocarbons in the exhaust;
see the following equation:
M_HCexh = 12.01 + 1.008 x [alpha]
* * * * *

? 135. Section 91.421 is amended by revising paragraph (b)(4)(ii) and
(b)(4)(iii) to read as follows:

Sec. 91.421 Dilute gaseous exhaust sampling and analytical system
description.

* * * * *
(b) * * *
(4) * * *
(ii) Conform to the continuous NO_X, CO, or
CO₂ sampling and analysis system to the specifications of 40
CFR 1065.145, with the following exceptions and revisions:
(A) Heat the system components requiring heating only to prevent
water condensation, the minimum component temperature is 55 [deg]C.
(B) Coordinate analysis system response time with CVS flow
fluctuations and sampling time/test cycle offsets to meet the time-
alignment and dispersion specifications in 40 CFR pat 1065, subpart C.
(C) Use only analytical gases conforming to the specifications of
40 CFR 1065.750 for calibration, zero, and span checks.
(D) Use a calibration curve conforming to 40 CFR part 1065,
subparts C and D, for CO, CO₂, and NO_X for any
range on a linear analyzer below 155 ppm.
(iii) Convert the chart deflections or voltage output of analyzers
with non-linear calibration curves to concentration values by the
calibration curve(s) specified in 40 CFR part 1065, subpart D, before
flow correction (if used) and subsequent integration takes place.

? 136. Section 91.705 is amended by revising paragraph (d) to read as
follows:

Sec. 91.705 Prohibited acts; penalties.

* * * * *
(d) An importer who violates Sec. 91.1103(a)(1), section 213(d)
and section 203 of the Act is subject to a civil penalty under Sec.
91.1106 and section 205 of the Act of not more than$32,500 for each
marine engine subject to the violation. In addition to the penalty
provided in the Act, where applicable, a person or entity who imports
an engine under the exemption provisions of Sec. 91.704(b) and, who
fails to deliver the marine engine to the U.S. Customs Service by the
end of the period of conditional admission is liable for liquidated
damages in the amount of the bond required by applicable Customs laws
and regulations. The maximum penalty value listed in this paragraph (d)
is shown for calendar year 2004. Maximum penalty limits for later years
may be adjusted based on the Consumer Price Index. The specific
regulatory provisions for changing the maximum penalties, published in
40 CFR part 19, reference the applicable U.S. Code citation on which
the prohibited action is based.

? 137. A new Sec. 91.707 is added to read as follows:

Sec. 91.707 Importation of partially complete engines.

The provisions of 40 CFR 1068.330 apply for importation of
partially complete engines.

? 138. Section 91.1106 is amended by revising paragraphs (a)(1), (a)(2),
(a)(5), and (c)(1) and adding paragraph (a)(6) to read as follows:

Sec. 91.1106 Penalties.

(a) * * *
(1) A person who violates Sec. 91.1103 (a)(1), (a)(4), or (a)(5),
or a manufacturer or dealer who violates Sec. 91.1103(a)(3)(i), is
subject to a civil penalty of not more than $32,500 for each violation.
(2) A person other than a manufacturer or dealer who violates Sec.
91.1103(a)(3)(i) or any person who violates Sec. 91.1103(a)(3)(ii) is
subject to a civil penalty of not more than $2,750 for each violation.
* * * * *
(5) A person who violates Sec. 91.1103 (a)(2) or (a)(6) is subject
to a civil penalty of not more than $32,500 per day of violation.
(6) The maximum penalty values listed in this section are shown for
calendar year 2004. Maximum penalty limits for later years may be
adjusted based on the Consumer Price Index. The specific regulatory
provisions for changing the maximum penalties, published in 40 CFR part
19, reference the applicable U.S. Code citation on which the prohibited
action is based.
* * * * *
(c) * * *
(1) Administrative penalty authority. In lieu of commencing a civil
action under paragraph (b) of this section, the Administrator shall
assess any civil penalty prescribed in paragraph (a) of this section,
except that the maximum amount of penalty sought against each violator
in a penalty assessment proceeding can not exceed $270,000, unless the
Administrator and the Attorney General jointly determine that a matter
involving a larger penalty amount is appropriate for administrative
penalty assessment. Any such determination by the Administrator and the
Attorney General is not subject to judicial review. Assessment of a
civil penalty is made by an order made on the record after opportunity
for a hearing held in accordance with the procedures found at part 22
of this chapter. The Administrator may compromise, or remit, with or
without conditions, any administrative penalty which may be imposed
under this section.
* * * * *

PART 92--CONTROL OF AIR POLLUTION FROM LOCOMOTIVES AND LOCOMOTIVE ENGINES

? 139. The authority citation for part 92 is revised to read as follows:

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

? 140. Section 92.1 is amended by revising paragraphs (a) introductory
text, (b)(3), and (b)(4) and adding paragraph (d) to read as follows:

[[Page 40453]]

Sec. 92.1 Applicability.

(a) Except as noted in paragraphs (b) and (d) of this section, the
provisions of this part apply to manufacturers, remanufacturers, owners
and operators of:
* * * * *
(b) * * *
(3) Locomotive engines which provide only hotel power (see 40 CFR
parts 89 and 1039 to determine if such engines are subject to EPA
emission requirements); or
(4) Nonroad vehicles excluded from the definition of locomotive in
Sec. 92.2, and the engines used in such nonroad vehicles (see 40 CFR
parts 86, 89, and 1039 to determine if such vehicles or engines are
subject to EPA emission requirements).
* * * * *
(d) The provisions of subpart L of this part apply to all persons.

? 141. Section 92.2 is amended in paragraph (b) by revising the
definitions for ``Calibration'', ``Locomotive'', paragraph (5) of the
definition for ``New locomotive or new locomotive engine'',
``Repower'', and ``United States'' to read as follows:

Sec. 92.2 Definitions.

* * * * *
(b) * * *
Calibration means the set of specifications, including tolerances,
specific to a particular design, version, or application of a
component, or components, or assembly capable of functionally
describing its operation over its working range. This definition does
apply to Subpart B of this part.
* * * * *
Locomotive means a self-propelled piece of on-track equipment
designed for moving or propelling cars that are designed to carry
freight, passengers or other equipment, but which itself is not
designed or intended to carry freight, passengers (other than those
operating the locomotive) or other equipment. The following other
equipment are not locomotives (see 40 CFR parts 86 and 89 for this
equipment):
(1) Equipment which is designed for operation both on highways and
rails are not locomotives.
(2) Specialized railroad equipment for maintenance, construction,
post accident recovery of equipment, and repairs; and other similar
equipment, are not locomotives.
(3) Vehicles propelled by engines with total rated horsepower of
less than 750 kW (1006 hp) are not locomotives (see 40 CFR parts 86 and
89 for this equipment), unless the owner (including manufacturers)
chooses to have the equipment certified under the requirements of this
part. Where equipment is certified as a locomotive pursuant to this
paragraph (3), it shall be subject to the requirements of this part for
the remainder of its service life. For locomotives propelled by two or
more engines, the total rated horsepower is the sum of the rated
horsepowers of each engine.
* * * * *
New locomotive or new locomotive engine means: * * *
(5) Notwithstanding paragraphs (1) through (3) of this definition,
locomotives and locomotive engines which are owned by a small railroad
and which have never been manufactured or remanufactured into a
certified configuration are not new.
* * * * *
Repower means replacement of the engine in a previously used
locomotive with a freshly manufactured locomotive engine. Replacing a
locomotive engine with a freshly manufactured locomotive engine in a
locomotive that has a refurbished or reconditioned chassis such that
less than 25 percent of the parts of the locomotive were previously
used(as weighted by dollar value) is not repowering.
* * * * *
United States means the States, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
* * * * *

? 142. Section 92.8 is amended by revising paragraph (b) to read as follows:

Sec. 92.8 Emission standards.

* * * * *
(b) No crankcase emissions shall be discharged directly into the
ambient atmosphere from any new locomotive or new locomotive engine,
except as allowed by paragraph (1) of this paragraph (b).
(1) Discharge of crankcase emissions into the engine exhaust
complies with this prohibition, provided crankcase emissions are
measured and included with exhaust emissions. Other discharge of
crankcase emissions complies with this prohibition, provided crankcase
emissions are measured in all certification, production-line, and in-
use tests and the masses are added mathematically to the exhaust
emissions.
(2) Compliance with this standard is required throughout the entire
service life of the locomotive or locomotive engine.
* * * * *

? 143. Section 92.12 is amended by adding paragraphs (g) and (h) to read
as follows:

Sec. 92.12 Interim provisions.

* * * * *
(g) Tier 0 locomotive labels. Remanufacturers may use identical
labels for locomotives and engines for Tier 0 locomotives, provided the
remanufacturer demonstrates to EPA that they will supply two labels
(one for the locomotive and one for the engine) only with those
remanufacturing systems being applied to locomotives that have not been
previously labeled (i.e., locomotives that have not been previously
certified). For other locomotives, the remanufacturer may only supply
one label.
(h) Labels for calendar year 2005. During calendar year 2005,
manufacturers and remanufacturers may comply with the labeling
requirements that were applicable during calendar year 2004, instead of
the labeling requirements specified in Sec. 92.212(c)(2)(v).

? 144. Section 92.104 is amended by revising paragraph (b)(1)(i) to read
as follows:

Sec. 92.104 Locomotive and engine testing; overview.

* * * * *
(b) * * *
(1) * * *
(i) Engine speed setpoints for each mode shall be within 2 percent
of the speed of the engine when it is operated in the locomotive.
Engine load setpoints for each mode shall be within 2 percent (or 3.0
horsepower, whichever is greater) of the load of the engine when it is
operated in the locomotive.
* * * * *

? 145. Section 92.105 is amended by revising paragraph (d) to read as
follows:

Sec. 92.105 General equipment specifications.

* * * * *
(d) Electrical measurements. Instruments used to measure engine
power output shall comply with the requirements of Sec. 92.106.
* * * * *

? 146. Section 92.106 is amended by revising paragraph (b)(1)(ii) to read
as follows:

Sec. 92.106 Equipment for loading the engine.

* * * * *
(b) * * *
(1) * * *
(ii) Engine flywheel torque readout shall be accurate to within
±2 percent of the NIST ``true'' value torque at all power
settings above 10 percent of full-

[[Page 40454]]

scale, and accurate to within ±5 percent of the NIST
``true'' value torque at power settings at or below 10 percent of full-
scale.

? 147. Section 92.109 is amended by revising paragraph (c)(3) to read as
follows:

Sec. 92.109 Analyzer specifications.

* * * * *
(c) * * *
(3) Alcohols and Aldehydes. The sampling and analysis procedures
for alcohols and aldehydes, where applicable, shall be approved by the
Administrator prior to the start of testing. Procedures are allowed if
they are consistent with the general requirements of 40 CFR part 1065,
subpart I, for sampling and analysis of alcohols and aldehydes, and
with good engineering practice.
* * * * *

? 148. Section 92.114 is amended by revising paragraphs (a)(2)(ii),
(d)(2) introductory text and (e)(1) to read as follows:

Sec. 92.114 Exhaust gas and particulate sampling and analytical system.

* * * * *
(a) * * *
(2) * * *
(ii) For locomotive testing where the locomotive has multiple
exhaust stacks, proportional samples may be collected from each exhaust
outlet instead of ducting the exhaust stacks together, provided that
the CO₂ concentrations in each exhaust stream are shown
(either prior to testing or during testing) to be within 5 percent of
each other at notch 8.
* * * * *
(d) * * *
(2) For engine testing, either a locomotive-type or a facility-type
exhaust system (or a combination system) may be used. The exhaust
backpressure for engine testing shall be set between 90 and 100 percent
of the maximum backpressure that will result with the exhaust systems
of the locomotives in which the engine will be used. Backpressure less
than 90 percent of the maximum value is also allowed, provided the
backpressure is within 0.07 psi of the maximum value. The facility-type
exhaust system shall meet the following requirements:
* * * * *
(e) * * *
(1) Dilution of the exhaust prior to sampling is allowed for
gaseous emissions. The equipment and methods used for dilution,
sampling and analysis shall comply with the requirements of 40 CFR part
1065, with the following exceptions and additional requirements:
(i) Proportional sampling and heat exchangers are not required;
(ii) Larger minimum dimensions for the dilution tunnel(s) shall be
specified by the Administrator;
(iii) Other modifications may be made with written approval from
the Administrator.
* * * * *

? 149. Section 92.123 is amended by revising paragraph (a)(2) to read as
follows:

Sec. 92.123 Test procedure; general requirements.

(a) * * *
(2) For locomotives with multiple exhaust stacks, smoke testing is
required for only one of the exhaust stacks provided the following
conditions are met:
(i) The stack that is not tested is not visibly smokier than the
stack that is tested, and
(ii) None of the measured opacity values for the stack tested are
greater than three-quarters of the level allowed by any of the
applicable smoke standards.
* * * * *

? 150. Section 92.124 is amended by revising paragraph (f) to read as
follows:

Sec. 92.124 Test sequence; general requirements.

* * * * *
(f) The required test sequence is described in Table B124-1 of this
section, as follows:

Table B124-1
----------------------------------------------------------------------------------------------------------------
Test sequence for locomotives and locomotive engines
-----------------------------------------------------------------------------------------------------------------
Power, and fuel
Mode No. Notch setting Time in notch Emissions measured consumption
\2\ measured
----------------------------------------------------------------------------------------------------------------
Warmup....................... Notch 8......... 5 ± 1 min. None............... None
Warmup....................... Lowest Idle..... 15 min maximum (after None............... None
engine speed reaches
lowest idle speed).
1a........................... Low Idle\1\..... 6 min minimum........ All................ Both
1............................ Normal Idle..... 6 min minimum........ All................ Both
2............................ Dynamic Brake\1\ 6 min minimum........ All................ Both
3............................ Notch 1......... 6 min minimum........ All................ Both
4............................ Notch 2......... 6 min minimum........ All................ Both
5............................ Notch 3......... 6 min minimum........ All................ Both
6............................ Notch 4......... 6 min minimum........ All................ Both
7............................ Notch 5......... 6 min minimum........ All................ Both
8............................ Notch 6......... 6 min minimum........ All................ Both
9............................ Notch 7......... 6 min minimum........ All................ Both
10........................... Notch 8......... 15 min minimum....... All................ Both
----------------------------------------------------------------------------------------------------------------
\1\ Omit if not so equipped.
\2\ The EPA test sequence for locomotives and locomotive engines may be performed once, with gaseous,
particulate and smoke measurements performed simultaneously, or it may be performed twice with gaseous, and
particulate measurements performed during one test sequence and smoke measurements performed during the other
test sequence. The minimum time in notch is three minutes for test sequences in which only smoke is measured.

? 151. Section 92.126 is amended by revising paragraph (b)(3) to read as
follows:

Sec. 92.126 Test run.

* * * * *
(b) * * *
(3) Fuel flow rate shall be measured continuously. The value
reported for the fuel flow rate shall be a one-minute average of the
instantaneous fuel flow

[[Page 40455]]

measurements taken during the last minute of the minimum sampling
period listed in Table B124-1 in Sec. 92.124; except for testing
during idle modes, where it shall be a three-minute average of the
instantaneous fuel flow measurements taken during the last three
minutes of the minimum sampling period listed in Table B124-1 in Sec.
92.124. Sampling periods greater than one minute are allowed,
consistent with good engineering practice. Fuel flow averaging periods
should generally match the emission sampling periods as closely as is
practicable.
* * * * *

? 152. Section 92.131 is amended by revising paragraph (b)(3) to read as
follows:

Sec. 92.131 Smoke, data analysis.

* * * * *
(b) * * *
(3) The ``steady-state'' value is either:
(i) The highest reading occurring more than two minutes after the
notch change (excluding peaks lasting less than 5 seconds, caused by
such random events as the cycling of an air compressor) if opacity
measurements are recorded graphically; or
(ii) The average of the second by second values between 120 and 180
seconds after the notch change if opacity measurements are recorded
digitally.
* * * * *

? 153. Section 92.132 is amended by revising paragraphs (b)(3)(iii)(D)(2)
and (d) to read as follows:

Sec. 92.132 Calculations.

* * * * *
(b) * * *
(3) * * *
(iii) * * *
(D) * * *
(2) If a CO instrument that meets the criteria specified in 40 CFR
part 1065, subpart C, is used without a sample dryer according to 40
CFR 1065.145, CO_em must be substituted directly for
CO_e and CO_dm must be substituted directly for
CO_d.
* * * * *
(d) NO_X correction factor. (1) NO_X emission
rates (M_{NOx mode}) shall be adjusted to account for the
effects of humidity and temperature by multiplying each emission rate
by K_NOx, which is calculated from the following equations:

K_NOX = (K)(1 + (0.25(logK) 2)\1/2\)
K = (K_H)(K_T)
K_H = [C₁+C₂exp((-0.0143)(10.714))]/
[C₁+C₂exp((-0.0143)(1000H))]
C₁ = -8.7 +164.5exp(-0.0218(A/F)_wet)
C₂ = 130.7 + 3941exp(- 0.0248(A/F)_wet)

Where:

(A/F)_wet = Mass of moist air intake divided by mass of fuel
intake.
K_T = 1/[1 - 0.0107(T₃₀ - T_A)]
for
tests conducted at ambient temperatures below 30 [deg]C.
K_T = 1.00 for tests conducted at ambient temperatures at or
above 30 [deg]C.
T₃₀ = The measured intake manifold air temperature in the
locomotive when operated at 30 [deg]C (or 100 [deg]C, where intake
manifold air temperature is not available).
T_A = The measured intake manifold air temperature in the
locomotive as tested (or the ambient temperature ([deg]C), where intake
manifold air temperature is not available).
* * * * *

? 154. Section 92.203 is amended by revising paragraph (d)(1)(i) to read
as follows:

Sec. 92.203 Application for certification.

* * * * *
(d) Required content. Each application must include the following
information:(1)(i) A description of the basic engine design including,
but not limited to, the engine family specifications, the provisions of
which are contained in Sec. 92.204;
* * * * *

? 155. Section 92.204 is amended by revising paragraph (a) to read as
follows:

Sec. 92.204 Designation of engine families.

* * * * *
(a) Manufacturers and remanufacturers shall divide their
locomotives and locomotive engines into groupings of locomotives and
locomotive engines which are expected to have similar emission
characteristics throughout their useful life. Each group shall be
defined as a separate engine family. Freshly manufactured locomotives
may not be included in the same engine family as remanufactured
locomotives. Freshly manufactured engines may be included in the same
engine family as remanufactured locomotives, provided such engines are
used as replacement engines for locomotive models included in the
engine family.
* * * * *

? 156. Section 92.205 is amended by revising paragraph (a) introductory
text to read as follows:

Sec. 92.205 Prohibited controls, adjustable parameters.

(a) Any system installed on, or incorporated in, a new locomotive
or new locomotive engine to enable such locomotive or locomotive engine
to conform to standards contained in this part:
* * * * *

? 157. Section 92.208 is amended by revising paragraphs (a) and (b) to
read as follows:

Sec. 92.208 Certification.

(a) Paragraph (a) of this section applies to manufacturers of new
locomotives and new locomotive engines. If, after a review of the
application for certification, test reports and data acquired from a
freshly manufactured locomotive or locomotive engine or from a
development data engine, and any other information required or obtained
by EPA, the Administrator determines that the application is complete
and that the engine family meets the requirements of the Act and this
part, he/she will issue a certificate of conformity with respect to
such engine family except as provided by paragraph (c)(3) of this
section. The certificate of conformity is valid for each engine family
from the date of issuance by EPA until 31 December of the model year or
calendar year for which it is issued and upon such terms and conditions
as the Administrator deems necessary or appropriate to assure that the
production locomotives or engines covered by the certificate will meet
the requirements of the Act and of this part.
(b) This paragraph (b) applies to remanufacturers of locomotives
and locomotive engines. If, after a review of the application for
certification, test reports and data acquired from a remanufactured
locomotive or locomotive engine or from a development data engine, and
any other information required or obtained by EPA, the Administrator
determines that the engine family meets the requirements of the Act and
of this subpart, he/she will issue a certificate of conformity with
respect to such engine family except as provided by paragraph (c)(3) of
this section. The certificate of conformity is valid for each engine
family from the date of issuance by EPA until 31 December of the model
year or calendar year for which it is issued and upon such terms and
conditions as the Administrator deems necessary or appropriate to
assure that the production locomotives or engines covered by the
certificate will meet the requirements of the Act and of this part.
* * * * *

? 158. Section 92.210 is amended by revising paragraphs (b)(1), (b)(2),
(d)(2), and (d)(3) to read as follows:

[[Page 40456]]

Sec. 92.210 Amending the application and certificate of conformity.

* * * * *
(b) * * *
(1) A full description of the change to be made in production, or
of the locomotives or engines to be added;
(2) Engineering evaluations or data showing that the locomotives or
engines as modified or added will comply with all applicable emission
standards; and
* * * * *
(d) * * *
(2) If the Administrator determines that the change or new
locomotive(s) or engine(s) meets the requirements of this part and the
Act, the appropriate certificate of conformity shall be amended.
(3) If the Administrator determines that the changed or new
locomotive(s) or engine(s) does not meet the requirements of this part
and the Act, the certificate of conformity will not be amended. The
Administrator shall provide a written explanation to the manufacturer
or remanufacturer of the decision not to amend the certificate. The
manufacturer or remanufacturer may request a hearing on a denial.
* * * * *

? 159. Section 92.212 is amended by revising paragraphs (b)(2)(ii),
(b)(2)(v)(A), (b)(2)(v)(G), (c)(2)(v)(A), and(c)(2)(v)(D)(2) to read as
follows:

Sec. 92.212 Labeling.

* * * * *
(b) * * *
(2) * * *
(ii) The label shall be attached to a locomotive chassis part
necessary for normal operation and not normally requiring replacement
during the service life of the locomotive. This label may not be
attached to the engine.
* * * * *
(v) * * *
(A) The label heading: Original Locomotive Emission Control
Information. Manufacturers and remanufacturers may add a subheading to
distinguish this label from the engine label described in paragraph (c)
of this section.
* * * * *
(G) The standards and/or FELs to which the locomotive was certified.
* * * * *
(c) * * *
(2) * * *
(v) * * *
(A) The label heading: Engine Emission Control Information.
Manufacturers and remanufacturers may add a subheading to distinguish
this label from the locomotive label described in paragraph (b) of this
section.
* * * * *
(D) * * *
(2) This locomotive and locomotive engine conform to U.S. EPA
regulations applicable to locomotives and locomotive engines originally
manufactured on or after January 1, 2002 and before January 1, 2005; or
* * * * *

? 160. Section 92.215 is amended by revising paragraphs (a)(2)(i)(A) and
(b) to read as follows:

Sec. 92.215 Maintenance of records; submittal of information; right
of entry.

(a) * * *
(2) * * *
(i) * * *
(A) In the case where a current production engine is modified for
use as a certification engine or in a certification locomotive, a
description of the process by which the engine was selected and of the
modifications made. In the case where the certification locomotive or
the engine for a certification locomotive is not derived from a current
production engine, a general description of the buildup of the engine
(e.g., whether experimental heads were cast and machined according to
supplied drawings). In the cases in the previous two sentences, a
description of the origin and selection process for fuel system
components, ignition system components, intake-air pressurization and
cooling-system components, cylinders, pistons and piston rings, exhaust
smoke control system components, and exhaust aftertreatment devices as
applicable, shall be included. The required descriptions shall specify
the steps taken to assure that the certification locomotive or
certification locomotive engine, with respect to its engine,
drivetrain, fuel system, emission-control system components, exhaust
aftertreatment devices, exhaust smoke control system components or any
other devices or components as applicable, that can reasonably be
expected to influence exhaust emissions will be representative of
production locomotives or locomotive engines and that either: All
components and/or locomotive or engine, construction processes,
component inspection and selection techniques, and assembly techniques
employed in constructing such locomotives or engines are reasonably
likely to be implemented for production locomotives or engines; or that
they are as close as practicable to planned construction and assembly
process.
* * * * *
(b) The manufacturer or remanufacturer of any locomotive or
locomotive engine subject to any of the standards prescribed in this
part shall submit to the Administrator, at the time of issuance by the
manufacturer or remanufacturer, copies of all instructions
orexplanations regarding the use, repair, adjustment, maintenance, or
testing of such locomotive or engine, relevant to the control of
crankcase, or exhaust emissions issued by the manufacturer or
remanufacturer, for use by other manufacturers or remanufacturers,
assembly plants, distributors, dealers, owners and operators. Any
material not translated into the English language need not be submitted
unless specifically requested by the Administrator.
* * * * *

? 161. Section 92.216 is amended by removed by removing and reserving
paragraph (a)(2).

Sec. 92.216 [Amended]

? 162. Section 92.403 is amended by revising paragraph (b) to read as
follows:

Sec. 92.403 Emission defect information report.

* * * * *
(b) Defect information reports required under paragraph (a) of this
section must be submitted not more than 15 working days after the same
emission-related defect is found to affect 10 or more locomotives or
locomotive engines. Information required by paragraph (c) of this
section that is either not available within 15 working days or is
significantly revised must be submitted as it becomes available.
* * * * *

? 163. Section 92.508 is amended by revising paragraph (e) introductory
text to read as follows:

Sec. 92.508 Calculation and reporting of test results.

* * * * *
(e) Within 45 calendar days of the end of each quarter, each
manufacturer or remanufacturer must submit to the Administrator a
report which includes the following information:
* * * * *

? 164. Section 92.511 is amended by revising paragraph (g) introductory
text to read as follows:

Sec. 92.511 Remanufactured locomotives: installation audit requirements.

* * * * *
(g) Within 45 calendar days of the end of each quarter, each
remanufacturer must submit to the Administrator a

[[Page 40457]]

report which includes the following information:
* * * * *

? 165. Section 92.512 is amended by revising paragraph (e) to read as
follows:

Sec. 92.512 Suspension and revocation of certificates of conformity.

* * * * *
(e) The Administrator shall notify the manufacturer or
remanufacturer in writing of any suspension or revocation of a
certificate of conformity in whole or in part; a suspension or
revocation is effective upon receipt of such notification or thirty
days from the time an engine family is deemed to be in noncompliance
under Sec. Sec. 92.508(d), 92.510(a), 92.510(b) or 92.511(f),
whichever is earlier, except that the certificate is immediately
suspended with respect to any failed locomotives or locomotive engines
as provided for in paragraph (a) of this section.
* * * * *

? 166. A new Sec. 92.806 is added to read as follows:

Sec. 92.806 Importation of partially complete engines.

The provisions of 40 CFR 1068.330 apply for importation of
partially complete engines, or engines that will be modified for
applications other than those covered by this part 92.

? 167. Section 92.906 is amended by revising paragraph (a) introductory
text to read as follows:

Sec. 92.906 Manufacturer-owned, remanufacturer-owned exemption and
display exemption.

(a) Any manufacturer-owned or remanufacturer-owned locomotive or
locomotive engine is exempt from Sec. 92.1103, without application, if
the manufacturer complies with the following terms and conditions:
* * * * *

? 168. Section 92.907 is amended by revising paragraphs (a)(3) and (b)(3)
to read as follows:

Sec. 92.907 Non-locomotive-specific engine exemption.

(a) * * *
(3) The number of such engines exempted under this paragraph (a)
does not exceed:
(i) 50 per manufacturer in any calendar year, where EPA determines
that the use of the non-locomotive-specific engines will result in a
significantly greater degree of emission control over the lifetime of
the locomotive than using remanufactured engines certified under this
part 92; or
(ii) 25 per manufacturer in any calendar year, where EPA has not
determined that the use of the non-locomotive-specific engines will
result in a significantly greater degree of emission control over the
lifetime of the locomotive than using remanufactured engines certified
under this part 92;
* * * * *
(b) * * *
(3) The number of such locomotives sold or leased by the locomotive
manufacturer within any three-year period, and exempted under this
paragraph (b) does not exceed 30; and
* * * * *

? 169. A new Sec. 92.912 is added to subpart J to read as follows:

Sec. 92.912 Staged-assembly exemption.

? 170. Section 92.1106 is amended by revising paragraphs (a)(1), (a)(2),
(a)(5), and (c)(1) and adding paragraph (a)(6) to read as follows:

Sec. 92.1106 Penalties.

(a) * * *
(1) A person who violates Sec. 92.1103 (a)(1), (a)(4), or (a)(5),
or a manufacturer, remanufacturer, dealer or railroad who violates
Sec. 92.1103(a)(3)(i) or (iii) is subject to a civil penalty of not
more than $32,500 for each violation.
(2) A person other than a manufacturer, remanufacturer, dealer, or
railroad who violates Sec. 92.1103(a)(3)(i) or any person who violates
Sec. 92.1103(a)(3)(ii) is subject to a civil penalty of not more than
$2,750 for each violation.
* * * * *
(5) A person who violates Sec. 92.1103(a)(2) is subject to a civil
penalty of not more than$32,500 per day of violation.
(6) The maximum penalty values listed in this section are shown for
calendar year 2004. Maximum penalty limits for later years may be
adjusted based on the Consumer Price Index. The specific regulatory
provisions for changing the maximum penalties, published in 40 CFR part
19, reference the applicable U.S. Code citation on which the prohibited
action is based.
* * * * *
(c) * * *
(1) Administrative penalty authority. In lieu of commencing a civil
action under paragraph (b) of this section, the Administrator may
assess any civil penalty prescribed in paragraph (a) of this section,
except that the maximum amount of penalty sought against each violator
in a penalty assessment proceeding shall not exceed $270,000, unless
the Administrator and the Attorney General jointly determine that a
matter involving a larger penalty amount is appropriate for
administrative penalty assessment. Any such determination by the
Administrator and the Attorney General is not subject to judicial
review. Assessment of a civil penalty shall be by an order made on the
record after opportunity for a hearing held in accordance with the
procedures found at part 22 of this chapter. The Administrator may
compromise, or remit, with or without conditions, any administrative
penalty which may be imposed under this section.
* * * * *

? 171. Appendix IV to part 92 is amended by revising paragraph (d)(1) to
read as follows:

Appendix IV to Part 92--Guidelines for Determining Equivalency Between
Emission Measurement Systems

* * * * *
(d) * * *
(1) Four locomotive or locomotive engine tests, conducted in
accordance with the provisions of subpart B of this part; or
* * * * *

PART 94--CONTROL OF AIR POLLUTION FROM MARINE COMPRESSION-IGNITION ENGINES

? 172. The authority citation for part 94 is revised to read as follows:

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

? 173. Section 94.2 is amended in paragraph (b) by removing the
definitions of Auxiliary engine and Propulsion engine, revising the
definitions of Marine engine, Marine vessel, and United States, and
adding a definition of Amphibious vehicle in alphabetical order to read
as follows:

Sec. 94.2 Definitions.

[[Page 40458]]

installed on a marine vessel. This includes a portable auxiliary marine
engine only if its fueling, cooling, or exhaust system is an integral
part of the vessel. There are two kinds of marineengines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
* * * * *
United States means the States, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
* * * * *

? 174. Section 94.9 is amended by revising paragraph (a)(3) to read as
follows:

Sec. 94.9 Compliance with emission standards.

(a) * * *
(3) Manufacturers may request in the application for certification
that we approve a shorter useful life for an engine family. We may
approve a shorter useful life, in hours of engine operation but not in
years, if we determine that these engines will rarely operate longer
than the shorter useful life. If engines identical to those in the
engine family have already been produced and are in use, the
demonstration must include documentation from such in-use engines. In
other cases, the demonstration must include an engineering analysis of
information equivalent to such in-use data, such as data from research
engines or similar engine models that are already in production. The
demonstration must also include recommended overhaul intervals, any
mechanical warranty offered for the engine or its components, and any
relevant customer design specifications. The demonstration may include
any other relevant information. The useful life value may not be
shorter than any of the following:
(i) 1,000 hours of operation.
(ii) The recommended overhaul interval.
(iii) The mechanical warranty for the engine.
* * * * *

? 175. Section 94.12 is amended by revising paragraph (h) to read as
follows:

Sec. 94.12 Interim provisions.

* * * * *
(h) Flexibility for small-volume boat builders. Notwithstanding the
other provisions of this part, manufacturers may sell uncertified
recreational engines to small-volume boat builders during the first
five years for which the emission standards in Sec. 94.8 apply,
subject to the following provisions:
(1) The U.S.-directed production volume of boats from any small-
volume boat builder using uncertified engines during the total five-
year period may not exceed 80 percent of the manufacturer's average
annual production for the three years prior to the general
applicability of the recreational engine standards in Sec. 94.8,
except as allowed in paragraph (h)(2) of this section.
(2) Small-volume boat builders may exceed the production limits in
paragraph (h)(1) of this section, provided they do not exceed 20 boats
during the five-year period or 10 boats in any single calendar year.
This does not apply to boats powered by engines with displacement
greater than 2.5 liters per cylinder.
(3) Small-volume boat builders must keep records of all the boats
and engines produced under this paragraph (h), including boat and
engine model numbers, serial numbers, and dates of manufacture. Records
must also include information verifying compliance with the limits in
paragraph (h)(1) or (2) of this section. Keep these records until at
least two full years after you no longer use the provisions in this
paragraph (h).
(4) Manufacturers must add a permanent, legible label, written in
block letters in English, to a readily visible part of each engine
exempted under this paragraph (h).
This label must include at least the following items:
(i) The label heading ``EMISSION CONTROL INFORMATION''.
(ii) Your corporate name and trademark.
(iii) Engine displacement (in liters), rated power, and model year
of the engine or whom to contact for further information.
(iv) The statement ``THIS ENGINE IS EXEMPT UNDER 40 CFR 94.12(h)
FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.

? 176. Section 94.105 is amended by revising paragraph (b) before the
table to read as follows:

Sec. 94.105 Duty cycles.

* * * * *
(b) General cycle. Propulsion engines that are used with (or
intended to be used with) fixed-pitch propellers, propeller-law
auxiliary engines, and any other engines for which the other duty
cycles of this section do not apply, shall be tested using the duty
cycle described in the following Table B-1:
* * * * *

? 177. Section 94.106 is amended by revising paragraph (b)(3)(i) to read
as follows:

Sec. 94.106 Supplemental test procedures for Category 1 and Category
2 marine engines.

* * * * *
(b) * * *
(3) * * *
(i) The Not to Exceed zone is the region above the curve power =
0.85SPD \4\, excluding all operation below 25% of maximum power at
rated speed and excluding all operation below 63% of maximum test.
* * * * *

? 178. Section 94.107 is amended by revising paragraph (b) to read as
follows:

Sec. 94.107 Determination of maximum test speed.

* * * * *
(b) Generation of lug curve. Prior to beginning emission testing,
generate maximum measured brakepower versus engine speed data points
using the applicable method specified in 40 CFR 1065.510. These data
points form the lug curve. It is not necessary to generate the entire
lug curve. For the portion of the curve where power increases with
increasing speed, it is not necessary to generate points with power
less than 90 percent of the maximum power value. For the portion of the
curve where power decreases with increasing speed, it is not necessary
to generate points with power less than 75 percent of the maximum power
value.
* * * * *

? 179. Section 94.109 is amended by revising paragraph (b) to read as
follows:

Sec. 94.109 Test procedures for Category 3 marine engines.

* * * * *
(b) Analyzers meeting the specifications of either 40 CFR part
1065, subpart C, or ISO 8178-1 (incorporated by reference in Sec.
94.5) shall be used to measure THC and CO.
* * * * *

? 180. Section 94.211 is amended by revising paragraph (k) to read as
follows:

Sec. 94.211 Emission-related maintenance instructions for purchasers.

* * * * *
(k) For Category 3 engines, the manufacturer must provide the
ultimate purchaser with a Technical File meeting the specifications of
section 2.4 of the

[[Page 40459]]

Annex VI Technical Code(incorporated by reference in Sec. 94.5). The
maintenance instructions required by this part to be provided by
manufacturer may be included in this Technical File. The manufacturer
must provide a copy of this Technical File to EPA upon request.
* * * * *

? 181. Section 94.212 is amended by revising paragraph (b)(6) and (b)(7)
to read as follows:

Sec. 94.212 Labeling.

* * * * *
(b) * * *
(6) A prominent unconditional statement of compliance with U.S.
Environmental Protection Agency regulations that apply to marine
compression-ignition engines.
(7) The useful life of the engine, unless the applicable useful
life is based on the provisions of Sec. 94.9(a)(1).
* * * * *

? 182. A new Sec. 94.806 is added to read as follows:

Sec. 94.806 Importation of partially complete engines.

The provisions of 40 CFR 1068.330 apply for importation of
partially complete engines, or engines that will be modified for
applications other than those covered by this part 94.

? 183. Section 94.904 is amended by revising paragraph (a) and adding a
new paragraph (c) to read as follows:

Sec. 94.904 Exemptions.

(a) Except as specified otherwise in this subpart, the provisions
of Sec. Sec. 94.904 through 94.913 exempt certain new engines from the
standards, other requirements, and prohibitions of this part, except
for the requirements of this subpart and the requirements of Sec.
94.1104. Additional requirements may apply for imported engines; these
are described in subpart I of this part.
* * * * *
(c) If you want to take an action with respect to an exempted or
excluded engine that is prohibited by the exemption or exclusion, such
as selling it, you need to certify the engine. We will issue a
certificate of conformity if you send us an application for
certification showing that you meet all the applicable requirements
from this part 94 and pay the appropriate fee. Also, in some cases, we
may allow manufacturers to modify the engine as needed to make it
identical to engines already covered by a certificate. We would base
such an approval on our review of any appropriate documentation.
Theseengines must have emission control information labels that
accurately describe their status.

? 184. Section 94.907 is revised to read as follows:

Sec. 94.907 Engine dressing exemption.

(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce new marine engines into commerce if
they are already certified to the requirements that apply to
compression-ignition engines under 40 CFR parts 85 and 86 or 40 CFR
part 89, 92 or 1039 for the appropriate model year. If you comply with
all the provisions of this section, we consider the certificate issued
under 40 CFR part 86, 89, 92, or 1039 for each engine to also be a
valid certificate of conformity under this part 94 for its model year,
without a separate application for certification under the requirements
of this part 94.
(b) Boat-builder provisions. If you are not an engine manufacturer,
you may install an engine certified for the appropriate model year
under 40 CFR part 86, 89, 92, or 1039 in a marine vessel as long as you
do not make any of the changes described in paragraph(d)(3) of this
section and you meet the requirements of paragraph (e) of this section.
If you modify the non-marine engine in any of the ways described in
paragraph (d)(3) of this section, we will consider you a manufacturer
of a new marine engine. Such engine modifications prevent you from
using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted
under this section must meet all the applicable requirements from 40
CFR parts 85 and 86 or 40 CFR part 89, 92, or 1039. This paragraph (c)
applies to engine manufacturers, boat builders who use such an engine,
and all other persons as if the engine were used in its originally
intended application. The prohibited acts of Sec. 94.1103(a)(1) apply
to these new engines and vessels; however, we consider the certificate
issued under 40 CFR part 86, 89, 92, or 1039 for each engine to also be
a valid certificate of conformity under this part 94 for its model
year. If we make a determination that these engines do not conform to
the regulations during their useful life, we may require you to recall
them under this part 94 or under 40 CFR part 85, 89, 92, or 1039.
(d) Specific requirements. If you are an engine manufacturer and
meet all the following criteria and requirements regarding your new
marine engine, the engine is eligible for an exemption under this section:
(1) You must produce it by marinizing an engine covered by a valid
certificate of conformity from one of the following programs:
(i) Heavy-duty highway engines (40 CFR part 86).
(ii) Land-based nonroad diesel engines (40 CFR part 89 or 1039).
(iii) Locomotive engines (40 CFR part 92).
(2) The engine must have the label required under 40 CFR part 86,
89, 92, or 1039.
(3) You must not make any changes to the certified engine that
could reasonably be expected to increase its emissions. For example, if
you make any of the following changes to one of these engines, you do
not qualify for the engine dressing exemption:
(i) Change any fuel system parameters from the certified
configuration, or change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(ii) Replacing an original turbocharger, except that small-volume
manufacturers of recreational engines may replace an original
turbocharger with one that matches the performance of the original
turbocharger.
(iii) Modify or design the marine engine cooling or aftercooling
system so that temperatures or heat rejection rates are outside the
original engine manufacturer's specified ranges.
(4) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in marine applications. This
includes engines used in any application, without regard to which
company manufactures the vessel orequipment. Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(e) If you are an engine manufacturer or boat builder using this
exemption, you must do all of the following:
(1) Make sure the original engine label will remain clearly visible
after installation in the vessel.
(2) Add a permanent supplemental label to the engine in a position
where it will remain clearly visible after installation in the vessel.
In your engine label, do the following:
(i) Include the heading: ``Marine Engine Emission Control
Information''.

[[Page 40460]]

(ii) Include your full corporate name and trademark.
(iii) State: ``This engine was marinized without affecting its
emission controls.''
(iv) State the date you finished marinizing the engine (month and
year).
(3) Send a signed letter to the Designated Officer by the end of
each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone number.
(ii) List the engine models for which you expect to use this
exemption in the coming year and describe your basis for meeting the
sales restrictions of paragraph (d)(4) of this section.
(iii) State: ``We prepare each listed engine model for marine
application without making any changes that could increase its
certified emission levels, as described in 40 CFR 94.907.''
(f) Engine inventories. In general you may use up your inventory of
engines that are not certified to new marine emission standards if they
were originally manufactured before the date of the new standards.
However, stockpiling these engines is a violation of Sec.
94.1103(a)(1)(i)(A).
(g) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 94 and the
certificate issued under 40 CFR part 86, 89, 92, or 1039 will not be
deemed to also be a certificate issued under this part 94. Introducing
these engines into commerce without a valid exemption or certificate of
conformity under this part violates the prohibitions in 40 CFR
94.1103(a)(1).
(h) Data submission. (1) If you are the original manufacturer and
marinizer of an exempted engine, you must send us emission test data on
the appropriate marine duty cycles. You can include the data in your
application for certification or in the letter described in paragraph
(e)(3) of this section.
(2) If you are the original manufacturer of an exempted engine that
is marinized by a post-manufacture marinizer, you may be required to
send us emission test data on the appropriate marine duty cycles. If
such data are requested you will be allowed a reasonable amount of time
to collect the data.
(i) Participation in averaging, banking and trading. Engines
adapted for marine use under this section may not generate or use
emission credits under this part 94. These engines may generate credits
under the ABT provisions in 40 CFR part 86, 89, 92, or 1039, as
applicable. These engines must use emission credits under 40 CFR part
86, 89, 92, or 1039 as applicable if they are certified to an FEL that
exceeds an applicable standard.
(j) Operator requirements. The requirements for vessel
manufacturers, owners, and operators in subpart K of this part apply to
these engines whether they are certified under this part 94 or another
part as allowed by this section.

? 185. A new Sec. 94.912 is added to subpart J to read as follows:

Sec. 94.912 Optional certification to land-based standards for
auxiliary marine engines.

This section applies to auxiliary marine engines that are identical
to certified land-based engines. See Sec. 94.907 for provisions that
apply to propulsion marine engines or auxiliary marine engines that are
modified for marine applications.
(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce new marine engines into commerce if
they are already certified to the requirements that apply to
compression-ignition engines under 40 CFR part 89 or 1039 for the
appropriate model year. If you comply with all the provisions of this
section, we consider the certificate issued under 40 CFR part 86 or
1039 for each engine to also be a valid certificate of conformity under
this part 94 for its model year, without a separate application for
certification under the requirements of this part 94.
(b) Boat builder provisions. If you are not an engine manufacturer,
you may install an engine certified for land-based applications in a
marine vessel as long as you meet all the qualifying criteria and
requirements specified in paragraphs (d) and (e) of this section. If
you modify the non-marine engine, we will consider you a manufacturer
of a new marine engine. Such engine modifications prevent you from
using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted
under this section must meet all the applicable requirements from 40
CFR part 89 or 1039. This paragraph (c) applies to engine
manufacturers, boat builders who use such an engine, and all other
persons as if the engine were used in its originally intended
application. The prohibited acts of Sec. 94.1103(a)(1) apply to these
new engines and vessels; however, we consider the certificate issued
under 40 CFR part 89 or 1039 for each engine to also be a valid
certificate of conformity under this part 94 for its model year. If we
make a determination that these engines do not conform to the
regulations during their useful life, we may require you to recall them
under this part 94 or under 40 CFR part 89 or 1068.
(d) Qualifying criteria. If you are an engine manufacturer and meet
all the following criteria and requirements regarding your new marine
engine, the engine is eligible for an exemption under this section:
(1) The marine engine must be identical in all material respects to
a land-based engine covered by a valid certificate of conformity for
the appropriate model year showing that it meets emission standards for
engines of that power rating under 40 CFR part 89 or 1039.
(2) The engines may not be used as propulsion marine engines.
(3) You must show that the number of auxiliary marine engines from
the engine family must be smaller than the number of land-based engines
from the engine family sold in the United States, as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(e) Specific requirements. If you are an engine manufacturer or
boat builder using this exemption, you must do all of the following:
(1) Make sure the original engine label will remain clearly visible
after installation in the vessel. This label or a supplemental label
must identify that the original certification is valid for marine
auxiliary applications.
(2) Send a signed letter to the Designated Officer by the end of
each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone number.
(ii) List the engine models you expect to produce under this
exemption in the coming year.
(iii) State: ``We produce each listed engine model for marine
application without making any changes that could increase its
certified emission levels, as described in 40 CFR 94.907.''
(3) If you are the certificate holder, you must describe in your
application for certification how you plan to produce engines for both
land-based and auxiliary marine applications, including projected sales
of auxiliary marine engines to the extent this can be determined. If
the projected marine sales are substantial, we may ask for the

[[Page 40461]]

year-end report of production volumes to include actual auxiliary
marine engine sales.
(f) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 94 and the
certificate issued under 40 CFR part 89 or 1039 will not be deemed to
also be a certificate issued under this part 94. Introducing these
engines into commerce without a valid exemption or certificate of
conformity under this part violates the prohibitions in 40 CFR
94.1103(a)(1).
(g) Participation in averaging, banking and trading. Engines using
this exemption may not generate or use emission credits under this part
94. These engines may generate credits under the ABT provisions in 40
CFR part 89 or 1039, as applicable. These engines must use emission
credits under 40 CFR part 89 or 1039 as applicable if they are
certified to an FEL that exceeds an applicable standard.
(h) Operator requirements. The requirements for vessel
manufacturers, owners, and operators in subpart K of this part apply to
these engines whether they are certified under this part 94 or another
part as allowed by this section.

? 186. A new Sec. 94.913 is added to subpart J to read as follows:

Sec. 94.913 Staged-assembly exemption.

? 187. Section 94.1004 is amended by revising paragraphs (b) and (c)
introductory text to read as follows:

Sec. 94.1004 Maintenance, repair, adjustment, and recordkeeping.

* * * * *
(b) Unless otherwise approved by the Administrator, all
maintenance, repair, adjustment,and alteration of Category 3 engines
subject to the provisions of this part performed by any owner, operator
or other maintenance provider that is not covered by paragraph (a) of
this section shall be performed, using good engineering judgment, in
such a manner that the engine continues (after the maintenance, repair,
adjustment or alteration) to meet the emission standards it was
certified as meeting prior to the need for service. Adjustmentsare
limited to the range specified by the engine manufacturer in the
approved application for certification.
(c) A Category 3 engine may not be adjusted or altered contrary to
the requirements of Sec. 94.11 or paragraph (b) of this section,
except as allowed by Sec. 94.1103(b)(2). If such an adjustment or
alteration occurs, the engine must be returned to a configuration
allowed by this part within two hours of operation. Each two-hour
period during which there is noncompliance is a separate violation. The
following provisions apply to adjustments oralterations made under
Sec. 94.1103(b)(2):
* * * * *

? 188. Section 94.1103 is amended by revising paragraph (b)(3) and adding
paragraphs (a)(8) and (b)(4) to read as follows:

Sec. 94.1103 Prohibited acts.

(a) * * *
(8) For an owner or operator of a vessel installing a replacement
engine under the provisions of paragraph (b)(4) of this section to make
modifications to significantly increase the value of the vessel within
six months after installing the replacement engine.
(b) * * *
(3) Where the Administrator determines that no engine that is
certified to the requirements of this part is produced by any
manufacturer with the appropriate physical or performance
characteristics to repower a vessel, the Administrator may allow an
engine manufacturer to introduce into commerce a replacement engine
without complying with all of the otherwise applicable requirements of
this part. Such engine shall not be subject to the prohibitions of
paragraph (a)(1) of this section, subject to all the following provisions:
(i) The engine requiring replacement is not certified or is
certified to emission standards that are less stringent than those in
effect when the replacement engine is built.
(ii) The engine manufacturer or its agent takes ownership and
possession of the engine being replaced or confirms that the engine has
been destroyed.
(iii) If the engine being replaced was not certified to any
emission standards under this part, the replacement engine must have a
permanent label with your corporate name and trademark and the following
language, or similar alternate language approved by the Administrator:
THIS ENGINE DOES NOT COMPLY WITH U.S. EPA MARINE EMISSION
REQUIREMENTS. SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER
THAN TO REPLACE A MARINE ENGINE BUILT BEFORE JANUARY 1, [Insert
appropriate year reflecting when the earliest tier of standards began
to apply to engines of that size and type]
MAY BE A VIOLATION OF
FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(iv) If the engine being replaced was certified to emission
standards less stringent than those in effect when you produce the
replacement engine, the replacement engine must have a permanent label
with your corporate name and trademark and the following language, or
similar alternate language approved by the Administrator:
THIS ENGINE COMPLIES WITH U.S. EPA MARINE EMISSION REQUIREMENTS FOR
[Insert appropriate year reflecting when the Tier 1 or Tier 2 standards
for the replaced engine began to apply]
ENGINES UNDER 40 CFR
94.1103(b)(3). SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER
THAN TO REPLACE A MARINE ENGINEBUILT BEFORE JANUARY 1, [Insert
appropriate year reflecting when the next tier of emission standards
began to apply]
MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(v) Where the replacement engine is intended to replace an engine
that is certified to emission standards that are less stringent than
those in effect when the replacement engine is built, the replacement
engine shall be identical in all material respects to a certified
configuration of the same or later model year as the engine being replaced.
(vi) Engines sold pursuant to the provisions of this paragraph will
neither generate nor use emission credits and will not be part of any
accounting under the averaging, banking and trading program.
(vii) In cases where an engine is to be imported for replacement
purposes under the provisions of this paragraph (b)(3) of this section,
the term ``engine manufacturer'' shall not apply to an individual or
other entity that does not possess a current Certificate of Conformity
issued by EPA under this part; and
(viii) The provisions of this section may not be used to
circumventemission standards that apply to new engines under this part.
(4) An engine manufacturer may make the determination related to
replacement engines described in paragraph (b)(3) of this section instead

[[Page 40462]]

of the Administrator, if the new engine is needed to replace an engine
that has experienced catastrophic failure. The engine manufacturer must
consider whether certified engines are available from its own product
lineup or that of the manufacturer of the engine being replaced (if
different). The engine manufacturer must keep records explaining why a
certified engine was not available and make these records available
upon request.

? 189. Section 94.1106 is amended by revising the introductory text and
paragraphs (a)(1), (a)(2), (c)(1), and (d) to read as follows:

Sec. 94.1106 Penalties.

This section specifies actions that are prohibited and the maximum
civil penalties that we can assess for each violation. The maximum
penalty values listed in paragraphs (a) and (c) of this section are
shown for calendar year 2004. As described in paragraph (d) of this
section, maximum penalty limits for later years are set forth in 40 CFR
part 19.
(a) * * *
(1) A person who violates Sec. 94.1103(a)(1), (a)(4), (a)(5),
(a)(6), or (a)(7)(iv) or a manufacturer or dealer who violates Sec.
94.1103(a)(3)(i) or (iii) or Sec. 94.1103(a)(7) is subject to a civil
penalty of not more than $32,500 for each violation.
(2) A person other than a manufacturer or dealer who violates Sec.
94.1103(a)(3)(i) or (iii) orSec. 94.1103(a)(7)(i), (ii), or (iii) or
any person who violates Sec. 94.1103(a)(3)(ii) is subject to a civil
penalty of not more than $2,750 for each violation.
* * * * *
(c) * * *
(1) Administrative penalty authority. Subject to 42 U.S.C. 7524(c),
in lieu of commencing a civil action under paragraph (b) of this
section, the Administrator may assess any civil penalty prescribed in
paragraph (a) of this section, except that the maximum amount of
penalty sought against each violator in a penalty assessment proceeding
shall not exceed $270,000, unless the Administrator and the Attorney
General jointly determine that a matter involving a larger penalty
amount is appropriate for administrative penalty assessment. Any such
determination by the Administrator and the Attorney General is not
subject to judicial review. Assessment of a civil penalty shall be by
an order made on the record after opportunity for a hearing held in
accordance with the procedures found at part 22 of this chapter. The
Administrator may compromise, or remit, with or without conditions, any
administrative penalty which may be imposed under this section.
* * * * *
(d) The maximum penalty values listed in paragraphs (a) and (c) of
this section are shown for calendar year 2004. Maximum penalty limits
for later years may be adjusted based on the Consumer Price Index. The
specific regulatory provisions for changing the maximum penalties,
published in 40 CFR part 19, reference the applicable U.S. Code
citation on which the prohibited action is based.

PART 1039--CONTROL OF EMISSIONS FROM NEW AND IN-USE
NONROADCOMPRESSION-IGNITION ENGINES

? 190. The authority citation for part 1039 is revised to read as follows:

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

? 191. Section 1039.1 is amended by revising paragraph (c) to read as
follows:

Sec. 1039.1 Does this part apply for my engines?

* * * * *
(c) The definition of nonroad engine in 40 CFR 1068.30 excludes
certain engines used in stationary applications. These engines are not
required to comply with this part, except for the requirements in Sec.
1039.20. In addition, if these engines are uncertified, the
prohibitions in 40 CFR 1068.101 restrict their use as nonroad engines.
* * * * *

? 192. Section 1039.5 is amended by revising paragraphs (b)(1)(iii) and
(b)(2) to read as follows:

Sec. 1039.5 Which engines are excluded from this part's requirements?

* * * * *
(b) * * *
(1) * * *
(iii) Engines that are exempt from the standards of 40 CFR part 94
pursuant to the provisions of 40 CFR part 94 (except for the provisions
of 40 CFR 94.907 or 94.912). For example, an engine that is exempt
under 40 CFR 94.906 because it is a manufacturer-owned engine is not
subject to the provisions of this part 1039.
* * * * *
(2) Marine engines are subject to the provisions of this part 1039
if they are exempt from 40 CFR part 94 based on the engine-dressing
provisions of 40 CFR 94.907 or the common-family provisions of 40 CFR
94.912.
* * * * *

? 193. Section 1039.10 is amended by revising the introductory text to
read as follows:

Sec. 1039.10 How is this part organized?

The regulations in this part 1039 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part are generally addressed to the engine manufacturer. The term
``you'' generally means the engine manufacturer, as defined in Sec.
1039.801. This part 1039 is divided into the following subparts:
* * * * *

? 194. Section 1039.101 is amended by revising paragraph (g)(2) to read
as follows:

Sec. 1039.101 What exhaust emission standards must my engines meet
after the 2014 model year?

* * * * *
(g) * * *
(2) You may request in your application for certification that we
approve a shorter useful life for an engine family. We may approve a
shorter useful life, in hours of engine operation but not in years, if
we determine that these engines will rarely operate longer than the
shorter useful life. If engines identical to those in the engine family
have already been produced and are in use, your demonstration must
include documentation from such in-use engines. In other cases, your
demonstration must include an engineering analysis of information
equivalent to such in-use data, such as data from research engines or
similar engine models thatare already in production. Your demonstration
must also include any overhaul interval that you recommend, any
mechanical warranty that you offer for the engine or its components,
and any relevant customer design specifications. Your demonstration may
include any other relevant information. The useful life value may not
be shorter than any of the following:
(i) 1,000 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
* * * * *

? 195. Section 1039.104 is amended by revising paragraph (a)(4)(iii) to
read as follows:

Sec. 1039.104 Are there interim provisions that apply only for a
limited time?

* * * * *
(a) * * *
(4) * * *
(iii) All other offset-using engines must meet the standards and
other provisions that apply in model year 2011 for engines in the 19-
130 kW power categories, in model year 2010 for

[[Page 40463]]

engines in the 130-560 kW power category, or in model year 2014 for
engines above 560 kW. Show that engines meet these emission standards
by meeting all the requirements of Sec. 1068.265. You must meet the
labeling requirements in Sec. 1039.135, but add the following
statement instead of the compliance statement in Sec. 1039.135(c)(12):
``THIS ENGINE MEETS U.S. EPA EMISSIONSTANDARDS UNDER 40 CFR
1039.104(a).'' For power categories witha percentage phase-in, these
engines should be treated as phase-in engines for purposes of
determining compliance with phase-in requirements.
* * * * *

? 196. Section 1039.120 is amended by revising paragraph (b) before the
table to read as follows:

Sec. 1039.120 What emission-related warranty requirements apply to me?

* * * * *
(b) Warranty period. Your emission-related warranty must be valid
for at least as long as the minimum warranty periods listed in this
paragraph (b) in hours of operation and years, whichever comes first.
You may offer an emission-related warranty more generous than we
require. The emission-related warranty for the engine may not be
shorter than any published warranty you offer without charge for the
engine. Similarly, the emission-related warranty for any component may
not be shorter than any published warranty you offer without charge for
that component. If an engine has no hour meter, we base the warranty
periods in this paragraph (b) only on the engine's age (in years). The
warranty period begins when the engine is placed into service. The
minimum warranty periods are shown in the following table:
* * * * *

? 197. Section 1039.125 is amended by revising paragraph (g) introductory
text to readas follows:

Sec. 1039.125 What maintenance instructions must I give to buyers?

* * * * *
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following
criteria:
* * * * *
? 198. Section 1039.130 is amended by revising paragraph (b)(3) to read
as follows:

Sec. 1039.130 What installation instructions must I give to equipment
manufacturers?

* * * * *
(b) * * *
(3) Describe the instructions needed to properly install the
exhaust system and any other components. Include instructions
consistent with the requirements of Sec. 1039.205(u).
* * * * *
? 199. Section 1039.225 is amended by revising the section heading and
adding paragraphs (a)(3) and (f) to read as follows:

Sec. 1039.225 How do I amend my application for certification to
include new or modified engines or to change an FEL?

* * * * *
(a) * * *
(3) Modify an FEL for an engine family, as described in paragraph
(f) of this section.
* * * * *
(f) You may ask to change your FEL in the following cases:
(1) You may ask to raise your FEL after the start of production.
You may not apply the higher FEL to engines you have already introduced
into commerce. Use the appropriate FELs with corresponding sales
volumes to calculate your averageemission level, as described in
subpart H of this part. In your request, you must demonstrate that you
will still be able to comply with the applicable averageemission
standards as specified in subparts B and H of this part.
(2) You may ask to lower the FEL for your engine family after the
start of production only when you have test data from production
engines indicating that your engines comply with the lower FEL. You may
create a separate subfamily with the lower FEL. Otherwise, you must use
the higher FEL for the family to calculate your average emission level
under subpart H of this part.
(3) If you change the FEL during production, you must include the
new FEL on the emission control information label for all engines
produced after the change.

? 200. Section 1039.240 is amended by revising paragraphs (a) and (b) to
read as follows:

Sec. 1039.240 How do I demonstrate that my engine family complies
with exhaust emission standards?

(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical emission standards in Sec.
1039.101(a) and (b), Sec. 1039.102(a) and (b), Sec. 1039.104, and
Sec. 1039.105 if all emission-data engines representing that family
have test results showing deteriorated emission levels at or below
these standards. (Note: if you participate in the ABT program in
subpart H of this part, your FELs are considered to be the applicable
emission standards with which you must comply.)
(b) Your engine family is deemed not to comply if any emission-data
engine representing that family has test results showing a deteriorated
emission level above an applicable FEL or emission standard from Sec.
1039.101, Sec. 1039.102, Sec. 1039.104, or Sec. 1039.105 for any
pollutant.
* * * * *

Sec. 1039.260 [Removed]

? 201. Section 1039.260 is removed.

? 202. Section 1039.501 is amended by revising paragraph (a) to read as
follows:

Sec. 1039.501 How do I run a valid emission test?

(a) Use the equipment and procedures for compression-ignition
engines in 40 CFR part 1065 to determine whether engines meet the duty-
cycle emission standards in Sec. 1039.101(a) and (b). Measure the
emissions of all the pollutants we regulate in Sec. 1039.101 as
specified in 40 CFR part 1065. Use the applicable duty cycles specified
in Sec. Sec. 1039.505 and 1039.510.
* * * * *

Sec. 1039.510 [Amended]

? 203. Section 1039.510 is amended by removing paragraphs (c) and (d).

? 204. Section 1039.605 is amended by revising the section heading and
adding paragraph (g) to read as follows:

Sec. 1039.605 What provisions apply to engines certified under the
motor-vehicle program?

* * * * *
(g) Participation in averaging, banking and trading. Engines
adapted for nonroad use under this section may not generate or use
emission credits under this part 1039. These engines may generate
credits under the ABT provisions in 40 CFR part 86. These engines must
use emission credits under 40 CFR part 86 if they are certified to an
FEL that exceeds an applicable standard under 40 CFR part 86.

? 205. Section 1039.610 is amended by revising the section heading and
adding paragraph (g) to read as follows:

Sec. 1039.610 What provisions apply to vehicles certified under the
motor-vehicle program?

* * * * *
(g) Participation in averaging, banking and trading. Vehicles
adapted for nonroad use under this section may not generate or use
emission credits under

[[Page 40464]]

this part 1039. These vehicles may generate credits under the ABT
provisions in 40 CFR part 86. These vehicles must be included in the
calculation of the applicable fleet average in 40 CFR part 86.

? 206. Section 1039.625 is amended by revising the last entry in Table 1
and paragraph (j) to read as follows:

Sec. 1039.625 What requirements apply under the program for
equipment-manufacturer flexibility?

* * * * *
(a) * * *
(1) * * *

Table 1 of Sec. 1039.625.--General Availability of Allowances
------------------------------------------------------------------------
Power category Calendar years
------------------------------------------------------------------------

* * * * * * *
kW > 560............................................... 2011-2017
------------------------------------------------------------------------

* * * * *
(j) Provisions for engine manufacturers. As an engine manufacturer,
you may produceexempted engines as needed under this section. You do
not have to request thisexemption for your engines, but you must have
written assurance from equipment manufacturers that they need a certain
number of exempted engines under this section. Send us an annual report
of the engines you produce under this section, as described in Sec.
1039.250(a). For engines produced under the provisions of paragraph
(a)(2) of this section, you must certify the engines under this part
1039. For all other exempt engines, the engines must meet the emission
standards in paragraph (e) of this section and you must meet all the
requirements of 40 CFR 1068.265. If you show under 40 CFR 1068.265(c)
that the engines are identical in all material respects to engines that
you have previously certified to one or more FELs above the standards
specified in paragraph (e) of this section, you must supply sufficient
credits for these engines. Calculate these credits under subpart H of
this part using the previously certified FELs and the alternate
standards. You must meet the labeling requirements in 40 CFR 89.110,
but add the following statement instead of the compliance statement in
40 CFR 89.110(b)(10):

THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR
1039.625. SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSEOTHER
THAN FOR THE EQUIPMENT FLEXIBILITY PROVISIONS OF 40CFR 1039.625 MAY
BE A VIOLATION OF FEDERAL LAW SUBJECT TOCIVIL PENALTY.
* * * * *

? 207. Section 1039.655 is amended by revising paragraph (a)(3) to read
as follows:

Sec. 1039.655 What special provisions apply to engines sold in Guam,
American Samoa, or the Commonwealth of the Northern Mariana Islands?

(a) * * *
(3) You meet all the requirements of 40 CFR 1068.265.
* * * * *

? 208. Section 1039.740 amended by adding paragraph (b)(4) to read as
follows:

Sec. 1039.740 What restrictions apply for using emission credits?

* * * * *
(b) * * *
(4) If the maximum power of an engine generating credits under the
Tier 2 standards in 40 CFR part 89 is at or above 37 kW and below 75
kW, you may use those credits for certifying engines under the Option
#1 standards in Sec. 1039.102.
* * * * *

? 209. Section 1039.801 is amended by revising the definitions for
Aftertreatment, Brake power, Constant-speed operation, Exempted, Good
engineering judgment, Marineengine, Marine vessel, Maximum test speed,
Motor vehicle, Revoke, Suspend,United States, and Void and adding a
definition for Amphibious vehicle to read as follows:

Sec. 1039.801 What definitions apply to this part?

* * * * *
Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted
downstream of the exhaust valve (orexhaust port) whose design function
is to decrease emissions in the engine exhaust before it is exhausted
to the environment. Exhaust-gas recirculation (EGR) and turbochargers
are not aftertreatment.
* * * * *
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
* * * * *
Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operateaftertreatment devices.
* * * * *
Constant-speed operation means engine operation with a governor
that controls the operator input to maintain an engine at a reference
speed, even under changing load. For example, an isochronous governor
changes reference speed temporarily during a load change, then returns
the engine to its original reference speed after the engine stabilizes.
Isochronous governors typically allow speed changes up to 1.0%. Another
example is a speed-droop governor, which has a fixed reference speed at
zero load and allows the reference speed to decrease as load increases.
With speed-droop governors, speed typically decreases (3 to 10)% below
the reference speed at zero load, such that the minimum reference speed
occurs near the engine's point of maximum power.
* * * * *
Exempted has the meaning we give in 40 CFR 1068.30.
* * * * *
Good engineering judgment has the meaning we give in 40 CFR
1068.30. See 40 CFR 1068.5 for the administrative process we use to
evaluate good engineering judgment.
* * * * *
Marine engine means a nonroad engine that is installed or intended
to be installed on a marine vessel. This includes a portable auxiliary
marine engine only if its fueling, cooling, or exhaust system is an
integral part of the vessel. There are two kinds of marineengines:
(1) Propulsion marine engine means a marine engine that moves a vessel

[[Page 40465]]

through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
* * * * *
Maximum test speed has the meaning we give in 40 CFR 1065.1001.
* * * * *
Motor vehicle has the meaning we give in 40 CFR 85.1703(a).
* * * * *
Revoke has the meaning we give in 40 CFR 1068.30.
* * * * *
Suspend has the meaning we give in 40 CFR 1068.30.
* * * * *
United States has the meaning we give in 40 CFR 1068.30.
* * * * *
Void has the meaning we give in 40 CFR 1068.30.
* * * * *

? 210. Appendix VI to part 1039 is amended in the table by adding a
footnote to read as follows:

Appendix VI to Part 1039--Nonroad Compression-Ignition Composite
TransientCycle

------------------------------------------------------------------------
Normalized speed Normalized torque
Time(s) (percent) (percent)\1\
------------------------------------------------------------------------

* * * * * * *
------------------------------------------------------------------------
\1\ The percent torque is relative to maximum torque at the commanded
engine speed.

PART 1048--CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD SPARK-
IGNITION ENGINES

? 211. The authority citation for part 1048 is revised to read as follows:

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

? 212. The heading for subpart A is revised to read as follows:

Subpart A--Overview and Applicability

? 213. Section 1048.1 is revised to read as follows:

Sec. 1048.1 Does this part apply to me?

(a) The regulations in this part 1048 apply for all new, spark-
ignition nonroad engines (defined in Sec. 1048.801) with maximum
engine power above 19 kW, except as provided in Sec. 1048.5.
(b) This part 1048 applies for engines built on or after January 1,
2004. You need not follow this part for engines you produce before
January 1, 2004. See Sec. Sec. 1048.101 through 1048.115, Sec.
1048.145, and the definition of model year in Sec. 1048.801 for more
information about the timing of new requirements.
(c) The definition of nonroad engine in 40 CFR 1068.30 excludes
certain engines used in stationary applications. These engines are not
required to comply with this part, except for the requirements in Sec.
1048.20. In addition, if these engines are uncertified, the
prohibitions in 40 CFR 1068.101 restrict their use as nonroad engines.
(d) In certain cases, the regulations in this part 1048 apply to
engines with maximum engine power at or below 19 kW that would
otherwise be covered by 40 CFR part 90. See 40 CFR 90.913 for
provisions related to this allowance.

? 214. Section 1048.5 is revised to read as follows:

Sec. 1048.5 Which engines are excluded from this part's requirements?

This part does not apply to the following nonroad engines:
(a) Engines that are certified to meet the requirements of 40 CFR
part 1051, or are otherwise subject to 40 CFR part 1051 (for example,
engines used in snowmobiles and all-terrain vehicles).
(b) Propulsion marine engines. See 40 CFR part 91. This part
applies with respect to auxiliary marine engines.

? 215. Section 1048.10 is revised to read as follows:

Sec. 1048.10 How is this part organized?

The regulations in this part 1048 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part are generally addressed to the engine manufacturer. The term
``you'' generally means the engine manufacturer, as defined in Sec.
1048.801. This part 1048 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1048
and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify engines under this part.
Note that Sec. 1048.145 discusses certain interim requirements and
compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part describes general provisions for testing
production-line engines.
(e) Subpart E of this part describes general provisions for testing
in-use engines.
(f) Subpart F of this part describes how to test your engines
(including references to other parts of the Code of Federal Regulations).
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, equipment manufacturers, owners, operators, rebuilders,
and all others.
(h) [Reserved]
(i) Subpart I of this part contains definitions and other reference
information.

? 216. Section 1048.15 is revised to read as follows:

Sec. 1048.15 Do any other regulation parts affect me?

(a) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines. Subpart F of this part 1048
describes how to apply the provisions of part 1065 of this chapter to
determine whether engines meet the emission standards in this part.
(b) The requirements and prohibitions of part 1068 of this chapter
apply to everyone, including anyone who manufactures, imports,
installs, owns, operates, or rebuilds any of the engines subject to
this part 1048, or equipment containing these engines. Part 1068 of
this chapter describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers,
equipment manufacturers, and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain engines.
(4) Importing engines.
(5) Selective enforcement audits of your production.
(6) Defect reporting and recall.
(7) Procedures for hearings.
(c) Other parts of this chapter apply if referenced in this part.

[[Page 40466]]

? 217. Section 1048.20 is revised to read as follows:

Sec. 1048.20 What requirements from this part apply to excluded
stationary engines?

(a) You must add a permanent label or tag to each new engine you
produce or import that is excluded under Sec. 1048.1(c) as a
stationary engine. To meet labeling requirements, you must do the
following things:
(1) Attach the label or tag in one piece so no one can remove it
without destroying or defacing it.
(2) Secure it to a part of the engine needed for normal operation
and not normally requiring replacement.
(3) Make sure it is durable and readable for the engine's entire life.
(4) Write it in English.
(5) Follow the requirements in Sec. 1048.135(g) regarding
duplicate labels if the engine label is obscured in the final installation.
(b) Engine labels or tags required under this section must have the
following information:
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark. You may instead
include the full corporate name and trademark of another company you
choose to designate.
(3) State the engine displacement (in liters) and maximum engine power.
(4) State: ``THIS ENGINE IS EXCLUDED FROM THE REQUIREMENTS OF 40
CFR PART 1048 AS A ``STATIONARY ENGINE.'' INSTALLING ORUSING THIS
ENGINE IN ANY OTHER APPLICATION MAY BE AVIOLATION OF FEDERAL LAW
SUBJECT TO CIVIL PENALTY.''.

? 218. Section 1048.101 is amended by revising the introductory text and
paragraphs (a), (b), (c), (e), (g), and (h) to read as follows:

Sec. 1048.101 What exhaust emission standards must my engines meet?

The exhaust emission standards of this section apply by model year.
You may certify engines earlier than we require. The Tier 1 standards
apply only to steady-state testing, as described in paragraph (b) of
this section. The Tier 2 standards apply to steady-state, transient,
and field testing, as described in paragraphs (a), (b), and (c) of this
section.
(a) Emission standards for transient testing. Starting in the 2007
model year, transient exhaust emissions from your engines may not
exceed the Tier 2 emission standards, as follows:
(1) Measure emissions using the applicable transient test
procedures described in subpart F of this part.
(2) The Tier 2 HC+NO_X standard is 2.7 g/kW-hr and the
Tier 2 CO standard is 4.4 g/kW-hr. For severe-duty engines, the Tier 2
HC+NO_X standard is 2.7 g/kW-hr and the Tier 2 CO standard is
130.0 g/kW-hr. The following engines are not subject to the transient
standards in this paragraph (a):
(i) High-load engines.
(ii) Engines with maximum engine power above 560 kW.
(iii) Engines with maximum test speed above 3400 rpm.
(3) You may optionally certify your engines according to the
following formula instead of the standards in paragraph (a)(1) of this
section: (HC+NO_X) x CO\0.784\ <= 8.57. The HC+NO_X
and CO emission levels you select to satisfy this formula, rounded to
the nearest 0.1 g/kW-hr, become the emission standards that apply for
those engines. You may not select an HC+NO_X emission
standard higher than 2.7 g/kW-hr or a CO emission standard higher than
20.6 g/kW-hr. The following table illustrates a range of possible
values under this paragraph (a)(3):

Table 1 of Sec. 1048.101.--Examples of Possible Tier 2 Duty-cycle
Emission Standards
------------------------------------------------------------------------
CO (g/kW-
HC+NOX (g/kW-hr) hr)
------------------------------------------------------------------------
2.7........................................................ 4.4
2.2........................................................ 5.6
1.7........................................................ 7.9
1.3........................................................ 11.1
1.0........................................................ 15.5
0.8........................................................ 20.6
------------------------------------------------------------------------

(b) Standards for steady-state testing. Except as we allow in
paragraph (d) of this section, steady-state exhaust emissions from your
engines may not exceed emission standards, as follows:
(1) Measure emissions using the applicable steady-state test
procedures described in subpart F of this part:
(2) The following table shows the Tier 1 exhaust emission standards
that apply to engines from 2004 through 2006 model years:

Table 2 of Sec. 1048.101.--Tier 1 Emission Standards (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
General emission Alternate emission
standards standards for severe-
Testing -------------------------- duty engines
-------------------------
HC+NOX CO HC+NOX CO
----------------------------------------------------------------------------------------------------------------
Certification and production-line testing................... 4.0 50.0 4.0 130.0
In-use testing.............................................. 5.4 50.0 5.4 130.0
----------------------------------------------------------------------------------------------------------------

(3) Starting in the 2007 model year, steady-state exhaust emissions
from your engines may not exceed the numerical emission standards in
paragraph (a) of this section. See paragraph (d) of this section for
alternate standards that apply for certain engines.
(c) Standards for field testing. Starting in 2007, exhaust
emissions may not exceed field-testing standards, as follows:
(1) Measure emissions using the field-testing procedures in subpart
F of this part:
(2) The HC+NO_X standard is 3.8 g/kW-hr and the CO
standard is 6.5 g/kW-hr. For severe-duty engines, the HC+NO_X
standard is 3.8 g/kW-hr and the CO standard is 200.0 g/kW-hr. For
natural gas-fueled engines, you are not required to measure nonmethane
hydrocarbon emissions or total hydrocarbon emissions for testing to
show that the engine meets the emission standards of this paragraph
(c); that is, you may assume HC emissions are equal to zero.
(3) You may apply the following formula to determine alternate
emission standards that apply to your engines instead of the standards
in paragraph (c)(1) of this section: (HC+NO_X) x
CO0.791 <= 16.78. HC+NO_X emission levels may not
exceed 3.8 g/kW-hr and CO emission levels may not exceed 31.0 g/kW-hr.
The following table illustrates a range of possible values under this
paragraph (c)(2):

[[Page 40467]]

Table 3 of Sec. 1048.101.--Examples of Possible Tier 2 Field-testing
Emission Standards
------------------------------------------------------------------------
CO (g/kW-
HC+NOX (g/kW-hr) hr)
------------------------------------------------------------------------
3.8........................................................ 6.5
3.1........................................................ 8.5
2.4........................................................ 11.7
1.8........................................................ 16.8
1.4........................................................ 23.1
1.1........................................................ 31.0
------------------------------------------------------------------------

* * * * *
(e) Fuel types. The exhaust emission standards in this section
apply for engines using each type of fuel specified in 40 CFR part
1065, subpart H, on which the engines in the engine family are designed
to operate, except for engines certified under Sec. 1048.625. For
engines certified under Sec. 1048.625, the standards of this section
apply to emissions measured using the specified test fuel. You must
meet the numerical emission standards for hydrocarbons in this section
based on the following types of hydrocarbon emissions for engines
powered by the following fuels:
(1) Gasoline- and LPG-fueled engines: THC emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Alcohol-fueled engines: THCE emissions.
* * * * *
(g) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (c) of this section over their full
useful life. For severe-duty engines, the minimum useful life is 1,500
hours of operation or seven years, whichever comes first. For all other
engines, the minimum useful life is 5,000 hours of operation or seven
years, whichever comes first.
(1) Specify a longer useful life in hours for an engine family
under either of two conditions:
(i) If you design, advertise, or market your engine to operate
longer than the minimum useful life (your recommended hours until
rebuild may indicate a longer design life).
(ii) If your basic mechanical warranty is longer than the minimum
useful life.
(2) You may request in your application for certification that we
approve a shorter useful life for an engine family. We may approve a
shorter useful life, in hours of engine operation but not in years, if
we determine that these engines will rarely operate longer than the
shorter useful life. If engines identical to those in the engine family
have already been produced and are in use, your demonstration must
include documentation from such in-use engines. In other cases, your
demonstration must include an engineering analysis of information
equivalent to such in-use data, such as data from research engines or
similar engine models that are already in production. Your
demonstration must also include any overhaul interval that you
recommend, any mechanical warranty that you offer for the engine or its
components, and any relevant customer design specifications. Your
demonstration may include any other relevant information. The useful
life value may not be shorter than any of the following:
(i) 1,000 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
(h) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification, production-line,
and in-use testing. For production-line testing, you must perform duty-
cycle testing as specified in Sec. Sec. 1048.505 and 1048.510. The
field-testing standards of this section apply for those tests. You need
not do additional testing of production-line engines to show that your
engines meet the field-testing standards.

? 219. Section 1048.105 is amended by revising the section heading and
adding introductory text to read as follows:

Sec. 1048.105 What evaporative emission standards and requirements apply?

The requirements of this section apply to all engines that are
subject to this part, except auxiliary marine engines.
* * * * *

? 220. Section 1048.115 is amended by removing and reserving paragraph
(d) and revising the introductory text and paragraphs (a), (b), (e),
and (g) to read as follows:

Sec. 1048.115 What other requirements must my engines meet?

Engines subject to this part must meet the following requirements:
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life, except as follows:
(1) Engines may discharge crankcase emissions to the ambient
atmosphere if the emissions are added to the exhaust emissions (either
physically or mathematically) during all emission testing. If you take
advantage of this exception, you must do the following things:
(i) Manufacture the engines so that all crankcase emissions can be
routed into the applicable sampling systems specified in 40 CFR part 1065.
(ii) Account for deterioration in crankcase emissions when
determining exhaust deterioration factors.
(2) For purposes of this paragraph (a), crankcase emissions that
are routed to the exhaust upstream of exhaust aftertreatment during all
operation are not considered to be discharged directly into the ambient
atmosphere.
(b) Torque broadcasting. Electronically controlled engines must
broadcast their speed and output shaft torque (in newton-meters).
Engines may alternatively broadcast a surrogate value for determining
torque. Engines must broadcast engine parameters such that they can be
read with a remote device, or broadcast them directly to their
controller area networks. This information is necessary for testing
engines in the field (see Sec. 1048.515). This requirement applies
beginning in the 2007 model year. Small-volume engine manufacturers may
omit this requirement.
* * * * *
(e) Adjustable parameters. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing, including certification testing, selective enforcement
auditing, or in-use testing.
* * * * *
(g) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission-control device that
reduces the effectiveness of emission controls under conditions that
the engine may reasonably be expected to encounter during normal
operation and use. This does not apply to auxiliary-emission control
devices you identify in your certification application if any of the
following is true:
(1) The conditions of concern were substantially included in the
applicable test procedures described in subpart F of this part.
(2) You show your design is necessary to prevent engine (or
equipment) damage or accidents.
(3) The reduced effectiveness applies only to starting the engine.

? 221. Section 1048.120 is revised to read as follows:

[[Page 40468]]

Sec. 1048.120 What emission-related warranty requirements apply to me?

(a) General requirements. You must warrant to the ultimate
purchaser and each subsequent purchaser that the new nonroad engine,
including all parts of its emission-control system, meets two conditions:
(1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
(2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
(b) Warranty period. Your emission-related warranty must be valid
for at least 50 percent of the engine's useful life in hours of
operation or at least three years, whichever comes first. In the case
of a high-cost warranted part, the warranty must be valid for at least
70 percent of the engine's useful life in hours of operation or at
least five years, whichever comes first. You may offer an emission-
related warranty more generous than we require. The emission-related
warranty for the engine may not be shorter than any published warranty
you offer without charge for the engine. Similarly, the emission-
related warranty for any component may not be shorter than any
published warranty you offer without charge for that component. If an
engine has no hour meter, we base the warranty periods in this
paragraph (b) only on the engine's age (in years). The warranty period
begins when the engine is placed into service.
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
pollutant. This includes components listed in 40 CFR part 1068,
Appendix I, and components from any other system you develop to control
emissions. The emission-related warranty covers these components even
if another company produces the component. Your emission-related
warranty does not cover components whose failure would not increase an
engine's emissions of any pollutant.
(d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

? 222. Section 1048.125 is revised to read as follows:

Sec. 1048.125 What maintenance instructions must I give to buyers?

Give the ultimate purchaser of each new nonroad engine written
instructions for properly maintaining and using the engine, including
the emission-control system. The maintenance instructions also apply to
service accumulation on your emission-data engines, as described in 40
CFR part 1065.
(a) Critical emission-related maintenance. Critical emission-
related maintenance includes any adjustment, cleaning, repair, or
replacement of critical emission-related components. This may also
include additional emission-related maintenance that you determine is
critical if we approve it in advance. You may schedule critical
emission-related maintenance on these components if you meet the
following conditions:
(1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use engines. We will accept
scheduled maintenance as reasonably likely to occur if you satisfy any
of the following conditions:
(i) You present data showing that, if a lack of maintenance
increases emissions, it also unacceptably degrades the engine's
performance.
(ii) You present survey data showing that at least 80 percent of
engines in the field get the maintenance you specify at the recommended
intervals.
(iii) You provide the maintenance free of charge and clearly say so
in maintenance instructions for the customer.
(iv) You otherwise show us that the maintenance is reasonably
likely to be done at the recommended intervals.
(2) You may not schedule critical emission-related maintenance more
frequently than the following minimum intervals, except as specified in
paragraphs (a)(3),
(b) and (c) of this section:
(i) For catalysts, fuel injectors, electronic control units,
superchargers, and turbochargers: The useful life of the engine family.
(ii) For gaseous fuel-system components (cleaning without
disassembly only) and oxygen sensors: 2,500 hours.
(3) If your engine family has an alternate useful life under Sec.
1048.101(g) that is shorter than the period specified in paragraph
(a)(2)(ii) of this section, you may not schedule critical emission-
related maintenance more frequently than the alternate useful life,
except as specified in paragraph (c) of this section.
(b) Recommended additional maintenance. You may recommend any
additional amount of maintenance on the components listed in paragraph
(a) of this section, as long as you state clearly that these
maintenance steps are not necessary to keep the emission-related
warranty valid. If operators do the maintenance specified in paragraph
(a) of this section, but not the recommended additional maintenance,
this does not allow you to disqualify those engines from in-use testing
or deny a warranty claim. Do not take these maintenance steps during
service accumulation on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as substandard
fuel or atypical engine operation. For example, you may specify more
frequent cleaning of fuel system components for engines you have reason
to believe will be using fuel that causes substantially more engine
performance problems than commercial fuels of the same type that are
generally available across the United States. You must clearly state
that this additional maintenance is associated with the special
situation you are addressing.
(d) Noncritical emission-related maintenance. You may schedule any
amount of emission-related inspection or maintenance that is not
covered by paragraph (a) of this section, as long as you state in the
owners manual that these steps are not necessary to keep the emission-
related warranty valid. If operators fail to do this maintenance, this
does not allow you to disqualify those engines from in-use testing or
deny a warranty claim. Do not take these inspection or maintenance
steps during service accumulation on your emission-data engines.
(e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also take these inspection or
maintenance steps during service accumulation on your emission-data
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems, and adjusting idle speed,
governor, engine bolt torque, valve lash, or injector lash. You may
perform this nonemission-related maintenance on emission-data engines
at the least frequent intervals that you recommend to the ultimate
purchaser (but not the intervals recommended for severe service).

[[Continued on page 40469]]

Notices For
2007
2006
2005
2004
2003
2002
2001
2000
1999
1998
1997
1996
1995
1994

Test Procedures for Testing Highway and Nonroad Engines and Omnibus Technical Amendments

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