Control of Emissions of Air Pollution From Nonroad Diesel Engines and Fuel [pp. 39257-39273]

[Federal Register: June 29, 2004 (Volume 69, Number 124)]
[Rules and Regulations]
[Page 39257-39273]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr29jn04-27]

[[pp. 39257-39273]]
Control of Emissions of Air Pollution From Nonroad
Diesel Engines and Fuel

[[Continued from page 39256]]

[[Page 39257]]

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

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

? 89. The authority citation for part 1048 continues to read as follows:

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

? 90. Section 1048.125 is amended by revising paragraph (a) introductory
text and paragraph (d) to read as follows:

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

(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:
* * * * *
(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.
* * * * *

? 91. Section 1048.801 is amended by adding a definition for ``Critical
emission-related component'' in alphabetical order to read as follows:

Sec. 1048.801 What definitions apply to this part?

* * * * *
Critical emission-related component means any of the following
components: (1) Electronic control units, aftertreatment devices, fuel-
metering components, EGR-system components, crankcase-ventilation
valves, all components related to charge-air compression and cooling,
and all sensors and actuators associated with any of these components.
(2) Any other component whose primary purpose is to reduce emissions.
* * * * *

PART 1051--CONTROL OF EMISSIONS FROM RECREATIONAL ENGINES AND VEHICLES

? 92. The authority citation for part 1051 continues to read as follows:

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

? 93. Section 1051.125 is amended by revising paragraph (a) introductory
text and paragraph (d) to read as follows:

Sec. 1051.125 What maintenance instructions must I give to buyers?

? 94. Section 1051.801 is amended by adding a definition for ``Critical
emission-related component'' in alphabetical order to read as follows:

Sec. 1051.801 What definitions apply to this part?

* * * * *
Critical emission-related component means any of the following
components:

[[Page 39260]]

(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors and actuators associated with any of these components.
(2) Any other component whose primary purpose is to reduce emissions.
* * * * *

PART 1065--TEST PROCEDURES AND EQUIPMENT

? 95. The authority citation for part 1065 continues to read as follows:

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

? 96. Section 1065.1 is amended by revising paragraph (a) and removing
and reserving paragraph (b)(6) to read as follows:

Sec. 1065.1 Applicability.

(a) This part describes the procedures that apply to testing that
we require for the following engines or for equipment using the
following engines:
(1) Large nonroad spark-ignition engines we regulate under 40 CFR
part 1048.
(2) Vehicles that we regulate under 40 CFR part 1051 (i.e.,
recreational SI vehicles) that are regulated based on engine testing.
See 40 CFR part 1051 to determine which vehicles may be certified based
on engine test data.
(3) Land-based nonroad compression-ignition engines we regulate
under 40 CFR part 1039.
* * * * *

? 97. Section 1065.10 is amended by revising paragraph (c)(3) to read as
follows:

Sec. 1065.10 Other test procedures.

* * * * *
(c) * * *
(3) You may ask to use alternate procedures that produce
measurements equivalent to those from the specified procedures. If you
send us a written request showing your procedures are equivalent, and
we agree that they are equivalent, we will allow you to use them. You
may not use an alternate procedure until we approve them, either by:
telling you directly that you may use this procedure; or issuing
guidance to all manufacturers, which allows you to use the alternate
procedure without additional approval. You may use the statistical
procedures specified in 40 CFR 86.1306-07(d) to demonstrate
equivalence, except that you test for equal variances by performing the
F-test as follows, instead of the method specified in Sec. 86.1306-
07(d)(5)(iv)(C):

(i) Form the F ratio: F = (Asd/Rsd) 2.

Where:

Asd = the standard deviation of measurements with the alternate
system.
Rsd = the standard deviation of measurements with the reference
system.
(ii) F must be less than the critical t value, Fcrit, at a 90%
confidence interval for ``n-1'' degrees of freedom.
(iii) The following table lists 90% confidence-interval Fcrit values
for n-1 degrees of freedom. Note that nA represents the number of
alternate system samples, while nR represents the number of
reference system samples:

--------------------------------------------------------------------------------------------------------------------------------------------------------
nR-1 nA-1 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
--------------------------------------------------------------------------------------------------------------------------------------------------------
6................ ............... 3.055 3.014 2.983 2.958 2.937 2.92 2.905 2.892 2.881 2.871 2.863 2.855 2.848 2.842 2.836
7................ ............... 2.827 2.785 2.752 2.725 2.703 2.684 2.668 2.654 2.643 2.632 2.623 2.615 2.607 2.601 2.595
8................ ............... 2.668 2.624 2.589 2.561 2.538 2.519 2.502 2.488 2.475 2.464 2.455 2.446 2.438 2.431 2.425
9................ ............... 2.551 2.505 2.469 2.440 2.416 2.396 2.379 2.364 2.351 2.340 2.329 2.320 2.312 2.305 2.298
10............... ............... 2.461 2.414 2.377 2.347 2.323 2.302 2.284 2.269 2.255 2.244 2.233 2.224 2.215 2.208 2.201
11............... ............... 2.389 2.342 2.304 2.274 2.248 2.227 2.209 2.193 2.179 2.167 2.156 2.147 2.138 2.13 2.123
12............... ............... 2.331 2.283 2.245 2.214 2.188 2.166 2.147 2.131 2.117 2.105 2.094 2.084 2.075 2.067 2.06
13............... ............... 2.283 2.234 2.195 2.164 2.138 2.116 2.097 2.080 2.066 2.053 2.042 2.032 2.023 2.014 2.007
14............... ............... 2.243 2.193 2.154 2.122 2.095 2.073 2.054 2.037 2.022 2.010 1.998 1.988 1.978 1.97 1.962
15............... ............... 2.208 2.158 2.119 2.086 2.059 2.037 2.017 2.000 1.985 1.972 1.961 1.950 1.941 1.932 1.924
16............... ............... 2.178 2.128 2.088 2.055 2.028 2.005 1.985 1.968 1.953 1.940 1.928 1.917 1.908 1.899 1.891
17............... ............... 2.152 2.102 2.061 2.028 2.001 1.978 1.958 1.940 1.925 1.912 1.900 1.889 1.879 1.87 1.862
18............... ............... 2.130 2.079 2.038 2.005 1.977 1.954 1.933 1.916 1.900 1.887 1.875 1.864 1.854 1.845 1.837
19............... ............... 2.109 2.058 2.017 1.984 1.956 1.932 1.912 1.894 1.878 1.865 1.852 1.841 1.831 1.822 1.814
20............... ............... 2.091 2.040 1.999 1.965 1.937 1.913 1.892 1.875 1.859 1.845 1.833 1.821 1.811 1.802 1.794
--------------------------------------------------------------------------------------------------------------------------------------------------------

* * * * *

? 98. In Sec. 1065.115, text is added to read as follows:

Sec. 1065.115 Exhaust gas sampling system; compression-ignition engines.

Use one of the following systems and procedures to measure
emissions from compression-ignition engines:
(a) Full-flow dilution sampling as specified in 40 CFR 86.1310.
(b) Raw-gas sampling during steady-state tests as specified in 40
CFR 89.412 through 89.418.
(c) Partial-flow sampling for measuring gaseous emission
constituents during steady-state tests as specified in 40 CFR 89.112(c).

? 99. In Sec. 1065.205, text is added to read as follows:

Sec. 1065.205 Test fuel specifications for distillate diesel fuel.

(a)(1) There are three grades of #2 diesel fuel specified
for use as a test fuel. See the standard-setting part to determine
which grade to use. If the standard-setting part does not specify which
grade to use, use good engineering judgment to select the grade that
represents the fuel on which the engines will operate in use. The three
grades are specified as follows:

[[Page 39261]]

(E) EP..................................... [deg]C................................. D 86 321-366 321-366 321-366
(iv) Gravity................................... [deg]API............................... D 287 32-37 32-37 32-37
(v) Total sulfur............................... ppm.................................... D 2622 7-15 300-500 2000-4000
(vi) Hydrocarbon composition:
Aromatics, minimum. (Remainder shall be pct.................................... D 5186 10 10 10
paraffins, naphthenes, and olefins).
(vii) Flashpoint, min.......................... [deg]C................................. D 93 54 54 54
(viii) Viscosity............................... centistokes............................ D 445 2.0-3.2 2.0-3.2 2.0-3.2
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ All ASTM standards are incorporated by reference in Sec. 1065.1010.

(2) [Reserved]
(b) There are no specifications for #1 diesel fuel. See
Sec. 1065.201(d) if your engines are designed to operate only on
#1 diesel fuel.

? 100. In Sec. 1065.310, text is added to read as follows:

Sec. 1065.310 CVS calibration.

Use the procedures of 40 CFR 86.1319-90 to calibrate the CVS.

? 101. Section 1065.405 is amended by revising paragraph (b) to read as
follows:

Sec. 1065.405 Preparing and servicing a test engine.

* * * * *
(b) Run the test engine, with all emission-control systems
operating, long enough to stabilize emission levels.
(1) For SI engines, if you accumulate 50 hours of operation, you
may consider emission levels stable without measurement.
(2) For CI engines, if you accumulate 125 hours of operation, you
may consider emission levels stable without measurement.
* * * * *

? 102. Section 1065.530 is amended by revising paragraph (b)(3)(iii) and
adding paragraphs (d) and (e) to read as follows:

Sec. 1065.530 Test cycle validation criteria.

* * * * *
(b) * * *
(3) * * *
(iii) For a valid test, make sure the feedback cycle's integrated
brake kilowatt-hour is within 5 percent of the reference cycle's
integrated brake kilowatt-hour. Also, ensure that the slope, intercept,
standard error, and coefficient of determination meet the criteria in
the following tables (you may delete individual points from the
regression analyses, consistent with paragraph (e) of this section and
good engineering judgment):

Table 1 of Sec. 1065.530.--Statistical Criteria for Validating Test Cycles for Spark-Ignition Engines
----------------------------------------------------------------------------------------------------------------
Speed Torque Power
----------------------------------------------------------------------------------------------------------------
1. Slope of the regression line (m).. 0.950 to 1.030......... 0.830 to 1.030......... 0.880 to 1.030.
2. Y intercept of the regression line [verbar]b[verbar]
< = 50 [verbar]b[verbar]
< = [verbar]b[verbar] < =
(b). rpm. 5.0 percent of maximum 3.0 percent of maximum
torque from power map. torque from power map.
3. Standard error of the estimate of 100 rpm................ 15 percent of maximum 10 percent of maximum
Y on X (SE). torque from power map. power from power map.
4. Coefficient of determination (r r \2\ >= 0.970......... r \2\ >= 0.880......... r \2\ >= 0.900.
\2\).
----------------------------------------------------------------------------------------------------------------

Table 2 of Sec. 1065.530.--Statistical Criteria for Validating Test Cycles for Compression-Ignition Engines
----------------------------------------------------------------------------------------------------------------
Speed Torque Power
----------------------------------------------------------------------------------------------------------------
1. Slope of the regression line (m).. 0.950 to 1.030......... 0.830 to 1.030 (hot); 0.890 to 1.030 (hot);
0.77 to 1.03 (cold). 0.870 to 1.030 (cold).
2. Y intercept of the regression line [verbar]b[verbar]
< = 50 [verbar]b[verbar]
< = 20 [verbar]b[verbar] < =
(b). rpm. Nm or 4.0 kW or
[verbar]b[verbar]
< = [verbar]b[verbar]
< =
2.0 percent of maximum 3.0 percent of maximum
torque from power map, torque from power map,
whichever is greater. whichever is greater.
3. Standard error of the estimate of 100 rpm................ 13 percent of maximum 8 percent of maximum
Y on X (SE). torque from power map. power from power map.
4. Coefficient of determination (r r \2\ >= 0.970......... r \2\ >= 0.880 (hot); r r \2\ >= 0.910 (hot); r
\2\). \2\ >= 0.850 (cold);. \2\ >= 0.850 (cold).
----------------------------------------------------------------------------------------------------------------

* * * * *
(d) Transient testing with constant-speed engines. For constant-
speed engines with installed governor operating over a transient duty
cycle, the test cycle validation criteria in this section apply to
engine-torque values but not engine-speed values.
(e) Omissions. You may omit the following points from duty cycle
statistics calculations:
(1) Feedback torque and power during motoring reference commands
when operator demand is at its minimum.
(2) Feedback speed and power during idle-speed oscillations, if all
the following are true:
(i) Reference command is 0% speed and 0% torque.
(ii) Operator demand (i.e., throttle) is at its minimum.
(iii) Absolute value of feedback torque is less than the sum of the
reference torque plus 2% of the maximum mapped torque.
(3) Feedback power and either speed or torque for a given point
when approaching maximum demand, if all the following are true:
(i) Operator demand (i.e., throttle) is at its maximum.
(ii) Either feedback speed is less than reference speed or feedback
torque is less than reference torque, but both are not less than their
respective reference values.
(4) Feedback power and either speed or torque for a given point,
when approaching minimum demand, if all the following are true:

[[Page 39262]]

(i) Operator demand (i.e., throttle) is at its minimum.
(ii) Either feedback speed is greater than 105% of reference speed
or feedback torque is greater than 105% of reference torque, but both
are not greater than these values.

? 103. Section 1065.615 is amended by revising paragraphs (c), (d), and
(e) to read as follows:

Sec. 1065.615 Bag sample calculations.

* * * * *
(c) Calculate total brake work (kW-hr) done during the emissions
sampling period of each segment or mode and then weight it by the
applicable test cycle weighting factors.
(d) Calculate emissions in g/kW-hr by dividing the total weighted
mass emission rate (g/test) by the total cycle-weighted brake work for
the test.
(e) Apply deterioration factors or other adjustment factors to the
brake-specific emission rate in paragraph (d) of this section, as
specified in the standard-setting part.

? 104. Section 1065.620 is added to subpart G to read as follows:

Sec. 1065.620 Continuous sample analysis and calculations.

Use the sample analysis procedures and calculations of 40 CFR part
86, subpart N, for continuous samples.

? 105. Section 1065.701 is added to subpart H to read as follows:

Sec. 1065.701 Particulate measurements.

Use the particulate sampling system and procedures specified in 40
CFR part 86, subpart N, to measure particulate emissions from
compression-ignition nonroad engines.

? 106. Section 1065.910 is revised to read as follows:

Sec. 1065.910 Measurement accuracy and precision.

Measurement systems used for field testing have accuracy and
precision comparable to those of dynamometer testing. Measurement
systems that conform to the provisions of Sec. Sec. 1065.915 through
1065.950 are deemed to be in compliance with the accuracy and precision
requirements of paragraph of this section. If you use other field
testing measurement systems you need to have documentation indicating
that it is comparable to a dynamometer system.
(a) The two systems must be calibrated independently to NIST
traceable standards or equivalent national standards for this
comparison. We may approve the use of other standards. Calculations of
emissions results for this test should be consistent with the field
testing data reduction scheme for both the in-use equipment and the
dynamometer equipment, and each complete test cycle will be considered
one ``summing interval'', Si as defined in the field-testing data
reduction scheme.
(b) While other statistical analyses may be acceptable, we
recommend that the comparison be based on a minimum of seven (7)
repeats of colocated and simultaneous tests. Perform this comparison
over the applicable steady-state and transient test cycles using an
engine that is fully warmed up such that its coolant temperature is
thermostatically controlled. If there is no applicable transient test
cycle, use the applicable steady-state cycle. Anyone who intends to
submit an alternative comparison is encouraged to first contact EPA
Office of Transportation and Air Quality, Assessment and Standards
Division to discuss the applicant's intended statistical analysis. The
Division may provide further guidance specific to the appropriate
statistical analysis for the respective application.
(c) The following statistical tests are suggested. If the
comparison is paired, it must demonstrate that the alternate system
passes a two-sided, paired t-test. If the test is unpaired, it must
demonstrate that the alternate system passes a two-sided, unpaired t-
test. The average of these tests for the reference system must return
results less than or equal to the applicable emissions standard. The t-
test is performed as follows, where ``n'' equals the number of tests:
(1) Calculate the average of the in-use system results; this is Iavg.
(2) Calculate the average of the results of the system to which the
in-use system was Referenced; this is Ravg.
(3) Calculate the ``n-1'' standard deviations for the in-use and
reference averages; these are Isd and Rsd respectively. Form the F
ratio: F = (Isd/Rsd) 2. F must be less than the critical F value, Fcrit
at a 95% confidence interval for ``n-1'' degrees of freedom. Table 1 of
this section lists 95% confidence interval Fcrit values for n-1 degrees
of freedom. Note that n_A represents the number of alternate
system samples, while n_R represents the number of reference
system samples.
(4) For an unpaired comparison, calculate the t-value:

t_unpaired = (I_avg - R_avg)/
((I_sd2 +R_sd2)/
n)\1/2\

(5) For a paired comparison, calculate the ``n-1'' standard
deviation (squared) of the differences, d_i, between the
paired results, where ``i'' represents the ith test of n
number of tests:

S_D2 = (Sd_i2 -
((Sd_i)2/n))/(n-1)

(6) For a paired comparison, calculate the t-value:

t_paired = (I_avg - R_avg)/
(S_D2/n)\1/2\

(d) The absolute value of t must be less than the critical t value,
t_crit at a 95% confidence interval for ``n-1'' degrees of
freedom.

Table 1 of Sec. 1065.910--95% Confidence Interval Critical F Values for F-Test
--------------------------------------------------------------------------------------------------------------------------------------------------------
nR-1 nI-1 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
--------------------------------------------------------------------------------------------------------------------------------------------------------
6................ ............... 4.284 4.207 4.147 4.099 4.06 4.027 4 3.976 3.956 3.938 3.922 3.908 3.896 3.884 3.874
7................ ............... 3.866 3.787 3.726 3.677 3.637 3.603 3.575 3.55 3.529 3.511 3.494 3.48 3.467 3.455 3.445
8................ ............... 3.581 3.5 3.438 3.388 3.347 3.313 3.284 3.259 3.237 3.218 3.202 3.187 3.173 3.161 3.15
9................ ............... 3.374 3.293 3.23 3.179 3.137 3.102 3.073 3.048 3.025 3.006 2.989 2.974 2.96 2.948 2.936
10............... ............... 3.217 3.135 3.072 3.02 2.978 2.943 2.913 2.887 2.865 2.845 2.828 2.812 2.798 2.785 2.774
11............... ............... 3.095 3.012 2.948 2.896 2.854 2.818 2.788 2.761 2.739 2.719 2.701 2.685 2.671 2.658 2.646
12............... ............... 2.996 2.913 2.849 2.796 2.753 2.717 2.687 2.66 2.637 2.617 2.599 2.583 2.568 2.555 2.544
13............... ............... 2.915 2.832 2.767 2.714 2.671 2.635 2.604 2.577 2.554 2.533 2.515 2.499 2.484 2.471 2.459
14............... ............... 2.848 2.764 2.699 2.646 2.602 2.565 2.534 2.507 2.484 2.463 2.445 2.428 2.413 2.4 2.388
15............... ............... 2.79 2.707 2.641 2.588 2.544 2.507 2.475 2.448 2.424 2.403 2.385 2.368 2.353 2.34 2.328
16............... ............... 2.741 2.657 2.591 2.538 2.494 2.456 2.425 2.397 2.373 2.352 2.333 2.317 2.302 2.288 2.276
17............... ............... 2.699 2.614 2.548 2.494 2.45 2.413 2.381 2.353 2.329 2.308 2.289 2.272 2.257 2.243 2.23
18............... ............... 2.661 2.577 2.51 2.456 2.412 2.374 2.342 2.314 2.29 2.269 2.25 2.233 2.217 2.203 2.191
19............... ............... 2.628 2.544 2.477 2.423 2.378 2.34 2.308 2.28 2.256 2.234 2.215 2.198 2.182 2.168 2.155
20............... ............... 2.599 2.514 2.447 2.393 2.348 2.31 2.278 2.25 2.225 2.203 2.184 2.167 2.151 2.137 2.124
--------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 39263]]

Table 2 of Sec. 1065.910.--95% Confidence Interval Critical t Values
for t-test
------------------------------------------------------------------------
n-1 tcrit
------------------------------------------------------------------------
6.......................................................... 2.45
7.......................................................... 2.36
8.......................................................... 2.31
9.......................................................... 2.26
10......................................................... 2.23
11......................................................... 2.20
12......................................................... 2.18
13......................................................... 2.16
14......................................................... 2.14
15......................................................... 2.13
16......................................................... 2.12
17......................................................... 2.11
18......................................................... 2.10
19......................................................... 2.09
20......................................................... 2.09
------------------------------------------------------------------------

? 107. Section 1065.1001 is amended by adding the definition for
``Operator demand'' in alphabetical order to read as follows:

Sec. 1065.1001 Definitions.

* * * * *
Operator demand means an engine operator's input to control engine
output. The operator may be a person, a governor, or other controller
that mechanically or electronically signals an input that demands
engine output. Input may be an accelerator pedal or signal, a throttle-
control lever or signal, a fuel lever or signal, a speed lever or
signal, or a governor setpoint or signal. Output means engine power, P,
which is the product of engine speed, '', and engine torque, T.
* * * * *

? 108. Section 1065.1010 is amended by revising the entry for ASTM D 86-
01 and by adding the following entries to Table 1 in alphanumeric order
to read as follows:

Sec. 1065.1010 Reference materials.

(a) * * *

Table 1 of Sec. 1065.1010.--ASTM Materials
------------------------------------------------------------------------
Document number and name Part 1065 reference
------------------------------------------------------------------------
ASTM D 86-01, Standard Test Method for 1065.205, 1065.210
Distillation of Petroleum Products at Atmospheric
Pressure.........................................

* * * * * * *
ASTM D 93-02a, Standard Test Methods for Flash 1065.205
Point by Pensky-Martens Closed Cup Tester........
ASTM D 287-92, (Reapproved 2000), Standard Test 1065.205
Method for API Gravity of Crude Petroleum and
Petroleum Products (Hydrometer Method)...........

* * * * * * *
ASTM D 445-03, Standard Test Method for Kinematic 1065.205
Viscosity of Transparent and Opaque Liquids (and
the Calculation of Dynamic Viscosity)............
ASTM D 613-03b, Standard Test Method for Cetane 1065.205
Number of Diesel Fuel Oil........................
ASTM D 976-91 (Reapproved 2000), Standard Test 1065.205
Methods for Calculated Cetane Index of Distillate
Fuels............................................

* * * * * * *
ASTM D 2622-03, Standard Test Method for Sulfur in 1065.205
Petroleum Products by Wavelength Dispersive X-ray
Fluorescence Spectrometry........................

* * * * * * *
ASTM D 5186-03, Standard Test Method for 1065.205
Determination of the Aromatic Content and
Polynuclear Aromatic Content of Diesel Fuels and
Aviation Turbine Fuels By Supercritical Fluid
Chromatography...................................
------------------------------------------------------------------------

* * * * *

PART 1068--GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS

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

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

? 110. Section 1068.1 is amended by revising paragraphs (a), (b)(5), and
(d) and adding paragraph (e) to read as follows:

Sec. 1068.1 Does this part apply to me?

(a) The provisions of this part apply to everyone with respect to
the following engines and to equipment using the following engines
(including owners, operators, parts manufacturers, and persons
performing maintenance).
(1) Large nonroad spark-ignition engines we regulate under 40 CFR
part 1048.
(2) Recreational SI engines and vehicles that we regulate under 40
CFR part 1051 (such as snowmobiles and off-highway motorcycles).
(3) Land-based nonroad diesel engines that we regulate under 40 CFR
part 1039.
(b) * * *
(5) Land-based nonroad diesel engines that we regulate under 40 CFR
part 89.
* * * * *
(d) Paragraph (a)(1) of this section identifies the parts of the
CFR that define emission standards and other requirements for
particular types of engines and vehicles. This part 1068 refers to each
of these other parts generically as the ``standard-setting part.'' For
example, 40 CFR part 1051 is always the standard-setting part for
snowmobiles. Follow the provisions of the standard-setting part if they
are different than any of the provisions in this part.
(e)(1) The provisions of Sec. Sec. 1068.30, 1068.310, and 1068.320
apply for stationary spark-ignition engines built on or after January
1, 2004, and for stationary compression-ignition engines built on or
after January 1, 2006.
(2) The provisions of Sec. Sec. 1068.30 and 1068.235 apply for the
types of engines listed in paragraph (a) of this section beginning
January 1, 2004, where they are used solely for competition.

? 111. Section 1068.5 is amended by revising paragraphs (a) and (e) to
read as follows:

Sec. 1068.5 How must manufacturers apply good engineering judgment?

(a) You must use good engineering judgment for decisions related to
any requirements under this chapter. This includes your applications
for certification, any testing you do to show that your certification,
production-line, and in-use engines comply with

[[Page 39264]]

requirements that apply to them, and how you select, categorize,
determine, and apply these requirements.
* * * * *
(e) If you disagree with our conclusions, you may file a request
for a hearing with the Designated Officer as described in subpart G of
this part. In your request, specify your objections, include data or
supporting analysis, and get your authorized representative's
signature. If we agree that your request raises a substantial factual
issue, we will hold the hearing according to subpart F of this part.

? 112. Section 1068.10 is amended by revising the section heading to read
as follows:

Sec. 1068.10 What provisions apply to confidential information?

? 113. Section 1068.25 is amended by revising paragraph (b) to read as
follows:

Sec. 1068.25 What information must I give to EPA?

* * * * *
(b) You must establish and maintain records, perform tests, make
reports and provide additional information that we may reasonably
require under section 208 of the Act (42 U.S.C. 7542). This also
applies to engines we exempt from emission standards or prohibited
acts.

? 114. A new Sec. 1068.27 is added to read as follows:

Sec. 1068.27 May EPA conduct testing with my production engines?

If we request it, you must make a reasonable number of production-
line engines available for a reasonable time so we can test or inspect
them for compliance with the requirements of this chapter.

? 115. Section 1068.30 is amended by revising the definitions for
``Act'', ``Certificate holder'', ``Emission-related defect'', ``Engine-
based'', ``Engine manufacturer'', ``Equipment-based'', ``Equipment
manufacturer'', ``Manufacturer'', ``Nonroad engine'', ``Operating
hours'', and ``Ultimate purchaser'', and ``U.S.-directed production
volume'' and adding definitions for ``Aftertreatment'' and in
alphabetical order to read as follows:

Sec. 1068.30 What definitions apply to this part?

* * * * *
Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted
downstream of the exhaust valve (or exhaust port) whose design function
is to reduce emissions in the engine exhaust before it is exhausted to
the environment. Exhaust-gas recirculation (EGR) is not aftertreatment.
* * * * *
Certificate holder means a manufacturer (including importers) with
a currently valid certificate of conformity for at least one engine
family in a given model year.
* * * * *
Emission-related defect means a defect in design, materials, or
workmanship (in an emission-control device or vehicle component or
system) that affects an emission-related component, parameter, or
specification that is identified in Appendix I or Appendix II of this
part. Using an incorrect emission-related component is an emission-
related defect.
* * * * *
Engine-based means having emission standards in units of grams of
pollutant per kilowatt-hour, and which apply to the engine. Emission
standards are either engine-based or equipment-based.
Engine manufacturer means the manufacturer that is subject to the
certification requirements of the standard-setting part. For vehicles
and equipment subject to this part and regulated under vehicle-based or
equipment-based standards, the term engine manufacturer in this part
includes vehicle and equipment manufacturers.
Equipment-based means having emission standards that apply to the
equipment in which an engine is used, without regard to how the
emissions are measured. Where equipment-based standards apply, we
require that the equipment be certified, rather than just the engine.
Emission standards are either engine-based or equipment-based.
Equipment manufacturer means any company manufacturing a piece of
equipment (such as a vehicle).
Manufacturer has the meaning given in section 216(1) of the Act (42
U.S.C. 7550(1)). In general, this term includes any person who
manufactures an engine or vehicle for sale in the United States or
otherwise introduces a new engine or vehicle into commerce in the
United States. This includes importers that import new engines or new
equipment into the United States for resale. It also includes secondary
engine manufacturers, as described in Sec. 1068.255.
* * * * *
Nonroad engine means:
(1) Except as discussed in paragraph (2) of this definition, a
nonroad engine is any internal combustion engine:
(i) In or on a piece of equipment that is self-propelled or serves
a dual purpose by both propelling itself and performing another
function (such as garden tractors, off-highway mobile cranes and
bulldozers); or
(ii) In or on a piece of equipment that is intended to be propelled
while performing its function (such as lawnmowers and string trimmers);
or
(iii) That, by itself or in or on a piece of equipment, is portable
or transportable, meaning designed to be and capable of being carried
or moved from one location to another. Indicia of transportability
include, but are not limited to, wheels, skids, carrying handles,
dolly, trailer, or platform.
(2) An internal combustion engine is not a nonroad engine if:
(i) The engine is used to propel a motor vehicle, an aircraft, or
equipment used solely for competition, or is subject to standards
promulgated under section 202 of the Act (42 U.S.C. 7521); or
(ii) The engine is regulated by a federal New Source Performance
Standard promulgated under section 111 of the Act (42 U.S.C. 7411); or
(iii) The engine otherwise included in paragraph (1)(iii) of this
definition remains or will remain at a location for more than 12
consecutive months or a shorter period of time for an engine located at
a seasonal source. A location is any single site at a building,
structure, facility, or installation. Any engine (or engines) that
replaces an engine at a location and that is intended to perform the
same or similar function as the engine replaced will be included in
calculating the consecutive time period. An engine located at a
seasonal source is an engine that remains at a seasonal source during
the full annual operating period of the seasonal source. A seasonal
source is a stationary source that remains in a single location on a
permanent basis (i.e., at least two years) and that operates at that
single location approximately three months (or more) each year. This
paragraph (2)(iii) does not apply to an engine after the engine is
removed from the location.
Operating hours means:
(1) For engine storage areas or facilities, times during which
people other than custodians and security personnel are at work near,
and can access, a storage area or facility.
(2) For other areas or facilities, times during which an assembly
line operates or any of the following activities occurs:
(i) Testing, maintenance, or service accumulation.
(ii) Production or compilation of records.
(iii) Certification testing.
(iv) Translation of designs from the test stage to the production
stage.

[[Page 39265]]

(v) Engine manufacture or assembly.
* * * * *
Ultimate purchaser means the first person who in good faith
purchases a new nonroad engine or new piece of equipment for purposes
other than resale.
* * * * *
U.S.-directed production volume means the number of engine units,
subject to the requirements of this part, produced by a manufacturer
for which the manufacturer has a reasonable assurance that sale was or
will be made to ultimate purchasers in the United States.
* * * * *

? 116. Section 1068.101 is amended by revising paragraphs (a) and (b) to
read as follows:

Sec. 1068.101 What general actions does this regulation prohibit?

* * * * *
(a) The following prohibitions and requirements apply to
manufacturers of new engines and manufacturers of equipment containing
these engines, except as described in subparts C and D of this part:
(1) Introduction into commerce. You may not sell, offer for sale,
or introduce or deliver into commerce in the United States or import
into the United States any new engine or equipment after emission
standards take effect for that engine or equipment, unless it has a
valid certificate of conformity for its model year and the required
label or tag. You also may not take any of the actions listed in the
previous sentence with respect to any equipment containing an engine
subject to this part's provisions, unless the engine has a valid and
appropriate certificate of conformity and the required engine label or
tag. For purposes of this paragraph (a)(1), an appropriate certificate
of conformity is one that applies for the same model year as the model
year of the equipment (except as allowed by Sec. 1068.105(a)), covers
the appropriate category of engines (such as locomotive or CI marine),
and conforms to all requirements specified for equipment in the
standard-setting part. The requirements of this paragraph (a)(1) also
cover new engines you produce to replace an older engine in a piece of
equipment, unless the engine qualifies for the replacement-engine
exemption in Sec. 1068.240. We may assess a civil penalty up to
$31,500 for each engine in violation.
(2) Reporting and recordkeeping. This chapter requires you to
record certain types of information to show that you meet our
standards. You must comply with these requirements to make and maintain
required records (including those described in Sec. 1068.501). You may
not deny us access to your records or the ability to copy your records
if we have the authority to see or copy them. Also, you must give us
the required reports or information without delay. Failure to comply
with the requirements of this paragraph is prohibited. We may assess a
civil penalty up to $31,500 for each day you are in violation.
(3) Testing and access to facilities. You may not keep us from
entering your facility to test engines or inspect if we are authorized
to do so. Also, you must perform the tests we require (or have the
tests done for you). Failure to perform this testing is prohibited. We
may assess a civil penalty up to $31,500 for each day you are in
violation.
(b) The following prohibitions apply to everyone with respect to
the engines to which this part applies:
(1) Tampering. You may not remove or disable a device or element of
design that may affect an engine's emission levels. This restriction
applies before and after the engine is placed in service. Section
1068.120 describes how this applies to rebuilding engines. For a
manufacturer or dealer, we may assess a civil penalty up to $31,500 for
each engine in violation. For anyone else, we may assess a civil
penalty up to $3,150 for each engine in violation. This prohibition
does not apply in any of the following situations:
(i) You need to repair an engine and you restore it to proper
functioning when the repair is complete.
(ii) You need to modify an engine to respond to a temporary
emergency and you restore it to proper functioning as soon as possible.
(iii) You modify a new engine that another manufacturer has already
certified to meet emission standards and recertify it under your own
engine family. In this case you must tell the original manufacturer not
to include the modified engines in the original engine family.
(2) Defeat devices. You may not knowingly manufacture, sell, offer
to sell, or install, an engine part if it bypasses, impairs, defeats,
or disables the engine's control the emissions of any pollutant. We may
assess a civil penalty up to $3,150 for each part in violation.
(3) Stationary engines. For an engine that is excluded from any
requirements of this chapter because it is a stationary engine, you may
not move it or install it in any mobile equipment, except as allowed by
the provisions of this chapter. You may not circumvent or attempt to
circumvent the residence-time requirements of paragraph (2)(iii) of the
nonroad engine definition in Sec. 1068.30. We may assess a civil
penalty up to $31,500 for each day you are in violation.
(4) Competition engines. For an uncertified engine or piece of
equipment that is excluded or exempted from any requirements of this
chapter because it is to be used solely for competition, you may not
use it in a manner that is inconsistent with use solely for
competition. We may assess a civil penalty up to $31,500 for each day
you are in violation.
(5) Importation. You may not import an uncertified engine or piece
of equipment if it is defined to be new in the standard-setting part
and it is built after emission standards start to apply in the United
States. We may assess a civil penalty up to $31,500 for each day you
are in violation. Note the following:
(i) The definition of new is broad for imported engines;
uncertified engines and equipment (including used engines and
equipment) are generally considered to be new when imported.
(ii) Engines that were originally manufactured before applicable
EPA standards were in effect are generally not subject to emission
standards.
(6) Warranty. You must meet your obligation to honor your emission-
related warranty under Sec. 1068.115 and to fulfill any applicable
responsibilities to recall engines under Sec. 1068.505. Failure to
meet these obligations is prohibited. We may assess a civil penalty up
to $31,500 for each engine in violation.
* * * * *

? 117. Section 1068.105 is amended by revising paragraph (c) and adding
introductory text to read as follows:

Sec. 1068.105 What other provisions apply to me specifically if I
manufacture equipment needing certified engines?

This section describes general provisions that apply to equipment
manufacturers. See the standard-setting part for any requirements that
apply for certain applications.
* * * * *
(c) Attaching a duplicate label. If you obscure the engine's label,
you must do four things to avoid violating Sec. 1068.101(a)(1):
(1) Send a request for duplicate labels in writing with your
company's letterhead to the engine manufacturer. Include the following
information in your request:
(i) Identify the type of equipment and the specific engine and
equipment models needing duplicate labels.
(ii) Identify the engine family (from the original engine label).

[[Page 39266]]

(iii) State the reason that you need a duplicate label for each
equipment model.
(iii) Identify the number of duplicate labels you will need.
(2) Permanently attach the duplicate label to your equipment by
securing it to a part needed for normal operation and not normally
requiring replacement. Make sure an average person can easily read it.
(3) Destroy any unused duplicate labels if you find that you will
not need them.
(4) Keep the following records for at least eight years after the
end of the model year identified on the engine label:
(i) Keep a copy of your written request.
(ii) Keep drawings or descriptions that show how you apply the
duplicate labels to your equipment.
(iii) Maintain a count of those duplicate labels you use and those
you destroy.
* * * * *

? 118. Section 1068.110 is amended by revising paragraphs (b), (c), (d),
and (e) to read as follows:

Sec. 1068.110 What other provisions apply to engines in service?

* * * * *
(b) Certifying aftermarket parts. As the manufacturer or rebuilder
of an aftermarket engine part, you may--but are not required to--
certify according to Sec. 85.2114 of this chapter that using the part
will not cause engines to fail to meet emission standards. Whether you
certify or not, you must keep any information showing how your parts or
service affect emissions.
(c) Compliance with standards. We may test engines and equipment to
investigate compliance with emission standards and other requirements.
We may also require the manufacturer to do this testing.
(d) Defeat devices. We may test engines and equipment to
investigate potential defeat devices. We may also require the
manufacturer to do this testing. If we choose to investigate one of
your designs, we may require you to show us that it does not have a
defeat device. To do this, you may have to share with us information
regarding test programs, engineering evaluations, design
specifications, calibrations, on-board computer algorithms, and design
strategies. It is a violation of the Act for anyone to make, install or
use defeat devices. See Sec. 1068.101(b)(2) and the standard-setting
part.
(e) Warranty and maintenance. Owners are responsible for properly
maintaining their engines; however, owners may make warranty claims
against the manufacturer for emission-related parts, as described in
Sec. 1068.115. The warranty period begins when the engine is first
placed into service. See the standard-setting part for specific
requirements. It is a violation of the Act for anyone to disable
emission controls; see Sec. 1068.101(b)(1) and the standard-setting part.

? 119. Section 1068.120 is amended by revising paragraphs (b)(2), (c),
(d), (f), and (h) to read as follows:

Sec. 1068.120 What requirements must I follow to rebuild engines?

* * * * *
(b) * * *
(2) Unscheduled maintenance that occurs commonly within the useful
life period. For example, replacing a water pump is not rebuilding an
engine.
(c) For maintenance or service that is not rebuilding, you may not
make changes that might increase emissions of any pollutant, but you do
not need to keep any records.
(d) If you rebuild an engine or engine system, you must have a
reasonable technical basis for knowing that the rebuilt engine's
emission-control system performs as well as, or better than, it
performs in its certified configuration. Identify the model year of the
resulting engine configuration. You have a reasonable basis if you meet
two main conditions:
(1) Install parts--new, used, or rebuilt--so a person familiar with
engine design and function would reasonably believe that the engine
with those parts will control emissions of all pollutants at least to
the same degree as with the original parts. For example, it would be
reasonable to believe that parts performing the same function as the
original parts (and to the same degree) would control emissions to the
same degree as the original parts.
(2) Adjust parameters or change design elements only according to
the original engine manufacturer's instructions. Or, if you differ from
these instructions, you must have data or some other technical basis to
show you should not expect in-use emissions to increase.
* * * * *
(f) If the rebuilt engine replaces another certified engine in a
piece of equipment, you must rebuild it to a certified configuration of
the same model year as, or a later model year than, the engine you are
replacing.
* * * * *
(h) When you rebuild an engine, check, clean, adjust, repair, or
replace all emission-related components (listed in Appendix I of this
part) as needed according to the original manufacturer's recommended
practice. In particular, replace oxygen sensors, replace the catalyst
if there is evidence of malfunction, clean gaseous fuel system
components, and replace fuel injectors (if applicable), unless you have
a reasonable technical basis for believing any of these components do
not need replacement.
* * * * *

? 120. Section 1068.125 is amended by revising paragraphs (a)(1)(iv),
(b)(3), and (e)(2) to read as follows:

Sec. 1068.125 What happens if I violate the regulations?

(a) * * *
(1) * * *
(iv) Your history of compliance with Title II of the Act (42 U.S.C.
7401-7590).
* * * * *
(b) * * *
(3) We will not pursue an administrative penalty for a particular
violation if either of the following two conditions is true:
(i) We are separately prosecuting the violation under this subpart.
(ii) We have issued a final order for a violation, no longer
subject to judicial review, for which you have already paid a penalty.
* * * * *
(e) * * *
(2) In addition, if you do not pay the full amount of a penalty on
time, you must then pay more to cover interest, enforcement expenses
(including attorney's fees and costs for collection), and a quarterly
nonpayment penalty for each quarter you do not pay. The quarterly
nonpayment penalty is 10 percent of your total penalties plus any
unpaid nonpayment penalties from previous quarters.

? 121. Section 1068.201 is amended by revising the introductory text and
paragraph (i) to read as follows:

Sec. 1068.201 Does EPA exempt or exclude any engines from the
prohibited acts?

We may exempt new engines from some or all of the prohibited acts
or requirements of this part under provisions described in this
subpart. We may exempt an engine already placed in service in the
United States from the prohibition in Sec. 1068.101(b)(1) if the
exemption for engines used solely for competition applies (see Sec.
1068.235). In addition, see Sec. 1068.1 and the standard-setting parts
to determine if other engines are excluded from some or all of the
regulations in this chapter.
* * * * *
(i) If you want to take an action with respect to an exempted or
excluded

[[Page 39267]]

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 the standard-setting
part. 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. These engines must have emission control
information labels that accurately describe their status.

? 122. Section 1068.210 is amended by revising paragraphs (d)(5)(iv) and
(e)(3)(iv) to read as follows:

Sec. 1068.210 What are the provisions for exempting test engines?

* * * * *
(d) * * *
(5) * * *
(iv) Ownership and control of the engines involved in the test.
(e) * * *
(3) * * *
(iv) The statement ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.210 OR
1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.
* * * * *

? 123. Section 1068.215 is amended by revising paragraphs (b),
(c)(3)(iii), and (c)(3)(iv) to read as follows:

Sec. 1068.215 What are the provisions for exempting manufacturer-
owned engines?

* * * * *
(b) An engine may be exempt without a request if it is a
nonconforming engine under your ownership and control and you operate
it to develop products, assess production methods, or promote your
engines in the marketplace. You may not loan, lease, sell, or use the
engine to generate revenue, either by itself or in a piece of
equipment.
(c) * * *
(3) * * *
(iii) Engine displacement, engine family identification (as
applicable), and model year of the engine or whom to contact for
further information.
(iv) The statement ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.210 OR
1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.

? 124. Section 1068.220 is amended by revising paragraphs (b) and (e)(3)
to read as follows:

Sec. 1068.220 What are the provisions for exempting display engines?

* * * * *
(b) A nonconforming display engine will be exempted if it is used
only for displays in the interest of a business or the general public.
This exemption does not apply to engines displayed for private use,
private collections, or any other purpose we determine is inappropriate
for a display exemption.
* * * * *
(e) * * *
(3) Engine displacement, engine family identification (as
applicable), and model year of the engine or whom to contact for
further information.
* * * * *

? 125. Section 1068.225 is amended by adding paragraph (d) to read as
follows:

Sec. 1068.225 What are the provisions for exempting engines for
national security?

* * * * *
(d) Add a legible label, written in block letters in English, to
each engine exempted under this section. The label must be permanently
secured to a readily visible part of the engine needed for normal
operation and not normally requiring replacement, such as the engine
block. This label must include at least the following items:
(1) The label heading ``EMISSION CONTROL INFORMATION''.
(2) Your corporate name and trademark.
(3) Engine displacement, engine family identification (as
applicable), and model year of the engine or whom to contact for
further information.
(4) The statement ``THIS ENGINE HAS AN EXEMPTION FOR NATIONAL
SECURITY UNDER 40 CFR 1068.225.''.

? 126. Section 1068.230 is amended by revising paragraph (c) to read as
follows:

Sec. 1068.230 What are the provisions for exempting engines for
export?

* * * * *
(c) Label each exempted engine and shipping container with a label
or tag showing the engine is not certified for sale or use in the
United States. These labels need not be permanently attached to the
engines. The label must include at least the statement ``THIS ENGINE IS
SOLELY FOR EXPORT AND IS THEREFORE EXEMPT UNDER 40 CFR 1068.230 FROM
U.S. EMISSION STANDARDS AND RELATED REQUIREMENTS.''.

? 127. Section 1068.235 is amended by revising paragraph (c) to read as
follows:

Sec. 1068.235 What are the provisions for exempting engines used
solely for competition?

* * * * *
(c) If you modify an engine under paragraph (b) of this section,
you must destroy the original emission label. If you loan, lease, sell,
or give one of these engines to someone else, you must tell the new
owner (or operator, if applicable) in writing that it may be used only
for competition.

? 128. Section 1068.240 is revised to read as follows:

Sec. 1068.240 What are the provisions for exempting new replacement
engines?

(a) You are eligible for the exemption for new replacement engines
only if you are a certificate holder.
(b) The prohibitions in Sec. 1068.101(a)(1) do not apply to an
engine if all the following conditions apply:
(1) You produce a new engine to replace an engine already placed in
service in a piece of equipment.
(2) The engine being replaced was manufactured before the emission
standards that would otherwise apply to the new engine took effect.
(3) You determine that you do not produce an engine certified to
meet current requirements that has the appropriate physical or
performance characteristics to repower the equipment. If the engine
being replaced was made by a different company, you must make this
determination also for engines produced by this other company.
(4) You or your agent takes possession of the old engine or
confirms that the engine has been destroyed.
(5) You make the replacement engine in a configuration identical in
all material respects to the engine being replaced (or that of another
certified engine of the same or later model year). This requirement
applies only if the old engine was certified to emission standards less
stringent than those in effect when you produce the replacement engine.
(c) If the engine being replaced was not certified to any emission
standards under this chapter, add a permanent label with your corporate
name and trademark and the following language:

THIS ENGINE DOES NOT COMPLY WITH U.S. EPA NONROAD EMISSION
REQUIREMENTS. 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 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.

(d) If the engine being replaced was certified to emission
standards less stringent than those in effect when you produce the
replacement engine, add a permanent label with your corporate name and
trademark and the following language:

[[Page 39268]]

THIS ENGINE DOES NOT COMPLY WITH U.S. EPA NONROAD EMISSION
REQUIREMENTS. 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.

(e) The provisions of this section may not be used to circumvent
emission standards that apply to new engines under the standard-setting
part.

? 129. Section 1068.245 is amended by revising paragraphs (a)
introductory text and (e) to read as follows:

Sec. 1068.245 What temporary provisions address hardship due to
unusual circumstances?

(a) After considering the circumstances, we may permit you to
introduce into commerce engines or equipment that do not comply with
emission-related requirements for a limited time if all the following
conditions apply:
* * * * *
(e) We may include reasonable additional conditions on an approval
granted under this section, including provisions to recover or
otherwise address the lost environmental benefit or paying fees to
offset any economic gain resulting from the exemption. For example, in
the case of multiple tiers of emission standards, we may require that
you meet the standards from the previous tier.
* * * * *

? 130. Section 1068.250 is amended by revising paragraphs (d)(2), (d)(4),
and (j) to read as follows:

Sec. 1068.250 What are the provisions for extending compliance
deadlines for small-volume manufacturers under hardship?

* * * * *
(d) * * *
(2) Describe your current and projected financial status, with and
without the burden of complying fully with the applicable regulations
in this chapter.
* * * * *
(4) Identify the engineering and technical steps you have taken or
those you plan to take to comply with regulations in this chapter.
* * * * *
(j) We will approve extensions of up to one model year. We may
review and revise an extension as reasonable under the circumstances.
* * * * *

? 131. Section 1068.255 is amended by revising paragraph (c) introductory
text to read as follows:

Sec. 1068.255 What are the provisions for exempting engines for
hardship for equipment manufacturers and secondary engine
manufacturers?

* * * * *
(c) Secondary engine manufacturers. As a secondary engine
manufacturer, you may ask for approval to produce exempted engines
under this section for up to 12 months. We may require you to certify
your engines to compliance levels above the emission standards that
apply. For example, the in the case of multiple tiers of emission
standards, we may require you to meet the standards from the previous
tier.
* * * * *

? 132. A new Sec. 1068.260 is added to subpart C to read as follows:

Sec. 1068.260 What are the provisions for temporarily exempting
engines for delegated final assembly?

(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 Sec. 1068.101(a)(1), if you do
all the following:
(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 an equipment manufacturer
obligating the equipment manufacturer to complete the final assembly of
the engine so it is in its certified configuration when installed in
the equipment. This agreement must also obligate the equipment
manufacturer to provide the affidavits and cooperate with the audits
required under paragraph (a)(6) of this section.
(4) Include the cost of all aftertreatment components in the cost
of the engine.
(5) Ship the aftertreatment components directly to the equipment
manufacturer, or arrange for separate shipment by the component
manufacturer directly to the equipment manufacturer.
(6) Take appropriate additional steps to ensure that all engines
will be in their certified configuration when installed by the
equipment manufacturer. At a minimum do the following:
(i) Obtain annual affidavits from every equipment manufacturer to
whom you, your distributors, or your dealers sell engines under this
section. The affidavits must list the part numbers of the
aftertreatment devices that equipment manufacturers install on each
engine they purchase from you, your distributors, or your dealers under
this section.
(ii) If you sell more than 50 engines per model year under this
section, you must annually audit four equipment manufacturers to whom
you sell engines under this section. To select individual equipment
manufacturers, divide all the affected equipment manufacturers into
quartiles based on the number of engines they buy from you; select a
single equipment manufacturer from each quartile each model year. Vary
the equipment 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 equipment manufacturer is not properly installing
aftertreatment devices. If you sell engines to fewer than 16 equipment
manufacturers under the provisions of this section, you may instead set
up a plan to audit each equipment manufacturer on average once every
four model years. 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 an equipment manufacturer is not located in the United States,
you may conduct the audit at a distribution or port facility in the
United States. You must keep records of these audits and provide a
report describing any uninstalled or improperly installed
aftertreatment components to us within 90 days of the audit.
(iii) If you sell up to 50 engines per model year under this
section, you must conduct audits as described in paragraph (a)(6)(ii)
of this section or propose an alternative plan for ensuring that
equipment manufacturers properly install aftertreatment devices.
(7) Describe the following things in your application for
certification:
(i) How you plan to use the provisions of this section.
(ii) A detailed plan for auditing equipment manufacturers, as
described in paragraph (a)(6) of this section.
(iii) All other steps you plan to take under paragraph (a)(6) of
this section.
(8) Keep records to document how many engines you produce under
this exemption. Also, keep records to document your contractual
agreements under paragraph (a)(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.

[[Page 39269]]

(9) Make sure the engine has the emission control information label
we require under the standard-setting part. Apply an additional
temporary label or tag in a way that makes it unlikely that the engine
will be installed in equipment other than in its certified
configuration. The label or tag must identify the engine as incomplete
and include a clear statement that failing to install the
aftertreatment device, or otherwise bring the engine into its certified
configuration, is a violation of federal law subject to civil penalty.
(b) 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.
(c) Once the equipment manufacturer takes possession of an engine
exempted under this section, the exemption expires and the engine is
subject to all the prohibitions in 40 CFR 1068.101.
(d) You must notify us within 15 days if you find from an audit or
another source that an equipment manufacturer has failed to meet its
obligations under this section.
(e) 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 equipment, 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 (d), 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.
(f) You are liable for the in-use compliance of any engine that is
exempt under this section. It is also a violation of Sec.
1068.101(b)(1) for any person to complete assembly of the exempted
engine without complying fully with the installation instructions.

? 133. Section 1068.305 is amended by revising paragraphs (a) and (e) to
read as follows:

Sec. 1068.305 How do I get an exemption or exclusion for imported
engines?

(a) Complete the appropriate EPA declaration form before importing
any nonconforming engine. These forms are available on the Internet at
http://www.epa.gov/OTAQ/imports/ or by phone at 202-564-9660.

* * * * *
(e) Meet the requirements specified for the appropriate exemption
in this part or the standard-setting part, including any labeling
requirements that apply.

? 134. Section 1068.310 is revised to read as follows:

Sec. 1068.310 What are the exclusions for imported engines?

If you show us that your engines qualify under one of the
paragraphs of this section, we will approve your request to import such
excluded engines. You must have our approval to import an engine under
paragraph (a) of this section. You may, but are not required to request
our approval to import the engines under paragraph (b) or (c) of this
section. The following engines are excluded:
(a) Engines used solely for competition. Engines that you
demonstrate will be used solely for competition are excluded from the
restrictions on imports in Sec. 1068.301(b), but only if they are
properly labeled. See the standard-setting part for provisions related
to this demonstration. Section 1068.101(b)(4) prohibits anyone from
using these excluded engines for purposes other than competition.
(b) Stationary engines. The definition of nonroad engine in 40 CFR
1068.30 does not include certain engines used in stationary
applications. Such engines are not subject to the restrictions on
imports in Sec. 1068.301(b), but only if they are properly labeled.
Section 1068.101 restricts the use of stationary engines for non-
stationary purposes.
(c) Other engines. The standard-setting parts may exclude engines
used in certain applications. For example, engines used in aircraft and
very small engines used in hobby vehicles are generally excluded.
Engines used in underground mining are excluded if they are regulated
by the Mine Safety and Health Administration.

? 135. Section 1068.315 is amended by revising the introductory text and
paragraph (a) and adding paragraph (f)(1)(iii) to read as follows:

Sec. 1068.315 What are the permanent exemptions for imported engines?

We may approve a permanent exemption from the restrictions on
imports under Sec. 1039.301(b) under the following conditions:
(a) National security exemption. You may import an engine under the
national security exemption in Sec. 1068.225, but only if it is
properly labeled.
* * * * *
(f) * * *
(1) * * *
(iii) Land-based nonroad diesel engines (see part 1039 of this
chapter).
* * * * *

? 136. Section 1068.320 is amended by revising the section heading and
paragraphs (a) introductory text and (b) to read as follows:

Sec. 1068.320 How must I label an imported engine with an exclusion
or a permanent exemption?

(a) For engines imported under Sec. 1068.310(a) or (b), you must
place a permanent label or tag on each engine. If no specific label
requirements in the standard-setting part apply for these engines, you
must meet the following requirements:
* * * * *
(b) On the engine label or tag, do the following:
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark.
(3) State the engine displacement (in liters) and rated power. If
the engine's rated power is not established, state the approximate
power rating accurately enough to allow a determination of which
standards would otherwise apply.
(4) State: ``THIS ENGINE IS EXEMPT FROM THE REQUIREMENTS OF
[identify the part referenced in 40 CFR 1068.1(a) that would otherwise
apply], AS PROVIDED IN [identify the paragraph authorizing the
exemption (for example, ``40 CFR 1068.315(a)'')]. INSTALLING THIS
ENGINE IN ANY DIFFERENT APPLICATION MAY BE A VIOLATION OF FEDERAL LAW
SUBJECT TO CIVIL PENALTY.''.
* * * * *

? 137. Section 1068.325 is amended by revising the introductory text and
paragraphs (a) and (b) and adding paragraph (f) to read as follows:

Sec. 1068.325 What are the temporary exemptions for imported engines?

If we approve a temporary exemption from the restrictions on
importing an engine under Sec. 1039.301(b), you may import it under
the conditions in this section. We may ask the U.S. Customs Service to
require a specific bond amount to make sure you comply with the
requirements of this subpart. You

[[Page 39270]]

may not sell or lease one of these engines while it is in the United
States. You must eventually export the engine as we describe in this
section unless you get a certificate of conformity for it or it
qualifies for one of the permanent exemptions in Sec. 1068.315.
Section 1068.330 specifies an additional temporary exemption allowing
you to import certain engines you intend to sell or lease.
(a) Exemption for repairs or alterations. You may temporarily
import a nonconforming engine under bond solely to repair or alter it
or the equipment in which it is installed. You may operate the engine
and equipment in the United States only as necessary to repair it,
alter it, or ship it to or from the service location. Export the engine
directly after servicing is complete.
(b) Testing exemption. You may temporarily import a nonconforming
engine under bond for testing if you follow the requirements of Sec.
1068.210. You may operate the engine in the United States only to allow
testing. This exemption expires one year after you import the engine,
unless we approve an extension. The engine must be exported before the
exemption expires.
* * * * *
(f) Delegated assembly exemption. You may import a nonconforming
engine for final assembly, as described in Sec. 1068.260.

? 138. Section 1068.335 is amended by revising paragraph (a) to read as
follows:

Sec. 1068.335 What are the penalties for violations?

(a) All imported engines. Unless you comply with the provisions of
this subpart, importation of nonconforming engines violates sections
203 and 213(d) of the Act (42 U.S.C. 7522 and 7547(d)). You may then
have to export the engines, or pay civil penalties, or both. The U.S.
Customs Service may seize unlawfully imported engines.
* * * * *

? 139. Section 1068.401 is revised to read as follows:

Sec. 1068.401 What is a selective enforcement audit?

(a) We may conduct or require you to conduct emission tests on your
production engines in a selective enforcement audit. This requirement
is independent of any requirement for you to routinely test production-
line engines.
(b) If we send you a signed test order, you must follow its
directions and the provisions of this subpart. We may tell you where to
test the engines. This may be where you produce the engines or any
other emission testing facility.
(c) If we select one or more of your engine families for a
selective enforcement audit, we will send the test order to the person
who signed the application for certification or we will deliver it in
person.
(d) If we do not select a testing facility, notify the Designated
Officer within one working day of receiving the test order where you
will test your engines.
(e) You must do everything we require in the audit without delay.

? 140. Section 1068.410 is amended by revising paragraphs (e)(1), (g),
and (i) to read as follows:

Sec. 1068.410 How must I select and prepare my engines?

* * * * *
(e) * * *
(1) We may adjust or require you to adjust idle speed outside the
physically adjustable range as needed until the engine has stabilized
emission levels (see paragraph (f) of this section). We may ask you for
information needed to establish an alternate minimum idle speed.
* * * * *
(g) Damage during shipment. If shipping an engine to a remote
facility for testing under a selective enforcement audit makes
necessary an adjustment or repair, you must wait until after the
initial emission test to do this work. We may waive this requirement if
the test would be impossible or unsafe, or if it would permanently
damage the engine. Report to us, in your written report under Sec.
1068.450, all adjustments or repairs you make on test engines before
each test.
* * * * *
(i) Retesting after invalid tests. You may retest an engine if you
determine an emission test is invalid under the standard-setting part.
Explain in your written report reasons for invalidating any test and
the emission results from all tests. If you retest an engine and,
within ten days after testing, ask to substitute results of the new
tests for the original ones, we will answer within ten days after we
receive your information.

? 141. Section 1068.415 is amended by revising paragraphs (d) and (e) to
read as follows:

Sec. 1068.415 How do I test my engines?

* * * * *
(d) Accumulate service on test engines at a minimum rate of 6 hours
per engine during each 24-hour period. The first 24-hour period for
service accumulation begins when you finish preparing an engine for
testing. The minimum service accumulation rate does not apply on
weekends or holidays. You may ask us to approve a lower service
accumulation rate. Plan your service accumulation to allow testing at
the rate specified in paragraph (c) of this section. Select engine
operation for accumulating operating hours on your test engines to
represent normal in-use engine operation for the engine family.
(e) Test engines in the same order you select them.

? 142. Section 1068.445 is amended by revising paragraph (a)(1) to read
as follows:

Sec. 1068.445 When may EPA revoke my certificate under this subpart
and how may I sell these engines again?

(a) * * *
(1) You do not meet the reporting requirements under this subpart.
* * * * *

? 143. Section 1068.450 is amended by revising paragraph (e) to read as
follows:

Sec. 1068.450 What records must I send to EPA?

* * * * *
(e) We may post test results on publicly accessible databases and
we will send copies of your reports to anyone from the public who asks
for them. We will not release information about your sales or
production volumes, which is all we will consider confidential.

? 144. Section 1068.501 is revised to read as follows:

Sec. 1068.501 How do I report engine defects?

This section addresses your responsibility to investigate and
report emission-related defects in design, materials, or workmanship.
The provisions of this section do not limit your liability under this
part or the Clean Air Act. For example, selling an engine that does not
conform to your application for certification is a violation of Sec.
1068.101(a)(1), independent of the requirements of this section.
(a) General provisions. As an engine manufacturer, you must
investigate in certain circumstances whether engines that have been
introduced into commerce in the United States have incorrect,
improperly installed, or otherwise defective emission-related
components or systems. You must also send us reports as specified by
this section.
(1) This section addresses defects for any of the following
emission-related components, or systems containing the following
components:
(i) Electronic control units, aftertreatment devices, fuel-metering

[[Page 39271]]

components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors associated with any of these components.
(ii) Any other component whose primary purpose is to reduce
emissions.
(iii) Any other component whose failure might increase emissions of
any pollutant without significantly degrading engine performance.
(2) The requirements of this section relate to defects in any of
the components or systems identified in paragraph (a)(1) of this
section if the defects might affect any of the parameters or
specifications in Appendix II of this part or might otherwise affect an
engine's emissions of any pollutant.
(3) For the purposes of this section, defects do not include damage
to emission-related components or systems (or maladjustment of
parameters) caused by owners improperly maintaining or abusing their
engines.
(4) The requirements of this section do not apply to emission
control information labels. Note however, that Sec. 1068.101(a)(1)
prohibits the sale of engines without proper labels, which also applies
to misprinted labels.
(5) You must track the information specified in paragraph (b)(1) of
this section. You must assess this data at least every three months to
evaluate whether you exceed the thresholds specified in paragraphs (e)
and (f) of this section. Where thresholds are based on a percentage of
engines in the engine family, use actual sales figures for the whole
model year when they become available. Use projected sales figures
until the actual sales figures become available. You are not required
to collect additional information other than that specified in
paragraph (b)(1) of this section before reaching a threshold for an
investigation specified in paragraph (e) of this section.
(6) You may ask us to allow you to use alternate methods for
tracking, investigating, reporting, and correcting emission-related
defects. In your request, explain and demonstrate why you believe your
alternate system will be at least as effective in the aggregate in
tracking, identifying, investigating, evaluating, reporting, and
correcting potential and actual emissions-related defects as the
requirements in this section. In this case, provide all available data
necessary to demonstrate why an alternate system is appropriate for
your engines and how it will result in a system at least as effective
as that required under this section.
(7) If we determine that emission-related defects result in a
substantial number of properly maintained and used engines not
conforming to the regulations of this chapter during their useful life,
we may order you to conduct a recall of your engines (see Sec.
1068.505).
(8) Send all reports required by this section to the Designated
Officer.
(9) This section distinguishes between defects and possible
defects. A possible defect exists anytime there is an indication that
an emission-related component or system might have a defect, as
described in paragraph (b)(1) of this section.
(b) Investigation of possible defects. Investigate possible defects
as follows:
(1) If the number of engines that have a possible defect, as
defined by this paragraph (b)(1), exceeds a threshold specified in
paragraph (e) of this section, you must conduct an investigation to
determine if an emission-related component or system is actually
defective. You must classify an engine component or system as having a
possible defect if any of the following sources of information shows
there is a significant possibility that a defect exists:
(i) A warranty claim is submitted for the component, whether this
is under your emission-related warranty or any other warranty.
(ii) Your quality-assurance procedures suggest that a defect may
exist.
(iii) You receive any other information for which good engineering
judgment would indicate the component or system may be defective, such
as information from dealers, field-service personnel, hotline
complaints, or engine diagnostic systems.
(2) If the number of shipped replacement parts for any individual
component is high enough that good engineering judgment would indicate
a significant possibility that a defect exists, you must conduct an
investigation to determine if it is actually defective. Note that this
paragraph (b)(2) does not require data-tracking or recording provisions
related to shipment of replacement parts.
(3) Your investigation must be prompt, thorough, consider all
relevant information, follow accepted scientific and engineering
principles, and be designed to obtain all the information specified in
paragraph (d) of this section.
(4) Your investigation needs to consider possible defects that
occur only within the useful life period, or within five years after
the end of the model year, whichever is longer.
(5) You must continue your investigation until you are able to show
that there is no emission-related defect or you obtain all the
information specified for a defect report in paragraph (d) of this
section. Send us an updated defect report anytime you have significant
additional information.
(6) If a component with a possible defect is used in additional
engine families or model years, you must investigate whether the
component may be defective when used in these additional engine
families or model years, and include these results in any defect report
you send under paragraph (c) of this section.
(7) If your initial investigation concludes that the number of
engines with a defect is fewer than any of the thresholds specified in
paragraph (f) of this section, but other information later becomes
available that may show that the number of engines with a defect
exceeds a threshold, then you must resume your investigation. If you
resume an investigation, you must include the information from the
earlier investigation to determine whether to send a defect report.
(c) Reporting defects. You must send us a defect report in either
of the following cases:
(1) Your investigation shows that the number of engines with a
defect exceeds a threshold specified in paragraph (f) of this section.
Send the defect report within 21 days after the date you identify this
number of defective engines. See paragraph (h) of this section for
reporting requirements that apply if the number of engines with a
defect does not exceed any of the thresholds in paragraph (f) of this
section.
(2) You know there are emission-related defects for a component or
system in a number of engines that exceeds a threshold specified in
paragraph (f) of this section, regardless of how you obtain this
information. Send the defect report within 21 days after you learn that
the number of defects exceeds a threshold.
(d) Contents of a defect report. Include the following information
in a defect report:
(1) Your corporate name and a person to contact regarding this
defect.
(2) A description of the defect, including a summary of any
engineering analyses and associated data, if available.
(3) A description of the engines that have the defect, including
engine families, models, and range of production dates.
(4) An estimate of the number and percentage of each class or
category of affected engines that have the defect, and an explanation
of how you

[[Page 39272]]

determined this number. Describe any statistical methods you used under
paragraph (g)(6) of this section.
(5) An estimate of the defect's impact on emissions, with an
explanation of how you calculated this estimate and a summary of any
emission data demonstrating the impact of the defect, if available.
(6) A description of your plan for addressing the defect or an
explanation of your reasons for not believing the defects must be
addressed.
(e) Thresholds for conducting a defect investigation. You must
begin a defect investigation based on the following number of engines
that may have the defect:
(1) For engines with maximum engine power at or below 560 kW:
(i) For engine families with annual sales below 500 units: 50 or
more engines.
(ii) For engine families with annual sales from 500 to 50,000
units: more than 10.0 percent of the total number of engines in the
engine family.
(iii) For engine families with annual sales above 50,000 units:
5,000 or more engines.
(2) For engines with maximum engine power greater than 560 kW:
(i) For engine families with annual sales below 250 units: 25 or
more engines.
(ii) For engine families with annual sales at or above 250 units:
more than 10.0 percent of the total number of engines in the engine
family.
(f) Thresholds for filing a defect report. You must send a defect
report based on the following number of engines that have the defect:
(1) For engines with maximum engine power at or below 560 kW:
(i) For engine families with annual sales below 1,000 units: 20 or
more engines.
(ii) For engine families with annual sales from 1,000 to 50,000
units: more than 2.0 percent of the total number of engines in the
engine family.
(iii) For engine families with annual sales above 50,000 units:
1,000 or more engines.
(2) For engines with maximum engine power greater than 560 kW:
(i) For engine families with annual sales below 150 units: 10 or
more engines.
(ii) For engine families with annual sales from 150 to 750 units:
15 or more engines.
(iii) For engine families with annual sales above 750 units: more
than 2.0 percent of the total number of engines in the engine family.
(g) How to count defects. (1) Track defects separately for each
model year and engine family as much as possible. If information is not
identifiable by model year or engine family, use good engineering
judgment to evaluate whether you exceed a threshold in paragraph (e) or
(f) of this section. Consider only your U.S.-directed production
volume.
(2) Within an engine family, track defects together for all
components or systems that are the same in all material respects. If
multiple companies separately supply a particular component or system,
treat each company's component or system as unique.
(3) If a possible defect is not attributed to any specific part of
the engine, consider the complete engine a distinct component for
evaluating whether you exceed a threshold in paragraph (e) of this
section.
(4) If you correct defects before they reach the ultimate purchaser
as a result of your quality-assurance procedures, count these against
the investigation thresholds in paragraph (e) of this section unless
you routinely check every engine in the engine family. Do not count any
corrected defects as actual defects under paragraph (f) of this
section.
(5) Use aggregated data from all the different sources identified
in paragraph (b)(1) of this section to determine whether you exceed a
threshold in paragraphs (e) and (f) of this section.
(6) If information is readily available to conclude that the
possible defects identified in paragraph (b)(1) of this section are
actual defects, count these toward the reporting thresholds in
paragraph (f) of this section.
(7) During an investigation, use appropriate statistical methods to
project defect rates for engines that you are not otherwise able to
evaluate. For example, if 75 percent of the components replaced under
warranty are available for evaluation, it would be appropriate to
extrapolate known information on failure rates to the components that
are unavailable for evaluation. Take steps as necessary to prevent bias
in sampled data. Make adjusted calculations to take into account any
bias that may remain.
(h) Investigation reports. Once you trigger an investigation
threshold under paragraph (e) of this section, you must report your
progress and conclusions. In your reports, include the information
specified in paragraph (d) of this section, or explain why the
information is not relevant. Send us the following reports:
(1) While you are investigating, send us mid-year and end-of-year
reports to describe the methods you are using and the status of the
investigation. Send these status reports no later than June 30 and
December 31 of each year.
(2) If you find that the number of components or systems with an
emission-related defect exceeds a threshold specified in paragraph (f)
of this section, send us a report describing your findings within 21
days after the date you reach this conclusion.
(3) If you find that the number of components or systems with an
emission-related defect does not exceed any of the thresholds specified
in paragraph (f) of this section, send us a final report supporting
this conclusion. For example, you may exclude warranty claims that
resulted from misdiagnosis and you may exclude defects caused by
improper maintenance, improper use, or misfueling. Send this report
within 21 days after the date you reach this conclusion.
(i) Future production. If you identify a design or manufacturing
defect that prevents engines from meeting the requirements of this
part, you must correct the defect as soon as possible for future
production of engines in every family affected by the defect. This
applies without regard to whether you are required to conduct a defect
investigation or submit a defect report under this section.

? 145. Section 1068.505 is amended by revising paragraphs (a) and (e) and
adding paragraph (f) to read as follows:

Sec. 1068.505 How does the recall program work?

(a) If we make a determination that a substantial number of
properly maintained and used engines do not conform to the regulations
of this chapter during their useful life, you must submit a plan to
remedy the nonconformity of your engines. We will notify you of our
determination in writing. Our notice will identify the class or
category of engines affected and describe how we reached our
conclusion. If this happens, you must meet the requirements and follow
the instructions in this subpart. You must remedy at your expense
noncompliant engines that have been properly maintained and used, as
described in Sec. 1068.510(a)(7). You may not transfer this expense to
a dealer or equipment manufacturer through a franchise or other agreement.
* * * * *
(e) You may ask us to allow you to conduct your recall differently
than specified in this subpart, consistent with section 207(c) of the
Act (42 U.S.C. 7541(c)).
(f) You may do a voluntary recall under Sec. 1068.535, unless we
have made

[[Page 39273]]

the determination described in Sec. 1068.535(a).

? 146. Section 1068.510 is amended by revising paragraph (a)(7) to read
as follows:

Sec. 1068.510 How do I prepare and apply my remedial plan?

(a) * * *
(7) The proper maintenance or use you will specify, if any, as a
condition to be eligible for repair under the remedial plan. Describe
how these specifications meet the provisions of paragraph (e) of this
section. Describe how the owners should show they meet your conditions.
* * * * *

? 147. Section 1068.530 is amended by revising the introductory text to
read as follows:

Sec. 1068.530 What records must I keep?

We may review your records at any time, so it is important that you
keep required information readily available. Keep records associated
with your recall campaign for three years after you send the last
report we require under Sec. 1068.525(b). Organize and maintain your
records as described in this section.
* * * * *

? 148. Appendix I to part 1068 is amended by removing paragraph IV and
revising the introductory text to read as follows:

Appendix I to Part 1068--Emission-Related Components

This appendix specifies emission-related components that we refer
to for describing such things as emission-related warranty or
requirements related to rebuilding engines.

[FR Doc. 04-11293 Filed 6-28-04; 8:45 am]
BILLING CODE 6560-50-P

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

Control of Emissions of Air Pollution From Nonroad Diesel Engines and Fuel [pp. 39257-39273]

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