Test Procedures for Testing Highway and Nonroad Engines and Omnibus Technical Amendments [[pp. 40469-40518]]

[Federal Register: July 13, 2005 (Volume 70, Number 133)]
[Rules and Regulations]
[Page 40469-40518]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr13jy05-21]

[[pp. 40469-40518]]
Test Procedures for Testing Highway and Nonroad Engines and
Omnibus Technical Amendments

[[Continued from page 40468]]

[[Page 40469]]

(f) Source of parts and repairs. State clearly on the first page of
your written maintenance instructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission-control
devices and systems. Your instructions may not require components or
service identified by brand, trade, or corporate name. Also, do not
directly or indirectly condition your warranty on a requirement that
the engine be serviced by your franchised dealers or any other service
establishments with which you have a commercial relationship. You may
disregard the requirements in this paragraph (f) if you do one of two
things:
(1) Provide a component or service without charge under the
purchase agreement.
(2) Get us to waive this prohibition in the public's interest by
convincing us the engine will work properly only with the identified
component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following criteria:
(1) Each affected component was not in general use on similar
engines before January 1, 2004.
(2) The primary function of each affected component is to reduce
emissions.
(3) The cost of the scheduled maintenance is more than 2 percent of
the price of the engine.
(4) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the engine's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.

? 223. Section 1048.130 is amended by revising paragraphs (a), (b)(3),
(b)(7), and (b)(8); and adding paragraph (d) to read as follows:

Sec. 1048.130 What installation instructions must I give to equipment
manufacturers?

? 224. Section 1048.135 is revised to read as follows:

Sec. 1048.135 How must I label and identify the engines I produce?

(a) Assign each engine a unique identification number and
permanently affix, engrave, or stamp it on the engine in a legible way.
(b) At the time of manufacture, affix a permanent and legible label
identifying each engine. The label must be--
(1) Attached in one piece so it is not removable without being
destroyed or defaced.
(2) Secured to a part of the engine needed for normal operation and
not normally requiring replacement.
(3) Durable and readable for the engine's entire life.
(4) Written in English.
(c) The label must--
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the provisions of Sec. 1048.635.
(3) Include EPA's standardized designation for the engine family
(and subfamily, where applicable).
(4) State the engine's displacement (in liters); however, you may
omit this from the label if all the engines in the engine family have
the same per-cylinder displacement and total displacement.
(5) State the date of manufacture [MONTH and YEAR]. You may omit
this from the label if you keep a record of the engine-manufacture
dates and provide it to us upon request.
(6) Identify the emission-control system. Use terms and
abbreviations consistent with SAE J1930 (incorporated by reference in
Sec. 1048.810). You may omit this information from the label if there
is not enough room for it and you put it in the owners manual instead.
(7) State: ``THIS ENGINE IS CERTIFIED TO OPERATE ON [specify
operating fuel or fuels].''.
(8) Identify any requirements for fuel and lubricants. You may omit
this information from the label if there is not enough room for it and
you put it in the owners manual instead.
(9) List specifications and adjustments for engine tuneups; show
the proper position for the transmission during tuneup and state which
accessories should be operating. You may omit this information from the
label if there is not enough room for it and you put it in the owners
manual instead.
(10) State the useful life for your engine family if it has a
longer useful life under Sec. 1048.101(g)(1) or a shortened useful
life under Sec. 1048.101(g)(2).
(11) Identify the emission standards to which you have certified
the engine.
(12) State: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[MODEL YEAR]
LARGE NONROAD SI ENGINES.''.
(13) If your engines are certified only for constant-speed
operation, state: ``USE IN CONSTANT-SPEED APPLICATIONS ONLY''.
(14) If your engines are certified only for variable-speed
operation, state: ``USE IN VARIABLE-SPEED APPLICATIONS ONLY''.
(15) If your engines are certified only for high-load engines,
state: ``THIS ENGINE IS NOT INTENDED FOR OPERATION AT LESS THAN 75
PERCENT OF FULL LOAD.''.
(16) If you certify your engines under Sec. 1048.101(d) (and show
in your application for certification that in-use engines will
experience infrequent high-load operation), state: ``THIS ENGINE IS NOT
INTENDED FOR OPERATION AT MORE THAN--PERCENT OF FULL LOAD.''. Specify
the appropriate percentage of full load based on the nature of the
engine protection. You may add other statements to discourage operation
in engine-protection modes.
(17) If your engines are certified to the voluntary standards in
Sec. 1048.140, state: ``BLUE SKY SERIES''.
(d) You may add information to the emission control information
label to identify other emission standards that the engine meets or
does not meet (such

[[Page 40470]]

as California standards). You may also add other information to ensure
that the engine will be properly maintained and used.
(e) You may ask us to approve modified labeling requirements in
this part 1048 if you show that it is necessary or appropriate. We will
approve your request if your alternate label is consistent with the
requirements of this part.
(f) If you obscure the engine label while installing the engine in
the equipment such that the label will be hard to read during normal
maintenance, you must place a duplicate label on the equipment. If
others install your engine in their equipment in a way that obscures
the engine label, we require them to add a duplicate label on the
equipment (see 40 CFR 1068.105); in that case, give them the number of
duplicate labels they request and keep the following records for at
least five years:
(1) Written documentation of the request from the equipment
manufacturer.
(2) The number of duplicate labels you send and the date you sent them.

? 225. Section 1048.140 is amended by revising paragraph (c) to read as
follows:

Sec. 1048.140 What are the provisions for certifying Blue Sky Series
engines?

* * * * *
(c) For any model year, to receive a certificate of conformity as a
``Blue Sky Series'' engine family must meet all the requirements in
this part while certifying to one of the sets of exhaust emission
standards in the following table:

Table 1 of Sec. 1048.140.--Long-Term Standards for Blue Sky Series
Engines (g/kW-hr)
------------------------------------------------------------------------
Standards for steady-state and Standards for field-testing
transient test procedures procedures
------------------------------------------------------------------------
HC+NOX CO HC+NOX CO
------------------------------------------------------------------------
0.80 4.4 1.10 6.6
0.60 4.4 0.84 6.6
0.40 4.4 0.56 6.6
0.20 4.4 0.28 6.6
0.10 4.4 0.14 6.6
------------------------------------------------------------------------

* * * * *

? 226. Section 1048.145 is amended by revising the section heading and
paragraph (a) and removing and reserving paragraph(c) to read as follows:

Sec. 1048.145 Are there interim provisions that apply only for a
limited time?

* * * * *
(a) Family banking. This paragraph (a) allows you to reduce the
number of engines subject to the Tier 2 standards by certifying some of
your engines earlier than otherwise required, as follows:
(1) For early-compliant engines to generate offsets under this
paragraph (a), you must meet the following general provisions:
(i) You must begin actual production of early-compliant engines by
September 1, 2006.
(ii) Engines you produce after December 31, 2006 may not generate
offsets.
(iii) Offset-generating engines must be certified to the Tier 2
standards and requirements under this part 1048.
(iv) If you certify engines under the voluntary standards of Sec.
1048.140, you may not use them in your calculation under this paragraph
(a).
(2) For every offset-generating engine certified to the Tier 2
standards, you may reduce the number of engines with the same maximum
engine power that are required to meet the Tier 2 standards in later
model years by one engine. You may calculate power-weighted offsets
based on actual U.S.-directed sales volumes. For example, if you
produce a total of 1,000 engines in 2005 and 2006 with an average
maximum power of 60 kW certified to the Tier 2 standards, you may delay
certification to that tier of standards for up to 60,000 kW-engine-
years in any of the following ways:
(i) Delay certification of up to 600 engines with an average
maximum power of 100 kW for one model year.
(ii) Delay certification of up to 200 engines with an average
maximum power of 100 kW for three consecutive model years.
(iii) Delay certification of up to 400 engines with an average
maximum power of 100 kW for one model year and up to 50 engines with an
average maximum power of 200 kW for two model years.
(3) Offset-using engines (that is, those not required to certify to
the Tier 2 standards) must be certified to the Tier 1 standards and
requirements of this part 1048. You may delay compliance for up to
three model years.
(4) By January 31 of each year in which you use the provisions of
this paragraph (a), send us a report describing how many offset-
generating or offset-using engines you produced in the preceding model
year.
* * * * *

? 227. Section 1048.201 is revised to read as follows:

Sec. 1048.201 What are the general requirements for obtaining a
certificate of conformity?

(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
from the indicated effective date untilDecember 31 of the model year
for which it is issued.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1048.255).
(c) We may ask you to include less information than we specify in
this subpart, as long as you maintain all the information required by
Sec. 1048.250.
(d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and
sign the application.
(f) See Sec. 1048.255 for provisions describing how we will
process your application.
(g) We may require you to deliver your test engines to a facility
we designate for our testing (see Sec. 1048.235(c)).

? 228. Section 1048.205 is revised to read as follows:

Sec. 1048.205 What must I include in my application?

This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1048.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
types on

[[Page 40471]]

which your engines are designed to operate (for example, gasoline and
natural gas). List each distinguishable engine configuration in the
engine family.
(b) Explain how the emission-control system operates. Describe in
detail all system components for controlling exhaust emissions,
including all auxiliary-emission control devices (AECDs) and all fuel-
system components you will install on any production or test engine.
Describe the evaporative emission controls. Identify the part number of
each component you describe. For this paragraph (b), treat as separate
AECDs any devices that modulate or activate differently from each
other. Include all the following:
(1) Give a general overview of the engine, the emission-control
strategies, and all AECDs.
(2) Describe each AECD's general purpose and function.
(3) Identify the parameters that each AECD senses (including
measuring, estimating, calculating, or empirically deriving the
values). Include equipment-based parameters and state whether you
simulate them during testing with the applicable procedures.
(4) Describe the purpose for sensing each parameter.
(5) Identify the location of each sensor the AECD uses.
(6) Identify the threshold values for the sensed parameters that
activate the AECD.
(7) Describe the parameters that the AECD modulates (controls) in
response to any sensed parameters, including the range of modulation
for each parameter, the relationship between the sensed parameters and
the controlled parameters and how the modulation achieves the AECD's
stated purpose. Use graphs and tables, as necessary.
(8) Describe each AECD's specific calibration details. This may be
in the form of data tables, graphical representations, or some other
description.
(9) Describe the hierarchy among the AECDs when multiple AECDs
sense or modulate the same parameter. Describe whether the strategies
interact in a comparative or additive manner and identify which AECD
takes precedence in responding, if applicable.
(10) Explain the extent to which the AECD is included in the
applicable test procedures specified in subpart F of this part.
(11) Do the following additional things for AECDs designed to
protect engines or equipment:
(i) Identify the engine and/or equipment design limits that make
protection necessary and describe any damage that would occur without
the AECD.
(ii) Describe how each sensed parameter relates to the protected
components' design limits or those operating conditions that cause the
need for protection.
(iii) Describe the relationship between the design limits/
parameters being protected and the parameters sensed or calculated as
surrogates for those design limits/parameters, if applicable.
(iv) Describe how the modulation by the AECD prevents engines and/
or equipment from exceeding design limits.
(v) Explain why it is necessary to estimate any parameters instead
of measuring them directly and describe how the AECD calculates the
estimated value, if applicable.
(vi) Describe how you calibrate the AECD modulation to activate
only during conditions related to the stated need to protect components
and only as needed to sufficiently protect those components in a way
that minimizes the emission impact.
(c) Explain how the engine diagnostic system works, describing
especially the engine conditions (with the corresponding diagnostic
trouble codes) that cause the malfunction-indicator light to go on.
Propose what you consider to be extreme conditions under which the
diagnostic system should disregard trouble codes, as described in Sec.
1048.110.
(d) Describe the engines you selected for testing and the reasons
for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used (see Sec.
1048.501).
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you did.
(g) List the specifications of each test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065, subpart H.
(h) Identify the engine family's useful life.
(i) Include the maintenance instructions you will give to the
ultimate purchaser of each new nonroad engine (see Sec. 1048.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a piece of nonroad
equipment (see Sec. 1048.130).
(k) Identify each high-cost warranted part and show us how you
calculated its replacement cost, including the estimated retail cost of
the part, labor rates, and labor hours to diagnose and replace
defective parts.
(l) Describe your emission control information label (see Sec.
1048.135).
(m) Identify the emission standards to which you are certifying
engines in the engine family.
(n) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1048.240). Present any emission test
data you used for this.
(o) State that you operated your emission-data engines as described
in the application(including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.
(p) Present emission data to show that you meet emission standards,
as follows:
(1) Present exhaust emission data for HC, NO_X, and CO on
an emission-data engine to show your engines meet the applicable duty-
cycle emission standards we specify in Sec. 1048.101. Show emission
figures before and after applying adjustment factors for deterioration
factors for each engine. Include test data for each type of fuel from
40 CFR part 1065, subpart H, on which you intend for engines in the
engine family to operate (for example, gasoline, liquefied petroleum
gas, methanol, or natural gas). If we specify more than one grade of
any fuel type (for example, a summer grade and winter grade of
gasoline), you only need to submit test data for one grade, unless the
regulations of this part specify otherwise for your engine. Note that
Sec. 1048.235 allows you to submit an application in certain cases
without new emission data.
(2) If your engine family includes a volatile liquid fuel (and you
do not use design-based certification under Sec. 1048.245), present
evaporative test data to show your vehicles meet the evaporative
emission standards we specify in subpart B of this part. Show these
figures before and after applying deterioration factors, where applicable.
(q) State that all the engines in the engine family comply with the
field-testing emission standards we specify in Sec. 1048.104 for all
normal operation and use when tested as specified in Sec. 1048.515.
Describe any relevant testing, engineering analysis, or other
information in sufficient detail to support your statement.
(r) For engines with maximum engine power above 560 kW, include
information showing how your emission

[[Page 40472]]

controls will function during normal in-use transient operation. For
example, this might include the following:
(1) Emission data from transient testing of engines using
measurement systems designed for measuring in-use emissions.
(2) Comparison of the engine design for controlling transient
emissions with that from engines for which you have emission data over
the transient duty cycle for certification.
(3) Detailed descriptions of control algorithms and other design
parameters for controlling transient emissions.
(s) Report all test results, including those from invalid tests or
from any other tests, whether or not they were conducted according to
the test procedures of subpart F of this part. If you measure
CO₂, report those emission levels. We may ask you to send
other information to confirm that your tests were valid under the
requirements of this part and 40 CFR part 1065.
(t) Describe all adjustable operating parameters (see Sec.
1048.115(e)), including production tolerances. Include the following in
your description of each parameter:
(1) The nominal or recommended setting.
(2) The intended physically adjustable range.
(3) The limits or stops used to establish adjustable ranges.
(4) Information showing why the limits, stops, or other means of
inhibiting adjustment are effective in preventing adjustment of
parameters on in-use engines to settings outside your intended
physically adjustable ranges.
(u) Provide the information to read, record, and interpret all the
information broadcast by an engine's onboard computers and electronic
control units. State that, upon request, you will give us any hardware,
software, or tools we would need to do this. If you broadcast a
surrogate parameter for torque values, you must provide us what we need
to convert these into torque units. You may reference any appropriate
publicly released standards that define conventions for these messages
and parameters. Format your information consistent with publicly
released standards.
(v) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines are installed in equipment and placed in
service. If this cannot be done by simply adding a 20-centimeter
extension to the exhaust pipe, show how to sample exhaust emissions in
a way that prevents diluting the exhaust sample with ambient air.
(w) State whether your engine will operate in variable-speed
applications, constant-speed applications, or both. If your
certification covers only constant-speed or only variable-speed
applications, describe how you will prevent use of these engines in
applications for which they are not certified.
(x) Unconditionally certify that all the engines in the engine
family comply with the requirements of this part, other referenced
parts of the CFR, and the Clean Air Act.
(y) Include estimates of U.S.-directed production volumes.
(z) Include other applicable information, such as information
specified in this part or part 1068 of this chapter related to requests
for exemptions.
(aa) Name an agent for service of process located in the United
States. Service on this agent constitutes service on you or any of your
officers or employees for any action by EPA or otherwise by the United
States related to the requirements of this part.

? 229. Section 1048.210 is revised to read as follows:

Sec. 1048.210 May I get preliminary approval before I complete my
application?

If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission-
control devices, deterioration factors, testing for service
accumulation, and maintenance. Decisions made under this section are
considered to be preliminary approval, subject to final review and
approval. We will generally not reverse a decision where we have given
you preliminary approval, unless we find new information supporting a
different decision. If you request preliminary approval related to the
upcoming model year or the model year after that, we will make best-
efforts to make the appropriate determinations as soon as practicable.
We will generally not provide preliminary approval related to a future
model year more than two years ahead of time.

Sec. 1048.215 [Removed]

? 230. Section 1048.215 is removed.

? 231. Section 1048.220 is revised to read as follows:

Sec. 1048.220 How do I amend the maintenance instructions in my
application?

You may amend your emission-related maintenance instructions after
you submit your application for certification, as long as the amended
instructions remain consistent with the provisions of Sec. 1048.125.
You must send the Designated Compliance Officer a request to amend your
application for certification for an engine family if you want to
change the emission-related maintenance instructions in a way that
could affect emissions. In your request, describe the proposed changes
to the maintenance instructions. We will disapprove your request if we
determine that the amended instructions are inconsistent with
maintenance you performed on emission-data engines.
(a) If you are decreasing the specified maintenance, you may
distribute the new maintenance instructions to your customers 30 days
after we receive your request, unless we disapprove your request. We
may approve a shorter time or waive this requirement.
(b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions
anytime after you send your request. For example, this paragraph (b)
would cover adding instructions to increase the frequency of a
maintenance step for engines in severe-duty applications.
(c) You need not request approval if you are making only minor
corrections (such as correcting typographical mistakes), clarifying
your maintenance instructions, or changing instructions for maintenance
unrelated to emission control.

? 232. Section 1048.225 is revised to read as follows:

Sec. 1048.225 How do I amend my application for certification to
include new or modified engines?

Before we issue you a certificate of conformity, you may amend your
application to include new or modified engine configurations, subject
to the provisions of this section. After we have issued your
certificate of conformity, you may send us an amended application
requesting that we include new or modified engine configurations within
the scope of the certificate, subject to the provisions of this
section. You must amend your application if any changes occur with
respect to any information included in your application.
(a) You must amend your application before you take either of the
following actions:
(1) Add an engine (that is, an additional engine configuration) to
an engine family. In this case, the engine added must be consistent
with other engines in the engine family with respect to the criteria
listed in Sec. 1048.230.

[[Page 40473]]

(2) Change an engine already included in an engine family in a way
that may affect emissions, or change any of the components you
described in your application for certification. This includes
production and design changes that may affect emissions any time during
the engine's lifetime.
(b) To amend your application for certification, send the
Designated Compliance Officer the following information:
(1) Describe in detail the addition or change in the engine model
or configuration you intend to make.
(2) Include engineering evaluations or data showing that the
amended engine family complies with all applicable requirements. You
may do this by showing that the original emission-data engine is still
appropriate with respect to showing compliance of the amended family
with all applicable requirements.
(3) If the original emission-data engine for the engine family is
not appropriate to show compliance for the new or modified nonroad
engine, include new test data showing that the new or modified nonroad
engine meets the requirements of this part.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your new or modified nonroad engine. You may ask for
a hearing if we deny your request (see Sec. 1048.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified nonroad engine
anytime after you send us your amended application, before we make a
decision under paragraph (d) of this section. However, if we determine
that the affected engines do not meet applicable requirements, we will
notify you to cease production of the engines and may require you to
recall the engines at no expense to the owner. Choosing to produce
engines under this paragraph (e) is deemed to be consent to recall all
engines that we determine do not meet applicable emission standards or
other requirements and to remedy the nonconformity at no expense to the
owner. If you do not provide information required under paragraph (c)
of this section within 30 days, you must stop producing the new or
modified nonroad engines.

? 233. Section 1048.230 is revised to read as follows:

Sec. 1048.230 How do I select engine families?

(a) Divide your product line into families of engines that are
expected to have similar emission characteristics throughout the useful
life. Your engine family is limited to a single model year.
(b) Group engines in the same engine family if they are the same in
all of the following aspects:
(1) The combustion cycle.
(2) The cooling system (water-cooled vs. air-cooled).
(3) Configuration of the fuel system (for example, fuel injection
vs. carburetion).
(4) Method of air aspiration.
(5) The number, location, volume, and composition of catalytic
converters.
(6) The number, arrangement, and approximate bore diameter of
cylinders.
(7) Evaporative emission controls.
(c) You may subdivide a group of engines that is identical under
paragraph (b) of this section into different engine families if you
show the expected emission characteristics are different during the
useful life.
(d) You may group engines that are not identical with respect to
the things listed in paragraph (b) of this section in the same engine
family if you show that their emission characteristics during the
useful life will be similar.
(e) You may create separate families for exhaust emissions and
evaporative emissions. If we do this, list both families on the
emission control information label.
(f) Where necessary, you may divide an engine family into sub-
families to meet different emission standards, as specified in Sec.
1048.101(a)(2). For issues related to compliance and prohibited
actions, we will generally apply decisions to the whole engine family.
For engine labels and other administrative provisions, we may approve
your request for separate treatment of sub-families.

? 234. Section 1048.235 is revised to read as follows:

Sec. 1048.235 What emission testing must I perform for my application
for a certificate of conformity?

This section describes the emission testing you must perform to
show compliance with the emission standards in Sec. Sec. 1048.101(a)
and (b) and 1048.105 during certification. See Sec. 1048.205(q)
regarding emission testing related to the field-testing standards. See
Sec. 1048.240 and 40 CFR part 1065, subpart E, regarding service
accumulation before emission testing.
(a) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part. For any testing related
to evaporative emissions, use good engineering judgment to include a
complete fuel system with the engine.
(b) Select emission-data engines according to the following criteria:
(1) Exhaust testing. For each fuel type from each engine family,
select an emission-data engine with a configuration that is most likely
to exceed the exhaust emission standards, using good engineering
judgment. Consider the emission levels of all exhaust constituents over
the full useful life of the engine when operated in a piece of equipment.
(2) Evaporative testing. For each engine family that includes a
volatile liquid fuel, select a test fuel system with a configuration
that is most likely to exceed the evaporative emission standards, using
good engineering judgment.
(c) We may measure emissions from any of your test engines or other
engines from the engine family, as follows:
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the test engine to a test
facility we designate. The test engine you provide must include
appropriate manifolds, aftertreatment devices, electronic control
units, and other emission-related components not normally attached
directly to the engine block. If we do the testing at your plant, you
must schedule it as soon as possible and make available the
instruments, personnel, and equipment we need.
(2) If we measure emissions on one of your test engines, the
results of that testing become the official emission results for the
engine. Unless we later invalidate these data, we may decide not to
consider your data in determining if your engine family meets
applicable requirements.
(3) Before we test one of your engines, we may set its adjustable
parameters to any point within the physically adjustable ranges (see
Sec. 1048.115(e)).
(4) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter.
(d) You may ask to use emission data from a previous model year
instead of doing new tests, but only if all the following are true:
(1) The engine family from the previous model year differs from the
current engine family only with respect to model year.
(2) The emission-data engine from the previous model year remains
the appropriate emission-data engine under paragraph (b) of this section.
(3) The data show that the emission-data engine would meet all the

[[Page 40474]]

requirements that apply to the engine family covered by the application
for certification.
(e) We may require you to test a second engine of the same or
different configuration in addition to the engine tested under
paragraph (b) of this section.
(f) If you use an alternate test procedure under 40 CFR 1065.10 and
later testing shows that such testing does not produce results that are
equivalent to the procedures specified in subpart F of this part, we
may reject data you generated using the alternate procedure.

? 235. Section 1048.240 is revised to read as follows:

Sec. 1048.240 How do I demonstrate that my engine family complies
with exhaust emission standards?

(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical emission standards in Sec.
1048.101(a) and (b) if all emission-data engines representing that
family have test results showing deteriorated emission levels at or
below these standards.
(b) Your engine family is deemed not to comply if any emission-data
engine representing that family has test results showing a deteriorated
emission level above an applicable emission standard from Sec.
1048.101 for any pollutant.
(c) To compare emission levels from the emission-data engine with
the applicable emission standards, apply deterioration factors to the
measured emission levels for each pollutant. Specify the deterioration
factors based on emission measurements using four significant figures,
consistent with good engineering judgment. For example, your
deterioration factors must take into account any available data from
in-use testing with similar engines (see subpart E of this part).
Small-volume engine manufacturers may use assigned deterioration
factors that we establish. Apply deterioration factors as follows:
(1) Multiplicative deterioration factor. For engines that use
aftertreatment technology, such as catalytic converters, use a
multiplicative deterioration factor for exhaust emissions. A
multiplicative deterioration factor is the ratio of exhaust emissions
at the end of useful life to exhaust emissions at the low-hour test
point. Adjust the official emission results for each tested engine at
the selected test point by multiplying the measured emissions by the
deterioration factor. If the factor is less than one, use one.
(2) Additive deterioration factor. For engines that do not use
aftertreatment technology, use an additive deterioration factor for
exhaust emissions. An additive deterioration factor is the difference
between exhaust emissions at the end of useful life and exhaust
emissions at the low-hour test point. Adjust the official emission
results for each tested engine at the selected test point by adding the
factor to the measured emissions. If the factor is less than zero, use
zero.
(d) Collect emission data using measurements to one more decimal
place than the applicable standard. Apply the deterioration factor to
the official emission result, as described in paragraph (c) of this
section, then round the adjusted figure to the same number of decimal
places as the emission standard. Compare the rounded emission levels to
the emission standard for each emission-data engine. In the case of HC
+ NO_X standards, apply the deterioration factor to each
pollutant and then add the results before rounding.

? 236. Section 1048.245 is amended by revising paragraph (e)(1)(i) to
read as follows:

Sec. 1048.245 How do I demonstrate that my engine family complies
with evaporative emission standards?

* * * * *
(e) * * *
(1) * * *
(i) Use a tethered or self-closing gas cap on a fuel tank that
stays sealed up to a positive pressure of 24.5 kPa (3.5 psig) or a
vacuum pressure of 0.7 kPa (0.1 psig).
* * * * *

? 237. Section 1048.250 is amended by revising paragraphs (a) and (c) to
read as follows:

Sec. 1048.250 What records must I keep and make available to EPA?

(a) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send
us.
(2) Any of the information we specify in Sec. 1048.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data engine. For each
engine, describe all of the following:
(i) The emission-data engine's construction, including its origin
and buildup, steps you took to ensure that it represents production
engines, any components you built specially for it, and all the
components you include in your application for certification.
(ii) How you accumulated engine operating hours (service
accumulation), including the dates and the number of hours accumulated.
(iii) All maintenance, including modifications, parts changes, and
other service, and the dates and reasons for the maintenance.
(iv) All your emission tests, including documentation on routine
and standard tests, as specified in part 40 CFR part 1065, and the date
and purpose of each test.
(v) All tests to diagnose engine or emission-control performance,
giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each engine family divided by assembly
plant.
(5) Keep a list of engine identification numbers for all the
engines you produce under each certificate of conformity.
* * * * *
(c) Store these records in any format and on any media, as long as
you can promptly send us organized, written records in English if we
ask for them. You must keep these records readily available. We may
review them at any time.
* * * * *

? 238. Section 1048.255 is revised to read as follows:

Sec. 1048.255 When may EPA deny, revoke, or void my certificate of
conformity?

(a) If we determine your application is complete and shows that the
engine family meets all the requirements of this part and the Act, we
will issue a certificate of conformity for your engine family for that
model year. We may make the approval subject to additional conditions.
(b) We may deny your application for certification if we determine
that your engine family fails to comply with emission standards or
other requirements of this part or the Act. Our decision may be based
on a review of all information available to us. If we deny your
application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements.
(2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent).
(3) Render inaccurate any test data.
(4) Deny us from completing authorized activities despite our
presenting a warrant or court order (see 40 CFR 1068.20). This includes
a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.

[[Page 40475]]

(6) Fail to supply requested information or amend your application
to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the
Act or this part.
(d) We may void your certificate if you do not keep the records we
require or do not give us information when we ask for it.
(e) We may void your certificate if we find that you intentionally
submitted false or incomplete information.
(f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec. 1048.820).

? 239. Section 1048.301 is amended by revising paragraphs (a) and (f) to
read as follows:

Sec. 1048.301 When must I test my production-line engines?

(a) If you produce engines that are subject to the requirements of
this part, you must test them as described in this subpart.
* * * * *
(f) We may ask you to make a reasonable number of production-line
engines available for a reasonable time so we can test or inspect them
for compliance with the requirements of this part. See 40 CFR 1068.27.

? 240. Section 1048.305 is amended by revising paragraphs (d)(1), (f),
and (g) to read as follows:

Sec. 1048.305 How must I prepare and test my production-line engines?

* * * * *
(d) * * *
(1) We may adjust or require you to adjust idle speed outside the
physically adjustable range as needed only until the engine has
stabilized emission levels (see paragraph (e) of this section). We may
ask you for information needed to establish an alternate minimum idle
speed.
* * * * *
(f) Damage during shipment. If shipping an engine to a remote
facility for production-line testing makes necessary an adjustment or
repair, you must wait until after the initial emission test to do this
work. We may waive this requirement if the test would be impossible or
unsafe, or if it would permanently damage the engine. Report to us, in
your written report under Sec. 1048.345, all adjustments or repairs
you make on test engines before each test.
(g) Retesting after invalid tests. You may retest an engine if you
determine an emission test is invalid under subpart F of this part.
Explain in your written report reasons for invalidating any test and
the emission results from all tests. If 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.

? 241. Section 1048.310 is amended by revising paragraphs (c)
introductory text, (c)(2), (g), (h), and (i) to read as follows:

Sec. 1048.310 How must I select engines for production-line testing?

* * * * *
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC+NO_X and for CO. The
required sample size is the greater of these two calculated values. Use
the following equation:
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.007

Where:

N = Required sample size for the model year.
t₉₅ = 95% confidence coefficient, which depends on the
number of tests completed, n, as specified in the table in paragraph
(c)(1) of this section. It defines 95% confidence intervals for a one-
tail distribution.
x = Mean of emission test results of the sample.
STD = Emission standard.
[sigma]
= Test sample standard deviation (see paragraph (c)(2) of this
section).
n = The number of tests completed in an engine family.
* * * * *
(2) Calculate the standard deviation, [sigma], for the test sample
using the following formula:
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.008

Where:

X_i = Emission test result for an individual engine.
* * * * *
(g) Continue testing any engine family for which the sample mean,
x, is greater than the emission standard. This applies if the sample
mean for either HC+NO_X or for CO is greater than the
emission standard. Continue testing until one of the following things
happens:
(1) The number of tests completed in an engine family, n, is
greater than the required sample size, N, and the sample mean, x, is
less than or equal to the emission standard. For example, if N = 3.1
after the third test, the sample-size calculation does not allow you to
stop testing.
(2) The engine family does not comply according to Sec. 1048.315.
(3) You test 30 engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number. If your projected production is between 150 and 750 engines,
test engines as specified in paragraph (b) of this section until you
have tested one percent of your projected annual U.S.-directed
production volume. For example, if projected volume is 475 engines,
test two engines in each of the first two quarters and one engine in
the third quarter to fulfill your testing requirements under this
section for that engine family. If your projected production volume is
less than 150, you must test at least two engines.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for a
pollutant, you must continue measuring emission levels of that
pollutant for any additional tests required under this section.
However, you need not continue making the calculations specified in
this section for that pollutant. This paragraph (h) does not affect the
requirements in Sec. 1048.320.
(i) You may elect to test more randomly chosen engines than we
require under this section. Include these engines in the sample-size
calculations.

? 242. Section 1048.315 is amended by revising the introductory text to
read as follows:

Sec. 1048.315 How do I know when my engine family fails the
production-line testing requirements?

This section describes the pass/fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family
basis. See Sec. 1048.320 for the requirements that apply to individual
engines that fail a production-line test.
* * * * *

? 243. Section 1048.325 is amended by revising paragraph (d) to read as
follows:

Sec. 1048.325 What happens if an engine family fails the production-
line requirements?

* * * * *
(d) Section 1048.335 specifies steps you must take to remedy the
cause of the engine family's production-line failure. All the engines
you have produced since the end of the last test period are presumed
noncompliant and should be addressed in your proposed remedy. We may
require you to apply the remedy to engines produced earlier if we
determine that the cause of the

[[Page 40476]]

failure is likely to have affected the earlier engines.

? 244. Section 1048.345 is amended by revising paragraph (d) to read as
follows:

Sec. 1048.345 What production-line testing records must I send to EPA?

* * * * *
(d) Send electronic reports of production-line testing to the
Designated ComplianceOfficer using an approved information format. If
you want to use a different format, send us a written request with
justification for a waiver.
* * * * *

? 245. Section 1048.350 is amended by revising paragraph (a) to read as
follows:

Sec. 1048.350 What records must I keep?

(a) Organize and maintain your records as described in this
section. We may review your records at any time.
* * * * *

? 246. Section 1048.420 is amended by revising paragraph (b) to read as
follows:

Sec. 1048.420 What in-use testing information must I report to EPA?

* * * * *
(b) Send electronic reports of in-use testing to the Designated
Compliance Officer using an approved information format. If you want to
use a different format, send us a written request with justification
for a waiver.
* * * * *

? 247. Section 1048.425 is amended by revising paragraph (a) to read as
follows:

Sec. 1048.425 What records must I keep?

(a) Organize and maintain your records as described in this
section. We may review your records at any time.
* * * * *

? 248. Section 1048.501 is revised to read as follows:

Sec. 1048.501 How do I run a valid emission test?

(a) Use the equipment and procedures for spark-ignition engines in
40 CFR part 1065 to determine whether engines meet the duty-cycle
emission standards in Sec. 1048.101(a) and (b). Measure the emissions
of all the pollutants we regulate in Sec. 1048.101 using the sampling
procedures specified in 40 CFR part 1065. Use the applicable duty
cycles specified in Sec. Sec. 1048.505 and 1048.510.
(b) Section 1048.515 describes the supplemental procedures for
evaluating whether engines meet the field-testing emission standards in
Sec. 1048.101(c).
(c) Use the fuels specified in 40 CFR part 1065, subpart C, to
perform valid tests for all the testing we require in this part, except
as noted in Sec. 1048.515. For service accumulation, use the test fuel
or any commercially available fuel that is representative of the fuel
that in-use engines will use.
(d) In place of the provisions of 40 CFR 1065.405, you may consider
emission levels stable without measurement after 50 hours of engine
operation.
(e) To test engines for evaporative emissions, use the equipment
and procedures specified for testing diurnal emissions in 40 CFR
86.107-96 and 86.133-96 with fuel meeting the specifications in 40 CFR
part 1065, subpart C. Measure emissions from a test engine with a
complete fuel system. Reported emission levels must be based on the
highest emissions from three successive 24-hour periods of cycling
temperatures. Note that you may omit testing for evaporative emissions
during certification if you certify by design, as specified in Sec.
1048.245.
(f) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
(g) This subpart is addressed to you as a manufacturer, but it
applies equally to anyone who does testing for you, and to us when we
perform testing to determine if your engines meet emission standards.
(h) Map all engines (including constant-speed engines) using the
procedures specified in 40 CFR part 1065 for variable-speed engines.
For constant-speed engines, continue the mapping procedure until you
reach the high-idle speed (the highest speed at which the engine
produces zero torque).

? 249. Section 1048.505 is revised to read as follows:

Sec. 1048.505 How do I test engines using steady-state duty cycles,
including ramped-modal testing?

This section describes how to test engines under steady-state
conditions. In some cases, we allow you to choose the appropriate
steady-state duty cycle for an engine. In these cases, you must use the
duty cycle you select in your application for certification for all
testing you perform for that engine family. If we test your engines to
confirm that they meet emission standards, we will use the duty cycles
you select for your own testing. We may also perform other testing as
allowed by the Clean Air Act.
(a) You may perform steady-state testing with either discrete-mode
or ramped-modal cycles, as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle
using the weighting factors specified for each mode. Calculate cycle
statistics for the sequence of modes and compare with the specified
values in 40 CFR 1065.514 to confirm that the test is valid. Operate
the engine and sampling system as follows:
(i) Engines with lean NOX aftertreatment. For lean-burn engines
that depend on aftertreatment to meet the NO_X emission
standard, operate the engine for 5-6 minutes, then sample emissions for
1-3 minutes in each mode.
(ii) Engines without lean NOX aftertreatment. For other engines,
operate the engine for at least 5 minutes, then sample emissions for at
least 1 minute in each mode. Calculate cycle statistics for the
sequence of modes and compare with the specified values in 40 CFR part
1065 to confirm that the test is valid.
(2) For ramped-modal testing, start sampling at the beginning of
the first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient testing.
(b) Measure emissions by testing the engine on a dynamometer with
one or more of the following sets of duty cycles to determine whether
it meets the steady-state emission standards in Sec. 1048.101(b):
(1) For engines from an engine family that will be used only in
variable-speed applications, use one of the following duty cycles:
(i) The following duty cycle applies for discrete-mode testing:

Table 1 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Minimum time
C2 Mode No. Engine speed \1\ Observed in mode Weighting
torque \2\ (minutes) factors
--------------------------------------------------------------------------------------------------
1........................... Maximum test speed.. 25 3.0 0.06
2........................... Intermediate test 100 3.0 0.02
speed.
3........................... Intermediate test 75 3.0 0.05
speed.

[[Page 40477]]

4........................... Intermediate test 50 3.0 0.32
speed.
5........................... Intermediate test 25 3.0 0.30
speed.
6........................... Intermediate test 10 3.0 0.10
speed.
7........................... Idle................ 0 3.0 0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

(ii) The following duty cycle applies for ramped-modal testing:

Table 2 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed 1, 2 Torque (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state..................... 119 Warm Idle.............. 0
1b Transition....................... 20 Linear Transition...... Linear Transition.
2a Steady-state..................... 29 Intermediate Speed..... 100
2b Transition....................... 20 Intermediate Speed..... Linear Transition.
3a Steady-state..................... 150 Intermediate Speed..... 10
3b Transition....................... 20 Intermediate Speed..... Linear Transition.
4a Steady-state..................... 80 Intermediate Speed..... 75
4b Transition....................... 20 Intermediate Speed..... Linear Transition.
5a Steady-state..................... 513 Intermediate Speed..... 25
5b Transition....................... 20 Intermediate Speed..... Linear Transition.
6a Steady-state..................... 549 Intermediate Speed..... 50
5b Transition....................... 20 Linear Transition...... Linear Transition.
6a Steady-state..................... 96 Maximum test speed..... 25
6b Transition....................... 20 Linear Transition...... Linear Transition.
7 Steady-state...................... 124 Warm Idle.............. 0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.

(2) For engines from an engine family that will be used only at a
single, rated speed, use one of the following duty cycles:
(i) The following duty cycle applies for discrete-mode testing:

Table 3 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Minimum time
D2 mode No. Engine speed Torque \1\ in mode Weighting
(minutes) factors
----------------------------------------------------------------------------------------------------------------
1.................................. Maximum test............... 100 3.0 0.05
2.................................. Maximum test............... 75 3.0 0.25
3.................................. Maximum test............... 50 3.0 0.30
4.................................. Maximum test............... 25 3.0 0.30
5.................................. Maximum test............... 10 3.0 0.10
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at maximum test speed.

(ii) The following duty cycle applies for ramped-modal testing:

Table 4 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed Torque (percent) 1 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state..................... 53 Engine Governed........ 100
1b Transition....................... 20 Engine Governed........ Linear transition.
2a Steady-state..................... 101 Engine Governed........ 10
2b Transition....................... 20 Engine Governed........ Linear transition.
3a Steady-state..................... 277 Engine Governed........ 75
3b Transition....................... 20 Engine Governed........ Linear transition.

[[Page 40478]]

4a Steady-state..................... 339 Engine Governed........ 25
4b Transition....................... 20 Engine Governed........ Linear transition.
5 Steady-state...................... 350 Engine Governed........ 50
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.

(3) Use a duty cycle from both paragraphs (b)(1) and (b)(2) of this
section if you will not restrict an engine family to constant-speed or
variable-speed applications.
(4) Use a duty cycle specified in paragraph (b)(2) of this section
for all severe-duty engines.
(5) For high-load engines, use one of the following duty cycles:
(i) The following duty cycle applies for discrete-mode testing:

Table 5 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Minimum time
D1 mode No. Engine speed Torque \1\ in mode Weighting
(minutes) factors
----------------------------------------------------------------------------------------------------------------
1.................................. Maximum test............... 100 3.0 0.50
2.................................. Maximum test............... 75 3.0 0.50
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at maximum test speed.

(ii) The following duty cycle applies for discrete-mode testing:

Table 6 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC modes (seconds) Engine speed (percent) Torque (percent) 1, 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state..................... 290 Engine Governed........ 100
1b Transition....................... 20 Engine Governed........ Linear Transition.
2 Steady-state...................... 290 Engine Governed........ 75
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.

(c) If we test an engine to confirm that it meets the duty-cycle
emission standards, we will use the steady-state duty cycles that apply
for that engine family.
(d) During idle mode, operate the engine with the following
parameters:
(1) Hold the speed within your specifications.
(2) Set the engine to operate at its minimum fueling rate.
(3) Keep engine torque under 5 percent of maximum test torque.
(e) For full-load operating modes, operate the engine at wide-open
throttle.
(f) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.
(g) For those cases where transient testing is not necessary,
perform the steady-state test according to this section after an
appropriate warm-up period, consistent with 40 CFR part 1065, subpart F.

? 250. Section 1048.510 is amended by revising the section heading and
paragraphs (a) and (c)(1) to read as follows:

Sec. 1048.510 Which duty cycles do I use for transient testing?

(a) Starting with the 2007 model year, measure emissions by testing
the engine on a dynamometer with one of the following transient duty
cycles to determine whether it meets the transient emission standards
in Sec. 1048.101(a):
(1) For constant-speed engines and severe-duty engines, use the
transient duty-cycle described in Appendix I of this part.
(2) For all other engines, use the transient duty cycle described
in Appendix II of this part.
* * * * *
(c) * * *
(1) Operate the engine for the first 180 seconds of the appropriate
duty cycle from Appendix I or Appendix II of this part, then allow it
to idle without load for 30 seconds. At the end of the 30-second idling
period, start measuring emissions as the engine operates over the
prescribed duty cycle. For severe-duty engines, this engine warm-up
procedure may include up to 15 minutes of operation over the
appropriate duty cycle.
* * * * *

? 251. Section 1048.515 is amended by revising the section heading and
paragraphs (a)(1) and (a)(2) to read as follows:

Sec. 1048.515 What are the field-testing procedures?

(a) * * *
(1) Remove the selected engines for testing in a laboratory. You
may use an engine dynamometer to simulate normal operation, as
described in this section.
(2) Test the selected engines while they remain installed in the
equipment. In 40 CFR part 1065, subpart J, we

[[Page 40479]]

describe the equipment and sampling methods for testing engines in the
field. Use fuel meeting the specifications of 40 CFR part 1065, subpart
H, or a fuel typical of what you would expect the engine to use in
service.
* * * * *

? 252. Section 1048.601 is revised to read as follows:

Sec. 1048.601 What compliance provisions apply to these engines?

Engine and equipment manufacturers, as well as owners, operators,
and rebuilders of engines subject to the requirements of this part, and
all other persons, must observe the provisions of this part, the
requirements and prohibitions in 40 CFR part 1068, and the provisions
of the Act.

? 253. Section 1048.605 is revised to read as follows:

Sec. 1048.605 What provisions apply to engines certified under the
motor-vehicle program?

(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce new nonroad engines into commerce if
they are already certified to the requirements that apply to engines
under 40 CFR parts 85 and 86 for the appropriate model year. If you
comply with all the provisions of this section, we consider the
certificate issued under 40 CFR part 86 for each engine to also be a
valid certificate of conformity under this part 1048 for its model
year, without a separate application for certification under the
requirements of this part 1048. See Sec. 1048.610 for similar
provisions that apply to engines certified to chassis-based standards
for motor vehicles.
(b) Equipment-manufacturer provisions. If you are not an engine
manufacturer, you may produce nonroad equipment using motor-vehicle
engines under this section as long as you meet all the requirements and
conditions specified in paragraph (d) of this section. If you modify
the motor-vehicle engine in any of the ways described in paragraph
(d)(2) of this section, we will consider you a manufacturer of a new
nonroad engine. Such engine modifications prevent you from using the
provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted
under this section must meet all the applicable requirements from 40
CFR parts 85 and 86. This applies to engine manufacturers, equipment
manufacturers who use these engines, and all other persons as if these
engines were used in a motor vehicle. The prohibited acts of 40 CFR
1068.101(a)(1) apply to these new engines and equipment; however, we
consider the certificate issued under 40 CFR part 86 for each engine to
also be a valid certificate of conformity under this part 1048 for its
model year. If we make a determination that these engines do not
conform to the regulations during their useful life, we may require you
to recall them under 40 CFR part 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are an engine manufacturer or
equipment manufacturer and meet all the following criteria and
requirements regarding your new nonroad engine, the engine is eligible
for an exemption under this section:
(1) Your engine must be covered by a valid certificate of
conformity issued under 40 CFR part 86.
(2) You must not make any changes to the certified engine that
could reasonably be expected to increase its exhaust emissions for any
pollutant, or its evaporative emissions. For example, if you make any
of the following changes to one of these engines, you do not qualify
for this exemption:
(i) Change any fuel system or evaporative system parameters from
the certified configuration (this does not apply to refueling
controls).
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original engine
manufacturer's specified ranges.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes engines used in any application without regard to which
company manufactures the vehicle or equipment. Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(4) You must ensure that the engine has the label we require under
40 CFR part 86.
(5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
equipment. In the supplemental label, do the following:
(i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL
INFORMATION''.
(ii) Include your full corporate name and trademark. You may
instead include the full corporate name and trademark of another
company you choose to designate.
(iii) State: ``THIS ENGINE WAS ADAPTED FOR NONROAD USE WITHOUT
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF
FEDERAL LAW.''.
(iv) State the date you finished modifying the engine (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible
after the engine is installed in the equipment or, if the equipment
obscures the engine's emission control information label, the equipment
manufacturer must attach duplicate labels, as described in 40 CFR
1068.105.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the engine or equipment models you expect to produce
under this exemption in the coming year.
(iii) State: ``We produce each listed [engine or equipment]
model
for nonroad application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1048.605.''.
(e) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 1048 and the
certificate issued under 40 CFR part 86 will not be deemed to also be a
certificate issued under this part 1048. Introducing these engines into
commerce without a valid exemption or certificate of conformity under
this part violates the prohibitions in 40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Engines
adapted for nonroad use under this section may generate credits under
the ABT provisions in 40 CFR part 86. These

[[Page 40480]]

engines must use emission credits under 40 CFR part 86 if they are
certified to an FEL that exceeds an applicable standard under 40 CFR
part 86.

? 254. Section 1048.610 is revised to read as follows:

Sec. 1048.610 What provisions apply to vehicles certified under the
motor-vehicle program?

(a) General provisions. If you are a motor-vehicle manufacturer,
this section allows you to introduce new nonroad engines or equipment
into commerce if the vehicle is already certified to the requirements
that apply under 40 CFR parts 85 and 86 for the appropriate model year.
If you comply with all of the provisions of this section, we consider
the certificate issued under 40 CFR part 86 for each motor vehicle to
also be a valid certificate of conformity for the engine under this
part 1048 for its model year, without a separate application for
certification under the requirements of this part 1048. See Sec.
1048.605 or similar provisions that apply to motor-vehicle engines
produced for nonroad equipment. The provisions of this section do not
apply to engines certified to meet the requirements for highway motorcycles.
(b) Equipment-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce nonroad equipment from motor
vehicles under this section as long as you meet all the requirements
and conditions specified in paragraph (d) of this section. If you
modify the motor vehicle or its engine in any of the ways described in
paragraph (d)(2) of this section, we will consider you a manufacturer
of a new nonroad engine. Such modifications prevent you from using the
provisions of this section.
(c) Liability. Engines, vehicles, and equipment for which you meet
the requirements of this section are exempt from all the requirements
and prohibitions of this part, except for those specified in this
section. Engines exempted under this section must meet all the
applicable requirements from 40 CFR parts 85 and 86. This applies to
engine manufacturers, equipment manufacturers, and all other persons as
if the nonroad equipment were motor vehicles. The prohibited acts of 40
CFR 1068.101(a)(1) apply to these new pieces of equipment; however, we
consider the certificate issued under 40 CFR part 86 for each motor
vehicle to also be a valid certificate of conformity for the engine
under this part 1048 for its model year. If we make a determination
that these engines, vehicles, or equipment do not conform to the
regulations during their useful life, we may require you to recall them
under 40 CFR part 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are a motor-vehicle manufacturer
and meet all the following criteria and requirements regarding your new
nonroad equipment and its engine, the engine is eligible for an
exemption under this section:
(1) Your equipment must be covered by a valid certificate of
conformity as a motor vehicle issued under 40 CFR part 86.
(2) You must not make any changes to the certified vehicle that we
could reasonably expect to increase its exhaust emissions for any
pollutant, or its evaporative emissions if it is subject to
evaporative-emission standards. For example, if you make any of the
following changes, you do not qualify for this exemption:
(i) Change any fuel system or evaporative system parameters from
the certified configuration, including refueling emission controls.
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the vehicle
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original vehicle
manufacturer's specified ranges.
(iv) Add more than 500 pounds to the curb weight of the originally
certified motor vehicle.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes any type of vehicle, without regard to which company completes
the manufacturing of the nonroad equipment. Show this as follows:
(i) If you are the original manufacturer of the vehicle, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the vehicle to confirm this based on their sales information.
(4) The equipment must have the vehicle emission control
information and fuel labels we require under 40 CFR 86.007-35.
(5) You must add a permanent supplemental label to the equipment in
a position where it will remain clearly visible. In the supplemental
label, do the following:
(i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL
INFORMATION''.
(ii) Include your full corporate name and trademark. You may
instead include the full corporate name and trademark of another
company you choose to designate.
(iii) State: ``THIS VEHICLE WAS ADAPTED FOR NONROAD USEWITHOUT
AFFECTING ITS EMISSION CONTROLS. THEEMISSION-CONTROL SYSTEM DEPENDS ON
THE USE OF FUELMEETING SPECIFICATIONS THAT APPLY FOR MOTOR-
VEHICLEAPPLICATIONS. OPERATING THE ENGINE ON OTHER FUELSMAY BE A
VIOLATION OF FEDERAL LAW.''.
(iv) State the date you finished modifying the vehicle (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible in
the fully assembled equipment.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the equipment models you expect to produce under this
exemption in the coming year.
(iii) State: ``We produced each listed engine or equipment model
for nonroad application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1048.610.''.
(e) Failure to comply. If your engines, vehicles, or equipment do
not meet the criteria listed in paragraph (d) of this section, the
engines will be subject to the standards, requirements, and
prohibitions of this part 1048, and the certificate issued under 40 CFR
part 86 will not be deemed to also be a certificate issued under this
part 1048. Introducing these engines into commerce without a valid
exemption or certificate of conformity under this part violates the
prohibitions in 40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Vehicles
adapted for nonroad use under this section may generate credits under
the ABT provisions in 40 CFR part 86. These vehicles must use emission
credits under 40 CFR part 86 if they are certified to an FEL that
exceeds an applicable standard under 40 CFR part 86.

? 255. Section 1048.615 is amended by revising paragraphs (a)(2), (a)(3),
(c), and (d) to read as follows:

[[Page 40481]]

Sec. 1048.615 What are the provisions for exempting engines designed
for lawn and garden applications?

* * * * *
(a) * * *
(2) The engine must have a maximum engine power at or below 30 kW.
(3) The engine must be in an engine family that has a valid
certificate of conformity showing that it meets emission standards for
Class II engines under 40 CFR part 90 for the appropriate model year.
* * * * *
(c) If your engines do not meet the criteria listed in paragraph
(a) of this section, they will be subject to the provisions of this
part. Introducing these engines into commerce without a valid exemption
or certificate of conformity violates the prohibitions in 40 CFR
1068.101.
(d) Engines exempted under this section are subject to all the
requirements affecting engines under 40 CFR part 90. The requirements
and restrictions of 40 CFR part 90 apply to anyone manufacturing these
engines, anyone manufacturing equipment that uses these engines, and
all other persons in the same manner as if these engines had a total
maximum engine power at or below 19 kW.

? 256. Section 1048.620 is revised to read as follows:

Sec. 1048.620 What are the provisions for exempting large engines
fueled by natural gas?

(a) If an engine meets all the following criteria, it is exempt
from the requirements of this part:
(1) The engine must operate solely on natural gas or liquefied
petroleum gas.
(2) The engine must have maximum engine power at or above 250 kW.
(3) The engine must be in an engine family that has a valid
certificate of conformity showing that it meets emission standards for
engines of that power rating under 40 CFR part 89 or 1039.
(b) The only requirements or prohibitions from this part that apply
to an engine that is exempt under this section are in this section.
(c) If your engines do not meet the criteria listed in paragraph
(a) of this section, they will be subject to the provisions of this
part. Introducing these engines into commerce without a valid exemption
or certificate of conformity violates the prohibitions in 40 CFR 1068.101.
(d) Engines exempted under this section are subject to all the
requirements affecting engines under 40 CFR part 89 or 1039. The
requirements and restrictions of 40 CFR part 89 or 1039 apply to anyone
manufacturing these engines, anyone manufacturing equipment that uses
these engines, and all other persons in the same manner as if these
were nonroad diesel engines.
(e) You may request an exemption under this section by submitting
an application for certification for the engines under 40 CFR part 89
or 1039.

? 257. Section 1048.625 is revised to read as follows:

Sec. 1048.625 What special provisions apply to engines using
noncommercial fuels?

In Sec. 1048.115(e), we generally require that engines meet
emission standards for any adjustment within the full range of any
adjustable parameters. For engines that use noncommercial fuels
significantly different than the specified test fuel of the same type,
you may ask to use the parameter-adjustment provisions of this section
instead of those in Sec. 1048.115(e). Engines certified under this
section must be in a separate engine family.
(a) If we approve your request, the following provisions apply:
(1) You must certify the engine using the test fuel specified in
Sec. 1048.501.
(2) You may produce the engine without limits or stops that keep
the engine adjusted within the certified range.
(3) You must specify in-use adjustments different than the
adjustable settings appropriate for the specified test fuel, consistent
with the provisions of paragraph(b)(1) of this section.
(b) To produce engines under this section, you must do the
following:
(1) Specify in-use adjustments needed so the engine's level of
emission control for each regulated pollutant is equivalent to that
from the certified configuration.
(2) Add the following information to the emission control
information label specified in Sec. 1048.135:
(i) Include instructions describing how to adjust the engine to
operate in a way that maintains the effectiveness of the emission-
control system.
(ii) State: ``THIS ENGINE IS CERTIFIED TO OPERATE IN APPLICATIONS
USING NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION
OFFEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
(3) Keep records to document the destinations and quantities of
engines produced under this section.

? 258. A new Sec. 1048.630 is added to subpart G to read as follows:

Sec. 1048.630 What are the provisions for exempting engines used
solely for competition?

The provisions of this section apply for new engines built on or
after January 1, 2006.
(a) Equipment manufacturers may use uncertified engines if the
vehicles or equipment in which they are installed will be used solely
for competition.
(b) The definition of nonroad engine in 40 CFR 1068.30 excludes
engines used solely for competition. These engines are not required to
comply with this part 1048, but 40 CFR 1068.101 prohibits the use of
competition engines for noncompetition purposes.
(c) We consider a vehicle or piece of equipment to be one that will
be used solely for competition if it has features that are not easily
removed that would make its use other than in competition unsafe,
impractical, or highly unlikely.
(d) As an engine manufacturer, your engine is exempt without our
prior approval if you have a written request for an exempted engine
from the equipment manufacturer showing the basis for believing that
the equipment will be used solely for competition. You must permanently
label engines exempted under this section to clearly indicate that they
are to be used solely for competition. Failure to properly label an
engine will void the exemption.
(e) We may discontinue an exemption under this section if we find
that engines are not used solely for competition.

? 259. A new Sec. 1048.635 is added to subpart G to read as follows:

Sec. 1048.635 What special provisions apply to branded engines?

The following provisions apply if you identify the name and
trademark of another company instead of your own on your emission
control information label, as provided by Sec. 1048.135(c)(2):
(a) You must have a contractual agreement with the other company
that obligates that company to take the following steps:
(1) Meet the emission warranty requirements that apply under Sec.
1048.120. This may involve a separate agreement involving reimbursement
of warranty-related expenses.
(2) Report all warranty-related information to the certificate
holder.
(b) In your application for certification, identify the company
whose trademark you will use and describe the arrangements you have
made to meet your requirements under this section.
(c) You remain responsible for meeting all the requirements of this
chapter, including warranty and defect-reporting provisions.

[[Page 40482]]

? 260. Section 1048.801 is revised to read as follows:

Sec. 1048.801 What definitions apply to this part?

The following definitions apply to this part. The definitions apply
to all subparts unless we note otherwise. All undefined terms have the
meaning the Act gives to them. The definitions follow:
Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
Adjustable parameter means any device, system, or element of design
that someone can adjust (including those which are difficult to access)
and that, if adjusted, may affect emissions or engine performance
during emission testing or normal in-use operation. This includes, but
is not limited to, parameters related to injection timing and fueling
rate. You may ask us to exclude a parameter that is difficult to access
if it cannot be adjusted to affect emissions without significantly
degrading engine performance, or if you otherwise show us that it will
not be adjusted in a way that affects emissions during in-use operation.
Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted
downstream of the exhaust valve (or exhaust port) whose design function
is to decrease emissions in the engine exhaust before it is exhausted
to the environment. Exhaust-gas recirculation (EGR) and turbochargers
are not aftertreatment.
Aircraft means any vehicle capable of sustained air travel above
treetop heights.
All-terrain vehicle has the meaning given in 40 CFR 1051.801.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
Auxiliary emission-control device means any element of design that
senses temperature, motive speed, engine rpm, transmission gear, or any
other parameter for the purpose of activating, modulating, delaying, or
deactivating the operation of any part of the emission-control system.
Blue Sky Series engine means an engine meeting the requirements of
Sec. 1048.140.
Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
Calibration means the set of specifications and tolerances specific
to a particular design, version, or application of a component or
assembly capable of functionally describing its operation over its
working range.
Certification means relating to the process of obtaining a
certificate of conformity for an engine family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from either transient
or steady-state testing.
Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine.
Constant-speed engine means an engine whose certification is
limited to constant-speed operation. Engines whose constant-speed
governor function is removed or disabled are no longer constant-speed
engines.
Constant-speed operation means engine operation with a governor
that controls the operator input to maintain an engine at a reference
speed, even under changing load. For example, an isochronous governor
changes reference speed temporarily during a load change, then returns
the engine to its original reference speed after the engine stabilizes.
Isochronous governors typically allow speed changes up to 1.0 %.
Another example is a speed-droop governor, which has a fixed reference
speed at zero load and allows the reference speed to decrease as load
increases. With speed-droop governors, speed typically decreases (3 to
10) % below the reference speed at zero load, such that the minimum
reference speed occurs near the engine's point of maximum power.
Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the engine crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft
and other related internal parts.
Critical emission-related component means any of the following
components:
(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors and actuators associated with any of these components.
(2) Any other component whose primary purpose is to reduce emissions.
Designated Compliance Officer means the Manager, Engine Programs
Group (6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania
Ave., NW., Washington, DC 20460.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data engine.
Deterioration factor means the relationship between emissions at
the end of useful life and emissions at the low-hour test point,
expressed in one of the following ways:
(1) For multiplicative deterioration factors, the ratio of
emissions at the end of useful life to emissions at the low-hour test
point.
(2) For additive deterioration factors, the difference between
emissions at the end of useful life and emissions at the low-hour test
point.
Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1048.505.
Emission-control system means any device, system, or element of
design that controls or reduces the regulated emissions from an engine.
Emission-data engine means an engine that is tested for
certification. This includes engines tested to establish deterioration
factors.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Engine configuration means a unique combination of engine hardware
and calibration within an engine family. Engines within a single engine
configuration differ only with respect to normal production variability.
Engine family has the meaning given in Sec. 1048.230.
Engine manufacturer means the manufacturer of the engine. See the
definition of ``manufacturer'' in this section.
Equipment manufacturer means a manufacturer of nonroad equipment.
All nonroad equipment manufacturing entities under the control of the
same person are considered to be a single nonroad equipment
manufacturer.
Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that, according to Sec. 1048.5, is not
subject to this part 1048.
Exempted has the meaning given in 40 CFR 1068.30.
Exhaust-gas recirculation means a technology that reduces emissions
by routing exhaust gases that had been exhausted from the combustion
chamber(s) back into the engine to be

[[Page 40483]]

mixed with incoming air before or during combustion. The use of valve
timing to increase the amount of residual exhaust gas in the combustion
chamber(s) that is mixed with incoming air before or during combustion
is not considered exhaust-gas recirculation for the purposes of this part.
Fuel system means all components involved in transporting,
metering, and mixing the fuel from the fuel tank to the combustion
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel
filters, fuel lines, carburetor or fuel-injection components, and all
fuel-system vents.
Fuel type means a general category of fuels such as gasoline or
natural gas. There can be multiple grades within a single fuel type,
such as winter-grade and summer-grade gasoline.
Good engineering judgment has the meaning given in 40 CFR 1068.30.
See 40 CFR 1068.5 for the administrative process we use to evaluate
good engineering judgment.
High-cost warranted part means a component covered by the emission-
related warranty with a replacement cost (at the time of certification)
exceeding $400 (in 1998 dollars). Adjust this value using the most
recent annual average consumer price index information published by the
U.S. Bureau of Labor Statistics. For this definition, replacement cost
includes the retail cost of the part plus labor and standard diagnosis.
High-load engine means an engine for which the engine manufacturer
can provide clear evidence that operation below 75 percent of maximum
load in its final application will be rare.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type, as described in Sec.
1048.101(e).
Identification number means a unique specification (for example, a
model number/serial number combination) that allows someone to
distinguish a particular engine from other similar engines.
Intermediate test speed has the meaning given in 40 CFR 1065.1001.
Low-hour means relating to an engine with stabilized emissions and
represents the undeteriorated emission level. This would generally
involve less than 300 hours of operation.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures an engine,
vehicle, or piece of equipment for sale in the United States or
otherwise introduces a new nonroad engine into commerce in the United
States. This includes importers who import engines, equipment, or
vehicles for resale.
Marine engine means a nonroad engine that is installed or intended
to be installed on a marine vessel. This includes a portable auxiliary
engine only if its fueling, cooling, or exhaust system is an integral
part of the vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Maximum engine power has one of the following meanings:
(1) For engines at or below 30 kW, maximum engine power has the
meaning given in 40CFR 90.3.
(2) For engines above 30 kW, maximum engine power has the meaning
given in 40 CFR 1039.140
Maximum test speed has one of the following meanings:
(1) For variable-speed engines, maximum test speed has the meaning
given in 40 CFR 1065.1001.
(2) For transient testing of constant-speed engines, maximum test
speed means the highest speed at which the engine produces zero torque.
(3) For steady-state testing of constant-speed engines, maximum
test speed means the speed at which the engine produces peak torque.
Maximum test torque has the meaning given in 40 CFR 1065.1001.
Model year means one of the following things:
(1) For freshly manufactured equipment and engines (see definition
of ``new nonroad engine,'' paragraph (1)), model year means one of the
following:
(i) Calendar year.
(ii) Your annual new model production period if it is different
than the calendar year. This must include January 1 of the calendar
year for which the model year is named. It may not begin before January
2 of the previous calendar year and it must end by December 31 of the
named calendar year.
(2) For an engine that is converted to a nonroad engine after being
placed into service as a motor-vehicle engine or a stationary engine,
model year means the calendar year in which the engine was originally
produced (see definition of ``new nonroad engine,'' paragraph(2)).
(3) For a nonroad engine excluded under Sec. 1048.5 that is later
converted to operate in an application that is not excluded, model year
means the calendar year in which the engine was originally produced
(see definition of ``new nonroad engine,'' paragraph (3)).
(4) For engines that are not freshly manufactured but are installed
in new nonroad equipment, model year means the calendar year in which
the engine is installed in the new nonroad equipment (see definition of
``new nonroad engine,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new nonroad engine,'' model year has the meaning given
in paragraphs (1) through (4) of this definition.
(ii) [Reserved]
Motor vehicle has the meaning given in 40 CFR 85.1703(a).
New nonroad engine means any of the following things:
(1) A freshly manufactured nonroad engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
engine might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine becomes new when it is fully assembled
for the first time. The engine is no longer new when the ultimate
purchaser receives the title or the product is placed into service,
whichever comes first.
(2) An engine originally manufactured as a motor-vehicle engine or
a stationary engine that is later intended to be used in a piece of
nonroad equipment. In this case, the engine is no longer a motor-
vehicle or stationary engine and becomes a ``new nonroad engine''. The
engine is no longer new when it is placed into nonroad service.
(3) A nonroad engine that has been previously placed into service
in an application we exclude under Sec. 1048.5, where that engine is
installed in a piece of equipment that is covered by this part 1048.
The engine is no longer new when it is placed into nonroad service
covered by this part 1048. For example, this would apply to a marine-
propulsion engine that is no longer used in a marine vessel.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in new nonroad equipment.
The engine is no longer new when the ultimate purchaser receives a
title for the equipment or the product is placed into service,
whichever comes first. This generally includes installation of used
engines in new equipment.
(5) An imported nonroad engine, subject to the following provisions:

[[Page 40484]]

(i) An imported nonroad engine covered by a certificate of
conformity issued under this part that meets the criteria of one or
more of paragraphs (1) through (4) of this definition, where the
original engine manufacturer holds the certificate, is new as defined
by those applicable paragraphs.
(ii) An imported nonroad engine covered by a certificate of
conformity issued under this part, where someone other than the
original engine manufacturer holds the certificate (such as when the
engine is modified after its initial assembly), becomes new when it is
imported. It is no longer new when the ultimate purchaser receives a
title for the engine or it is placed into service, whichever comes
first.
(iii) An imported nonroad engine that is not covered by a
certificate of conformity issued under this part at the time of
importation is new, but only if it was produced on or after January 1,
2004. This addresses uncertified engines and equipment initially placed
into service that someone seeks to import into the United States.
Importation of this kind of new nonroad engine (or equipment containing
such an engine) is generally prohibited by 40 CFR part 1068.
New nonroad equipment means either of the following things:
(1) A nonroad piece of equipment for which the ultimate purchaser
has never received the equitable or legal title. The product is no
longer new when the ultimate purchaser receives this title or the
product is placed into service, whichever comes first.
(2) An imported nonroad piece of equipment with an engine not
covered by a certificate of conformity issued under this part at the
time of importation and manufactured afterJanuary 1, 2004.
Noncommercial fuel means a combustible product that is not marketed
as a commercial fuel, but is used as a fuel for nonroad engines. For
example, this includes methane that is produced and released from
landfills or oil wells, or similar unprocessed fuels that are not
intended to meet any otherwise applicable fuel specifications. SeeSec.
1048.615 for provisions related to engines designed to burn
noncommercial fuels.
Noncompliant engine means an engine that was originally covered by
a certificate of conformity, but is not in the certified configuration
or otherwise does not comply with the conditions of the certificate.
Nonconforming engine means an engine not covered by a certificate
of conformity that would otherwise be subject to emission standards.
Nonmethane hydrocarbon means the difference between the emitted
mass of total hydrocarbons and the emitted mass of methane.
Nonroad means relating to nonroad engines or equipment that
includes nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general
this means all internal-combustion engines except motor vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft. This part does not apply to all nonroad
engines (see Sec. 1048.5).
Nonroad equipment means a piece of equipment that is powered by one
or more nonroad engines.
Off-highway motorcycle has the meaning given in 40 CFR 1051.801.
(Note: highway motorcycles are regulated under 40 CFR part 86.)
Official emission result means the measured emission rate for an
emission-data engine on a given duty cycle before the application of
any deterioration factor, but after the applicability of regeneration
adjustment factors.
Owners manual means a document or collection of documents prepared
by the engine manufacturer for the owner or operator to describe
appropriate engine maintenance, applicable warranties, and any other
information related to operating or keeping the engine. The owners
manual is typically provided to the ultimate purchaser at the time of
sale.
Oxides of nitrogen has the meaning given in 40 CFR part 1065.
Piece of equipment means any vehicle, vessel, or other type of
equipment using engines to which this part applies.
Placed into service means put into initial use for its intended purpose.
Point of first retail sale means the location at which the initial
retail sale occurs. This generally means an equipment dealership, but
may also include an engine seller or distributor in cases where loose
engines are sold to the general public for uses such as replacement engines.
Ramped-modal means relating to the ramped-modal type of steady-
state test described in Sec. 1048.505.
Rated speed means the maximum full-load governed speed for governed
engines and the speed of maximum power for ungoverned engines.
Revoke has the meaning given in 40 CFR 1068.30.
Round has the meaning given in 40 CFR 1065.1001, unless otherwise
specified.
Scheduled maintenance means adjusting, repairing, removing,
disassembling, cleaning, or replacing components or systems
periodically to keep a part or system from failing, malfunctioning, or
wearing prematurely. It also may mean actions you expect are necessary
to correct an overt indication of failure or malfunction for which
periodic maintenance is not appropriate.
Severe-duty application includes concrete saws, concrete pumps, and
any other application where an engine manufacturer can provide clear
evidence that the majority of installations need air-cooled engines as
a result of operation in a severe-duty environment.
Severe-duty engine means an engine from an engine family in which
the majority of engines are installed in severe-duty applications.
Small-volume engine manufacturer means a company with fewer than
200 employees. This includes any employees working for parent or
subsidiary companies.
Snowmobile has the meaning given in 40 CFR 1051.801.
Spark-ignition means relating to a gasoline-fueled engine or any
other type of engine with a spark plug (or other sparking device) and
with operating characteristics significantly similar to the theoretical
Otto combustion cycle. Spark-ignition engines usually use a throttle to
regulate intake air flow to control power during normal operation.
Steady-state means relating to emission tests in which engine speed
and load are held at a finite set of essentially constant values.
Steady-state tests are either discrete-mode tests or ramped-modal tests.
Stoichiometric means relating to the particular ratio of air and
fuel such that if the fuel were fully oxidized, there would be no
remaining fuel or oxygen. For example, stoichiometric combustion in a
gasoline-fueled engine typically occurs at an air-fuel mass ratio of
about 14.7.
Suspend has the meaning given in 40 CFR 1068.30.
Test engine means an engine in a test sample.
Test sample means the collection of engines selected from the
population of an engine family for emission testing. This may include
testing for certification, production-line testing, or in-use testing.
Tier 1 means relating to the emission standards and other
requirements that apply beginning with the 2004 model year.
Tier 2 means relating to the emission standards and other
requirements that apply beginning with the 2007 model year.

[[Page 40485]]

Total hydrocarbon means the combined mass of organic compounds
measured by the specified procedure for measuring total hydrocarbon,
expressed as a hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent means the sum of the carbon mass
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
engines. The hydrogen-to-carbon ratio of the equivalent hydrocarbon is
1.85:1.
Ultimate purchaser means, with respect to any new nonroad equipment
or new nonroad engine, the first person who in good faith purchases
such new nonroad equipment or new nonroad engine for purposes other
than resale.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year means for an engine family the model year after
the one currently in production.
U.S.-directed production volume means the number of engine units,
subject to the requirements of this part, produced by a manufacturer
for which the manufacturer has a reasonable assurance that sale was or
will be made to ultimate purchasers in the UnitedStates.
Useful life means the period during which the engine is designed to
properly function in terms of reliability and fuel consumption, without
being remanufactured, specified as a number of hours of operation or
calendar years, whichever comes first. It is the period during which a
new nonroad engine is required to comply with all applicable emission
standards. See Sec. 1048.101(g).
Variable-speed engine means an engine that is not a constant-speed
engine.
Variable-speed operation means engine operation that does not meet
the definition of constant-speed operation.
Void has the meaning given in 40 CFR 1068.30.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
Wide-open throttle means maximum throttle opening. Unless this is
specified at a given speed, it refers to maximum throttle opening at
maximum speed. For electronically controlled or other engines with
multiple possible fueling rates, wide-open throttle also means the
maximum fueling rate at maximum throttle opening under test conditions.
We (us, our) means the Administrator of the Environmental
Protection Agency and any authorized representatives.

? 261. Section 1048.805 is amended by adding ``NARA'' to the table in
alphabetical order to read as follows:

Sec. 1048.805 What symbols, acronyms, and abbreviations does this
part use?

* * * * *

* * * * * * *
NARA.............................. National Archives and Records
Administration.

* * * * * * *
? 262. Section 1048.810 is revised to read as follows:

Sec. 1048.810 What materials does this part reference?

Documents listed in this section have been incorporated by
reference into this part. The Director of the Federal Register approved
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and
Radiation Docket and Information Center, 1301 Constitution Ave., NW.,
Room B102, EPA West Building, Washington, DC 20460 or at the National
Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
(a) [Reserved]
(b) SAE material. Table 2 of this section lists material from the
Society of AutomotiveEngineering that we have incorporated by
reference. The first column lists the number and name of the material.
The second column lists the sections of this part where we reference
it. Anyone may purchase copies of these materials from the Society of
Automotive Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or
http://www.sae.org. Table 2 follows:

Table 2 of Sec. 1048.810.--SAE Materials
------------------------------------------------------------------------
Part 1048
Document number and name reference
------------------------------------------------------------------------
SAE J1930, Electrical/Electronic Systems Diagnostic 1048.135
Terms, Definitions, Abbreviations, and Acronyms,
revised May 1998.......................................
SAE J2260, Nonmetallic Fuel System Tubing with One or 1048.105
More Layers, November 1996.............................
------------------------------------------------------------------------

(c) ISO material. Table 3 of this section lists material from the
International Organization for Standardization that we have
incorporated by reference. The first column lists the number and name
of the material. The second column lists the section of this part where
we reference it. Anyone may purchase copies of these materials from the
International Organization for Standardization, Case Postale 56, CH-
1211 Geneva 20,Switzerland or http://www.iso.org. Table 3 follows:

[[Page 40486]]

Table 3 of Sec. 1048.810.--ISO Materials
------------------------------------------------------------------------
Part 1048
Document number and name reference
------------------------------------------------------------------------
ISO 9141-2 Road vehicles--Diagnostic systems--Part 2: 1048.110
CARB requirements for interchange of digital
information, February 1994.............................
ISO 14230-4 Road vehicles--Diagnostic systems--Keyword 1048.110
Protocol 2000--Part 4: Requirements for emission-
related systems, June 2000.............................
------------------------------------------------------------------------

? 263. Section 1048.815 is revised to read as follows:

Sec. 1048.815 What provisions apply to confidential information?

(a) Clearly show what you consider confidential by marking,
circling, bracketing, stamping, or some other method.
(b) We will store your confidential information as described in 40
CFR part 2. Also, we will disclose it only as specified in 40 CFR part
2. This applies both to any information you send us and to any
information we collect from inspections, audits, or other site visits.
(c) If you send us a second copy without the confidential
information, we will assume it contains nothing confidential whenever
we need to release information from it.
(d) If you send us information without claiming it is confidential,
we may make it available to the public without further notice to you,
as described in 40 CFR 2.204.

? 264. Section 1048.820 is revised to read as follows:

Sec. 1048.820 How do I request a hearing?

(a) You may request a hearing under certain circumstances, as
described elsewhere in this part. To do this, you must file a written
request, including a description of your objection and any supporting
data, within 30 days after we make a decision.
(b) For a hearing you request under the provisions of this part, we
will approve your request if we find that your request raises a
substantial factual issue.
(c) If we agree to hold a hearing, we will use the procedures
specified in 40 CFR part 1068, subpart G.

? 265. Appendix I to part 1048 is amended in the table by adding a
footnote to read as follows:

Appendix I to Part 1048--Large Spark-ignition (SI) Transient Cycle for
Constant-Speed Engines

* * * * *

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

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

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

? 266. The authority citation for part 1051 is revised to read as follows:

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

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

Subpart A--Overview and Applicability

? 268. Section 1051.1 is revised to read as follows:

Sec. 1051.1 Does this part apply for my vehicles or engines?

(a) The regulations in this part 1051 apply for all the following
new recreational vehicles or new engines used in the following
recreational vehicles, except as provided in Sec. 1051.5:
(1) Snowmobiles.
(2) Off-highway motorcycles.
(3) All-terrain vehicles (ATVs.)
(4) Offroad utility vehicles with engines with displacement less
than or equal to 1000 cc, maximum engine power less than or equal to 30
kW, and maximum vehicle speed of 25 miles per hour or higher. Offroad
utility vehicles that are subject to this part are subject to the same
requirements as ATVs. This means that any requirement that applies to
ATVs also applies to these offroad utility vehicles, without regard to
whether the regulatory language mentions offroad utility vehicles.
(b) In certain cases, the regulations in this part 1051 apply to
new engines under 50 cc used in motorcycles that are motor vehicles.
See 40 CFR 86.447-2006 or 86.448-2006 for provisions related to this
allowance.
(c) This part 1051 applies for new recreational vehicles starting
in the 2006 model year, except as described in subpart B of this part.
You need not follow this part for vehicles you produce before the 2006
model year, unless you certify voluntarily. See Sec. Sec. 1051.103
through 1051.110, Sec. 1051.145, and the definition of ``model year''
in Sec. 1051.801 for moreinformation about the timing of the requirements.
(d) The requirements of this part begin to apply when a vehicle is
new. See the definition of ``new'' in Sec. 1051.801 for more
information. In some cases, vehicles or engines that have been
previously used may be considered ``new'' for the purposes of this part.
(e) The evaporative emission requirements of this part apply to
highway motorcycles, as specified in 40 CFR part 86, subpart E.

? 269. Section 1051.5 is revised to read as follows:

Sec. 1051.5 Which engines are excluded from this part's requirements?

(a) You may exclude vehicles with compression-ignition engines. See
40 CFR part 89 or 1039 for regulations that cover these engines.
(b) We may require you to label an engine or vehicle (or both) if
this section excludes it and other requirements in this chapter do not
apply.

? 270. Section 1051.10 is revised to read as follows:

Sec. 1051.10 How is this part organized?

The regulations in this part 1051 contain provisions that affect
both vehicle manufacturers and others. However, the requirements of
this part are generally addressed to the vehicle manufacturer. The term
``you'' generally means the vehicle manufacturer, as defined in Sec.
1051.801. This part 1051 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1051
and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify engines under this part.
Note that Sec. 1051.145 discusses certaininterim requirements and
compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part describes general provisions for testing
production-line engines.
(e) [Reserved]

[[Page 40487]]

(f) Subpart F of this part describes how to test your engines
(including references to other parts of the Code of Federal Regulations).
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, equipment manufacturers, owners, operators, rebuilders,
and all others.
(h) Subpart H of this part describes how you may generate and use
emission credits to certify your engines.
(i) Subpart I of this part contains definitions and other reference
information.

? 271. Section 1051.15 is revised to read as follows:

Sec. 1051.15 Do any other regulation parts apply to me?

(a) Parts 86 and 1065 of this chapter describe procedures and
equipment specifications for testing vehicles and engines. Subpart F of
this part 1051 describes how to apply the provisions of parts 86 and
1065 of this chapter to determine whether vehicles meet the emission
standards in this part.
(b) The requirements and prohibitions of part 1068 of this chapter
apply to everyone,including anyone who manufactures, imports, installs,
owns, operates, or rebuilds any of the vehicles subject to this part
1051, or vehicles containing these engines. Part 1068 of this chapter
describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for manufacturers and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain vehicles and engines.
(4) Importing vehicles and engines.
(5) Selective enforcement audits of your production.
(6) Defect reporting and recall.
(7) Procedures for hearings.
(c) Other parts of this chapter apply if referenced in this part.

? 272. Section 1051.101 is amended by revising paragraphs (a)(1), (a)(2),
(c), and (f) to read as follows:

Sec. 1051.101 What emission standards and other requirements must my
vehicles meet?

(a) * * *
(1) The applicable exhaust emission standards in Sec. 1051.103,
Sec. 1051.105, Sec. 1051.107, or Sec. 1051.145.
(i) For snowmobiles, see Sec. 1051.103.
(ii) For off-highway motorcycles, see Sec. 1051.105.
(iii) For all-terrain vehicles and offroad utility vehicles subject
to this part, see Sec. 1051.107 and Sec. 1051.145.
(2) The evaporative emission standards in Sec. 1051.110.
* * * * *
(c) These standards and requirements apply to all testing,
including certification, production-line, and in-use testing.
* * * * *
(f) As described in Sec. 1051.1(a)(4), offroad utility vehicles
that are subject to this part are subject to the same requirements as ATVs.

? 273. Section 1051.103 is amended by revising paragraph (a)(1) before
the table and paragraphs (b) introductory text and (c) introductory
text to read as follows:

Sec. 1051.103 What are the exhaust emission standards for snowmobiles?

(a) * * *
(1) Follow Table 1 of this section for exhaust emission standards.
You may generate or use emission credits under the averaging, banking,
and trading (ABT) program for HC+NO_X and CO emissions, as
described in subpart H of this part. This requires that you specify a
family emission limit for each pollutant you include in the ABT program
for each engine family. These family emission limits serve as the
emission standards for the engine family with respect to all required
testing instead of the standards specified in this section. An engine
family meets emission standards evenif its family emission limit is
higher than the standard, as long as you show that the whole averaging
set of applicable engine families meets the applicable emission
standards using emission credits, and the vehicles within the family
meet the family emission limit. The phase-in values specify the
percentage of your U.S.-directed production that must comply with the
emission standards for those model years. Calculate this compliance
percentage based on a simple count of your U.S.-directed production
units within each certified engine family compared with a simple count
of your total U.S.-directed production units. Table 1 also shows the
maximum value you may specify for a family emission limit, as follows:
* * * * *
(b) The exhaust emission standards in this section apply for
snowmobiles using the fuel type on which they are designed to operate.
You must meet the numerical emission standards for hydrocarbons in this
section based on the following types of hydrocarbon emissions for
snowmobiles powered by the following fuels:
* * * * *
(c) Your snowmobiles must meet emission standards over their full
useful life. The minimum useful life is 8,000 kilometers, 400 hours of
engine operation, or five calendar years, whichever comes first. You
must specify a longer useful life in terms of kilometers and hours for
the engine family if the average service life of your vehicles is
longer than the minimum value, as follows:
* * * * *

? 274. Section 1051.105 is amended by revising paragraph (a)(1) before
the table and paragraphs (a)(3), (b) introductory text, and (c)
introductory text to read as follows:

Sec. 1051.105 What are the exhaust emission standards for off-highway
motorcycles?

(a) * * *
(1) Follow Table 1 of this section for exhaust emission standards.
You may generate or use emission credits under the averaging, banking,
and trading (ABT) program for HC+NO_X and CO emissions, as
described in subpart H of this part. This requires that you specify a
family emission limit for each pollutant you include in the ABT program
for each engine family. These family emission limits serve as the
emission standards for the engine family with respect to all required
testing instead of the standards specified in this section. An engine
family meets emission standards evenif its family emission limit is
higher than the standard, as long as you show that the whole averaging
set of applicable engine families meets the applicable emission
standards using emission credits, and the vehicles within the family
meet the family emission limit. The phase-in values specify the
percentage of your U.S.-directed production that must comply with the
emission standards for those model years. Calculate this compliance
percentage based on a simple count of your U.S.-directed production
units within each certified engine family compared with a simple count
of your total U.S.-directed production units. Table 1 follows:
* * * * *
(3) You may certify off-highway motorcycles with engines that have
total displacement of 70 cc or less to the exhaust emission standards
in Sec. 1051.615 instead of certifying them to the exhaust emission
standards of this section. Count all such vehicles in the phase-in
(percent) requirements of this section.
(b) The exhaust emission standards in this section apply for off-
highway motorcycles using the fuel type on which they are designed to
operate. You must meet the numerical emission standards for
hydrocarbons in this section based on the following types of
hydrocarbon emissions for off-highway

[[Page 40488]]

motorcycles powered by the following fuels:
* * * * *
(c) Your off-highway motorcycles must meet emission standards over
their full useful life. For off-highway motorcycles with engines that
have total displacement greater than 70 cc, the minimum useful life is
10,000 kilometers or five years, whichever comes first. For off-highway
motorcycles with engines that have total displacement of 70 cc or less,
the minimum useful life is 5,000 kilometers or five years, whichever
comes first. You must specify a longer useful life for the engine
family in terms of kilometers if the average service life of your
vehicles is longer than the minimum value, as follows:
* * * * *

? 275. Section 1051.107 is amended by revising paragraphs (a), (b)
introductory text, and
(c) introductory text to read as follows:

Sec. 1051.107 What are the exhaust emission standards for all-terrain
vehicles (ATVs) and offroad utility vehicles?

* * * * *
(a) Apply the exhaust emission standards in this section by model
year. Measure emissions with the ATV test procedures in subpart F of
this part.
(1) Follow Table 1 of this section for exhaust emission standards.
You may generate or use emission credits under the averaging, banking,
and trading (ABT) program for HC+NO_X emissions, as described
in subpart H of this part. This requires that you specify a family
emission limit for each pollutant you include in the ABT program for
each engine family. These family emission limits serve as the emission
standards for the engine family with respect to all required testing
instead of the standards specifiedin this section. An engine family
meets emission standards even if its family emission limit is higher
than the standard, as long as you show that the whole averaging set of
applicable engine families meets the applicable emission standards
using emission credits, and the vehicles within the family meet the
family emission limit. Table 1 also shows the maximum value you may
specify for a family emission limit. The phase-in values in the table
specify the percentage of your total U.S.-directed production that must
comply with the emission standards for those model years.
Calculate this compliance percentage based on a simple count of
your U.S.-directed production units within each certified engine family
compared with a simple count of your total U.S.-directed production
units. This applies to your total production of ATVs and offroad
utility vehicles that are subject to the standards of this part;
including both ATVs and offroad utility vehicles subject to the
standards of this section and ATVs and offroad utility vehicles
certified to the standards of other sections in this part 1051 (such as
Sec. 1051.615, but not including vehicles certified under other parts
in this chapter (such as 40 CFR part 90). Table 1 follows:

Table 1 of Sec. 1051.107.--Exhaust Emission Standards for ATVs (g/km)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Emission standards Maximum allowable family
Phase-in -------------------------------- emission limits
Phase Model year (percent) -------------------------------
HC+NOX CO HC+NOX CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 1................................... 2006........................ 50 1.5 35 20.0 ..............
2007 and later.............. 100 1.5 35 20.0 ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------

(2) You may certify ATVs with engines that have total displacement
of less than 100 cc to the exhaust emission standards in Sec. 1051.615
instead of certifying them to the exhaust emission standards of this
section. Count all such vehicles in the phase-in(percent) requirements
of this section.
(b) The exhaust emission standards in this section apply for ATVs
using the fuel type on which they are designed to operate. You must
meet the numerical emission standards for hydrocarbons in this section
based on the following types of hydrocarbon emissions for ATVs powered
by the following fuels:
* * * * *
(c) Your ATVs must meet emission standards over their full useful
life. For ATVs with engines that have total displacement of 100 cc or
greater, the minimum useful life is 10,000 kilometers, 1000 hours of
engine operation, or five years, whichever comes first. For ATVs with
engines that have total displacement of less than 100 cc, the minimum
useful life is 5,000 kilometers, 500 hours of engine operation, or five
years, whichever comes first. You must specify a longer useful life for
the engine family in terms of kilometers and hours if the average
service life of your vehicles is longer than the minimum value, as follows:
* * * * *

? 276. Section 1051.110 is amended by revising the introductory text and
paragraph (a) to read as follows:

Sec. 1051.110 What evaporative emission standards must my vehicles meet?

Your new vehicles must meet the emission standards of this section
over their full useful life. Note that Sec. 1051.245 allows you to use
design-based certification instead of generating new emission data.
(a) Beginning with the 2008 model year, permeation emissions from
your vehicle's fuel tank(s) may not exceed 1.5 grams per square-meter
per day when measured with the test procedures for tank permeation in
subpart F of this part. You may generate or use emission credits under
the averaging, banking, and trading (ABT) program, as describedin
subpart H of this part.
* * * * *

? 277. Section 1051.115 is amended by removing and reserving paragraph
(b), revising paragraphs (a), (c), (f), and (g), and adding a new
paragraph (d)(3)(vi) to read as follows:

Sec. 1051.115 What other requirements must my vehicles meet?

* * * * *
(a) Closed crankcase. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any vehicle throughout its
useful life.
* * * * *
(c) Adjustable parameters. Vehicles that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. Note that parameters that control the air-
fuel ratio may be treated separately under paragraph (d) of this
section. An operating parameter is not considered adjustable if you
permanently sealit or if it is not normally accessible using ordinary
tools. We may require that you set adjustable parameters to any
specification within the adjustable range during any testing,including

[[Page 40489]]

certification testing, production-line testing, or in-use testing.
(d) * * *
(3) * * *
(vi) The adjustable range of carburetor screws, such as air screw,
fuel screw, andidle-speed screw must be defined by stops, limits, or
specification on the jetting chart consistent with the requirements for
specifying jet sizes and needle configuration in this section.
* * * * *
(f) Defeat devices. You may not equip your vehicles with a defeat
device. A defeat device is an auxiliary emission-control device that
reduces the effectiveness of emission controls under conditions that
the vehicle may reasonably be expected to encounter during normal
operation and use. This does not apply to auxiliary emission-control
devices you identify in your certification application if any of the
following is true:
(1) The conditions of concern were substantially included in the
applicable test procedures described in subpart F of this part.
(2) You show your design is necessary to prevent vehicle damage or
accidents.
(3) The reduced effectiveness applies only to starting the engine.
(g) Noise standards. There are no noise standards specified in this
part 1051. See 40 CFR Chapter I, Subchapter G, to determine if your
vehicle must meet noise emission standards under another part of our
regulations.

? 278. Section 1051.120 is revised to read as follows:

Sec. 1051.120 What emission-related warranty requirements apply to me?

(a) General requirements. You must warrant to the ultimate
purchaser and each subsequent purchaser that the new engine, including
all parts of its emission-control system, meets two conditions:
(1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
(2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
(b) Warranty period. Your emission-related warranty must be valid
for at least 50 percent of the vehicle's minimum useful life in
kilometers or hours of engine operation (where applicable), or at least
30 months, whichever comes first. You may offer an emission-related
warranty more generous than we require. The emission-related warranty
for the engine may not be shorter than any published warranty you offer
without charge for the engine. Similarly, the emission-related warranty
for any component may not be shorter than any published warranty you
offer without charge for that component. If a vehicle has no odometer,
base warranty periods in this paragraph (b) only on the vehicle's age
(in years). The warranty period begins when the engine is placed into
service.
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
pollutant. This includes components listed in 40 CFR part 1068,
Appendix I, and components from any other system you develop to control
emissions. The emission-related warranty covers these components even
if another company produces the component. Your emission-related
warranty does not cover components whose failure would not increase an
engine's emissions of any pollutant.
(d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40CFR 1068.115. You may ask us to allow you to
exclude from your emission-related warranty certified vehicles that
have been used significantly for competition, especially certified
motorcycles that meet at least four of the criteria in Sec. 1051.620(b)(1).
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

? 279. Section 1051.125 is revised to read as follows:

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

Give the ultimate purchaser of each new vehicle written
instructions for properly maintaining and using the vehicle, including
the emission-control system. The maintenance instructions also apply to
service accumulation on your emission-data vehicles, as described in
Sec. 1051.240, Sec. 1051.245, and 40 CFR part 1065.
(a) Critical emission-related maintenance. Critical emission-
related maintenanceincludes any adjustment, cleaning, repair, or
replacement of critical emission-related components. This may also
include additional emission-related maintenance that you determine is
critical if we approve it in advance. You may schedule critical
emission-related maintenance on these components if you meet the
following conditions:
(1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use vehicles. We will accept
scheduled maintenance as reasonably likely to occur if you satisfy any
of the following conditions:
(i) You present data showing that, if a lack of maintenance
increases emissions, it also unacceptably degrades the vehicle's
performance.
(ii) You present survey data showing that at least 80 percent of
vehicles in the field get the maintenance you specify at the
recommended intervals.
(iii) You provide the maintenance free of charge and clearly say so
in maintenanceinstructions for the customer.
(iv) You otherwise show us that the maintenance is reasonably
likely to be done at the recommended intervals.
(2) You may not schedule critical emission-related maintenance
within the minimum useful life period for aftertreatment devices,
pulse-air valves, fuel injectors, oxygen sensors, electronic control
units, superchargers, or turbochargers.
(b) Recommended additional maintenance. You may recommend any
additional amount of maintenance on the components listed in paragraph
(a) of this section, as long as you state clearly that these
maintenance steps are not necessary to keep the emission-related
warranty valid. If operators do the maintenance specified in paragraph
(a) of this section, but not the recommended additional maintenance,
this does not allow you to disqualifythose vehicles from in-use testing
or deny a warranty claim. Do not take these maintenance steps during
service accumulation on your emission-data vehicles.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
vehicle operation. You must clearly state that this additional
maintenance is associated with the special situation you are addressing.
(d) Noncritical emission-related maintenance. You may schedule any
amount of emission-related inspection or maintenance that is not
covered by paragraph (a) of this section, as long as you state in the
owners manual that these steps are not necessary to keep the emission-
related warranty valid. If operators fail to do this maintenance, this
does not allow you to disqualify those vehicles from in-use testing or
deny a warranty claim. Do not take these inspection or maintenance
steps during service accumulation on your emission-data vehicles.
(e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also takethese

[[Page 40490]]

inspection or maintenance steps during service accumulation on your
emission-data vehicles, as long as they are reasonable and
technologically necessary. This mightinclude adding engine oil,
changing air, fuel, or oil filters, servicing engine-cooling systems,
and adjusting idle speed, governor, engine bolt torque, valve lash, or
injector lash, or adjusting chain tension, clutch position, or tire
pressure. You may perform this nonemission-related maintenance on
emission-data vehicles at the least frequent intervalsthat you
recommend to the ultimate purchaser (but not the intervals recommended
for severe service). You may also visually inspect test vehicles or
engines, including emission-related components, as needed to ensure
safe operation.
(f) Source of parts and repairs. State clearly on the first page of
your written maintenanceinstructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission-control
devices and systems. Your instructions may not require components or
service identified by brand, trade, or corporate name. Also, do not
directly or indirectly condition your warranty on a requirement that
the vehicle be serviced by your franchised dealers or any other service
establishments with which you have a commercial relationship. You may
disregard the requirements in this paragraph (f) if you do one of two
things:
(1) Provide a component or service without charge under the
purchase agreement.
(2) Get us to waive this prohibition in the public's interest by
convincing us the vehicle will work properly only with the identified
component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintainingtheir vehicles. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets allthe following criteria:
(1) Each affected component was not in general use on similar
vehicles before the 2006 model year.
(2) The primary function of each affected component is to reduce
emissions.
(3) The cost of the scheduled maintenance is more than 2 percent of
the price of the vehicle.
(4) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the vehicle's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.

? 280. Section 1051.130 is revised to read as follows:

Sec. 1051.130 What installation instructions must I give to vehicle
manufacturers?

(a) If you sell an engine for someone else to install in a piece of
nonroad equipment, givethe engine installer instructions for installing
it consistent with the requirements of this part. Include all
information necessary to ensure that an engine will be installed in its
certified configuration.
(b) Make sure these instructions have the following information:
(1) Include the heading: ``Emission-related installation instructions''.
(2) State: ``Failing to follow these instructions when installing a
certified engine in a piece of nonroad equipment violates federal law
(40 CFR 1068.105(b)), subject to fines or other penalties as described
in the Clean Air Act.''.
(3) Describe the instructions needed to properly install the
exhaust system and any other components. Include instructions
consistent with the requirements of Sec. 1051.205(r).
(4) Describe the steps needed to comply with the evaporative
emission standards in Sec. 1051.110.
(5) Describe any limits on the range of applications needed to
ensure that the engine operates consistently with your application for
certification. For example, if your engines are certified only to the
snowmobile standards, tell vehicle manufacturers notto install the
engines in other vehicles.
(6) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. This mayinclude, for example, instructions
for installing aftertreatment devices when installing the engines.
(7) State: ``If you install the engine in a way that makes the
engine's emission controlinformation label hard to read during normal
engine maintenance, you must place a duplicate label on the vehicle, as
described in 40 CFR 1068.105.''.
(c) You do not need installation instructions for engines you
install in your own vehicles.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation
requirements.

? 281. Section 1051.135 is revised to read as follows:

Sec. 1051.135 How must I label and identify the vehicles I produce?

Each of your vehicles must have three labels: a vehicle
identification number as described in paragraph (a) of this section, an
emission control information label as described in paragraphs (b)
through (e) of this section, and a consumer information label as
describedin Sec. 1051.137.
(a) Assign each vehicle a unique identification number and
permanently affix, engrave, or stamp it on the vehicle in a legible way.
(b) At the time of manufacture, affix a permanent and legible
emission control information label identifying each vehicle. The label
must be
(1) Attached so it is not removable without being destroyed or defaced.
(2) Secured to a part of the vehicle (or engine) needed for normal
operation and not normally requiring replacement.
(3) Durable and readable for the vehicle's entire life.
(4) Written in English.
(c) The label must--
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the provisions of Sec. 1051.645.
(3) Include EPA's standardized designation for engine families, as
described in Sec. 1051.230.
(4) State the engine's displacement (in liters). You may omit this
from the emission control information label if the vehicle is
permanently labeled with a unique model name that corresponds to a
specific displacement. Also, you may omit displacement from the label
if all the engines in the engine family have the same per-cylinder
displacement and total displacement.
(5) State: ``THIS VEHICLE IS CERTIFIED TO OPERATE ON [specify
operating fuel or fuels].''.
(6) State the date of manufacture [MONTH and YEAR]. You may omit
this from the label if you keep a record of the engine-manufacture
dates and provide it to us upon request, or if you stamp the date on
the engine or vehicle.
(7) State the exhaust emission standards or FELs to which the
vehicles are certified.
(8) Identify the emission-control system. Use terms and
abbreviations consistent withSAE J1930 (incorporated by reference in
Sec. 1051.810). You may omit this information from the label if

[[Page 40491]]

there is not enough room for it and you put it in the owners manualinstead.
(9) List specifications and adjustments for engine tuneups; show
the proper position for the transmission during tuneup and state which
accessories should be operating.
(10) Identify the fuel type and any requirements for fuel and
lubricants. You may omit this information from the label if there is
not enough room for it and you put it in the owners manual instead.
(11) State the useful life for your engine family if it is
different than the minimum value.
(12) State: ``S VEHICLE MEETS U.S. EPA REGULATIONS FOR [MODEL YEAR]
[SNOWMOBILES or OFF-ROAD MOTORCYCLES or ATVs or OFFROAD UTILITY
VEHICLES].''.
(d) You may add information to the emission control information
label to identify other emission standards that the vehicle meets or
does not meet (such as California standards). You may also add other
information to ensure that the engine will be properly maintained and used.
(e) You may ask us to approve modified labeling requirements in
this part 1051 if you show that it is necessary or appropriate. We will
approve your request if your alternate label is consistent with the
requirements of this part.
(f) If you obscure the engine label while installing the engine in
the equipment such thatthe label will be hard to read during normal
maintenance, you must place a duplicate label on the equipment. If
others install your engine in their equipment in a way that obscuresthe
engine label, we require them to add a duplicate label on the equipment
(see 40 CFR 1068.105); in that case, give them the number of duplicate
labels they request and keepthe following records for at least five years:
(1) Written documentation of the request from the equipment
manufacturer.
(2) The number of duplicate labels you send and the date you sent them.
(g) Label every vehicle certified under this part with a removable
hang-tag showing its emission characteristics relative to other models,
as described in Sec. 1051.137.

? 282. A new Sec. 1051.137 is added to read as follows:

Sec. 1051.137 What are the consumer labeling requirements?

Label every vehicle certified under this part with a removable
hang-tag showing its emission characteristics relative to other models.
The label should be attached securely to the vehicle before it is
offered for sale in such a manner that it would not be accidentally
removed prior to sale. Use the applicable equations of this section to
determine the normalized emission rate (NER) from the FEL for your
vehicle. If the vehicle is certified without using the averaging
provisions of subpart H, use the final deteriorated emission level.
Round the resulting normalized emission rate for your vehicle to one
decimal place. If the calculated NER value is less than zero, consider
NER to be zero for that vehicle. We may specify a standardized format
for labels. At a minimum, the tag should include: the manufacturer's
name, vehicle model name, engine description (500 cc two-stroke with
DFI), the NER, and a brief explanation of the scale (for example, note
that 0 is the cleanest and 10 is the least clean).
(a) For snowmobiles, use the following equation:

NER = 16.61 x log (2.667 x HC + CO)-38.22

Where:

HC and CO are the cycle-weighted FELs (or emission rates) for
hydrocarbons and carbon monoxide in g/kW-hr.

(b) For off-highway motorcycles, use the following equations:
(1) For off-highway motorcycles certified to the standards in Sec.
1051.105, use one of the equations specified below.
(i) If the vehicle has HC + NO_X emissions less than or
equal to 2.0 g/km, use the following equation:

NER = 2.500 x (HC+NO_X)

Where:

HC+NO_X is the FEL (or the sum of the cycle-weighted emission
rates) for hydrocarbons and oxides of nitrogen in g/km.

(ii) If the vehicle has HC + NO_X emissions greater than
2.0 g/km, use the following equation:

NER = 5.000 x log(HC+NO_X)+ 3.495

Where:

HC+NO_X is the FEL (or the sum of the cycle-weighted emission
rates) for hydrocarbons and oxides of nitrogen in g/km.

(2) For off-highway motorcycles certified to the standards in Sec.
1051.615(b), use the following equation:

NER = 8.782 x log(HC+NO_X) -5.598

Where:

HC+NO_X is the FEL (or the sum of the cycle-weighted emission
rates) for hydrocarbons and oxides of nitrogen in g/kW-hr.

(c) For ATVs, use the following equations:
(1) For ATVs certified to the standards in Sec. 1051.107, use one
of the equations specified below.
(i) If the vehicle has HC + NO_X emissions less than or
equal to 1.5 g/km, use the following equation:

NER = 3.333 x (HC+NO_X)

Where:

HC+NO_X is the FEL (or the sum of the cycle-weighted emission
rates) for hydrocarbons and oxides of nitrogen in g/km.

(ii) If the vehicle has HC + NO_X emissions greater than
1.5 g/km, use the following equation:

NER = 4.444 x log(HC+NO_X)+4.217

Where:

HC+NO_X is the FEL (or the sum of the cycle-weighted emission
rates) for hydrocarbons and oxides of nitrogen in g/km.

(2) For ATVs certified to the standards in Sec. 1051.615(a), use
the following equation:

NER = 8.782 x log(HC + NO_X) -7.277

Where:

HC+NO_X is the FEL (or the sum of the cycle-weighted emission
rates) for hydrocarbons and oxides of nitrogen in g/kW-hr.

? 283. Section 1051.145 is amended by removing and reserving paragraph
(c), revising paragraphs (a)(3)(iv), (a)(4), (b)(1) before the table,
(b)(3), (e), and (g), and adding paragraphs (a)(3)(v), (a)(3)(vi), and
(h) to read as follows:

Sec. 1051.145 What provisions apply only for a limited time?

* * * * *
(a) * * *
(3) * * *
(iv) Show that fewer than 50 percent of the engine family's total
sales in the United States are used in recreational vehicles regulated
under this part. This includes engines used in any application, without
regard to which company manufactures the vehicle or equipment.
(v) If your engines do not meet the criteria listed in paragraph
(a) of this section, they will be subject to the provisions of this
part. Introducing these engines into commerce without a valid exemption
or certificate of conformity violates the prohibitions in 40 CFR 1068.101.
(vi) Engines exempted under this paragraph (a)(3) are subject to
all the requirements affecting engines under 40 CFR part 90. The
requirements and restrictions of 40 CFR part 90 apply to anyone
manufacturing these engines, anyone manufacturing equipment that

[[Page 40492]]

uses these engines, and all other persons in the same manner as other
engines subject to 40 CFR part 90.
(4) All vehicles produced under this paragraph (a) must be labeled
according to our specifications. The label must include the following:
(i) The heading ``EMISSION CONTROL INFORMATION''.
(ii) Your full corporate name and trademark.
(iii) A description of the provisions under which this section
applies to your vehicle .
(iv) Other information that we specify to you in writing.
(b) * * *
(1) Follow Table 1 of this section for exhaust emission standards,
while meeting all the other requirements of Sec. 1051.107. You may use
emission credits to show compliance with these standards (see subpart H
of this part). You may not exchange emission credits with engine
families meeting the standards in Sec. 1051.107(a). You may also not
exchange credits between engine families certified to the standards for
engines above 225 cc and engine families certified to the standards for
engines below 225 cc. The phase-in percentages in the table specify the
percentage of your total U.S.-directed production that must comply with
the emission standards for those model years (i.e., the percentage
requirement does not apply separately for engine families above and
below 225 cc). Table 1 follows:
* * * * *
(3) For ATVs certified to the standards in this paragraph (b), use
the following equations to determine the normalized emission rate
required by Sec. 1051.137:
(i) For engines at or above 225 cc, use the following equation:

NER = 9.898 x log (HC + NO_X) - 4.898

Where:

HC +NO_X is the sum of the cycle-weighted emission rates for
hydrocarbons and oxides of nitrogen in g/kW-hr.

(ii) For engines below 225 cc, use the following equation:

NER = 9.898 x log [(HC+NO_X) 0.83]
- 4.898

Where:

HC +NO_X is the sum of the cycle-weighted emission rates for
hydrocarbons and oxides of nitrogen in g/kW-hr.
* * * * *
(e) Raw sampling procedures. Using good engineering judgment, you
may use the alternate raw-sampling procedures instead of the procedures
described in 40 CFR part 1065 for emission testing certain vehicles, as
follows:
(1) Snowmobile. You may use the raw sampling procedures described
in 40 CFR part 90 or 91 for snowmobiles before the 2010 model year.
(2) ATV. You may use the raw sampling procedures described in 40
CFR part 90 or 91 for ATVs certified to the standards in Sec. 1051.615
before the 2011 model year. You may use these raw sampling procedures
for ATVs certified to the standards in Sec. 1051.107 or Sec.
1051.145(b) before the 2009 model year.
* * * * *
(g) Pull-ahead option for permeation emissions. Manufacturers
choosing to comply with an early tank permeation standard of 3.0 g/
m\2\/day prior to model year 2008 may be allowed to delay compliance
with the 1.5 g/m\2\/day standard by earning credits, as follows:

(1) Calculate earned credits using the following equation:

Credit = (Baseline emissions - Pull-ahead level) x
[lsqbb][Sigma]_i(Production)_i x
(UL)_i[rsqbb]

Where:

Baseline emissions = the baseline emission rate, as determined in
paragraph (g)(2) of this section.
Pull-ahead level = the permeation level to which you certify the tank,
which must be at or below 3.0 g/m\2\/day.
(Production)_i = the annual production volume of vehicles in
the engine family for model year ``i'' times the average internal
surface area of the vehicles' fuel tanks.
(UL)_i = The useful life of the engine family in model year
``i''.

(2) Determine the baseline emission level for calculating credits
using any of the following values:
(i) 7.6 g/m\2\/day.
(ii) The emission rate measured from your lowest-emitting,
uncontrolled fuel tank from the current or previous model year using
the procedures in Sec. 1051.515. For example, this would generally
involve the fuel tank with the greatest wall thickness for a given
material.
(iii) The emission rate measured from an uncontrolled fuel tank
that is the same as or most similar to the model you have used during
the current or previous model year. However, you may use this approach
only if you use it to establish a baseline emission level for each
unique tank model you produce using the procedures in Sec. 1051.515.
(3) Pull-ahead tanks under this option must be certified and must
meet all applicable requirements other than those limited to compliance
with the exhaust standards.
(4) You may use credits generated under this paragraph (g) as
specified in subpart H of this part.
(h) Deficit credits for permeation standards. For 2008 through 2010
model years, you may have a negative balance of emission credits
relative to the permeation emission standards at the end of each model
year, subject to the following provisions:
(1) You must eliminate any credit deficit we allow under this
paragraph (h) by the end of the 2011 model year. If you are unable to
eliminate your credit deficit by the end of the 2011 model year, we may
void the certificates for all families certified to FELs above the
allowable average, for all affected model years.
(2) State in your application for certification a statement whether
you will have a negative balance of permeation emission credits for
that model year. If you project that you will have a negative balance,
estimate the credit deficit for each affected model year and present a
detailed plan to show where and when you will get credits to offset the
deficit by the end of the 2011 model year.
(3) In your end-of-year report under Sec. 1051.730, state whether
your credit deficit is larger or smaller than you projected in your
application for certification. If the deficit is larger than projected,
include in your end-of-year report an update to your detailed plan to
show how you will eliminate the credit deficit by the end of the 2011
model year.

? 284. Section 1051.201 is revised to read as follows:

Sec. 1051.201 What are the general requirements for obtaining a
certificate of conformity?

(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
from the indicated effective date until December 31 of the model year
for which it is issued.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1051.255).
(c) We may ask you to include less information than we specify in
this subpart, as long as you maintain all the information required by
Sec. 1051.250.
(d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and
sign the application.

[[Page 40493]]

(f) See Sec. 1051.255 for provisions describing how we will
process your application.
(g) We may require you to deliver your test vehicles or engines to
a facility we designate for our testing (see Sec. 1051.235(c)).

? 285. Section 1051.205 is revised to read as follows:

Sec. 1051.205 What must I include in my application?

This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1051.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the vehicle's design and emission controls. List the fuel
type on which your engines are designed to operate (for example,
gasoline, liquefied petroleum gas, methanol, or natural gas). List
vehicle configurations and model names that are included in the engine
family.
(b) Explain how the emission-control system operates. Describe the
evaporative emission controls. Also describe in detail all system
components for controlling exhaust emissions, including all auxiliary-
emission control devices (AECDs) and all fuel-system components you
will install on any production or test vehicle or engine. Identify the
part number of each component you describe. For this paragraph (b),
treat as separate AECDs any devices that modulate or activate
differently from each other. Include all the following:
(1) Give a general overview of the engine, the emission-control
strategies, and all AECDs.
(2) Describe each AECD's general purpose and function.
(3) Identify the parameters that each AECD senses (including
measuring, estimating, calculating, or empirically deriving the
values). Include vehicle-based parameters and state whether you
simulate them during testing with the applicable procedures.
(4) Describe the purpose for sensing each parameter.
(5) Identify the location of each sensor the AECD uses.
(6) Identify the threshold values for the sensed parameters that
activate the AECD.
(7) Describe the parameters that the AECD modulates (controls) in
response to any sensed parameters, including the range of modulation
for each parameter, the relationship between the sensed parameters and
the controlled parameters and how the modulation achieves the AECD's
stated purpose. Use graphs and tables, as necessary.
(8) Describe each AECD's specific calibration details. This may be
in the form of data tables, graphical representations, or some other
description.
(9) Describe the hierarchy among the AECDs when multiple AECDs
sense or modulate the same parameter. Describe whether the strategies
interact in a comparative or additive manner and identify which AECD
takes precedence in responding, if applicable.
(10) Explain the extent to which the AECD is included in the
applicable test procedures specified in subpart F of this part.
(11) Do the following additional things for AECDs designed to
protect engines or vehicles:
(i) Identify the engine and/or vehicle design limits that make
protection necessary and describe any damage that would occur without
the AECD.
(ii) Describe how each sensed parameter relates to the protected
components' design limits or those operating conditions that cause the
need for protection.
(iii) Describe the relationship between the design limits/
parameters being protected and the parameters sensed or calculated as
surrogates for those design limits/parameters, if applicable.
(iv) Describe how the modulation by the AECD prevents engines and/
or equipment from exceeding design limits.
(v) Explain why it is necessary to estimate any parameters instead
of measuring them directly and describe how the AECD calculates the
estimated value, if applicable.
(vi) Describe how you calibrate the AECD modulation to activate
only during conditions related to the stated need to protect components
and only as needed to sufficiently protect those components in a way
that minimizes the emissionimpact.
(c) [Reserved]
(d) Describe the vehicles or engines you selected for testing and
the reasons for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used (see Sec.
1051.501).
(f) Describe how you operated the emission-data vehicle before
testing, including the duty cycle and the extent of engine operation
used to stabilize emission levels. Explain why you selected the method
of service accumulation. Describe any scheduled maintenance you did.
(g) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
(h) Identify the engine family's useful life.
(i) Include the maintenance instructions you will give to the
ultimate purchaser of each new vehicle (see Sec. 1051.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a vehicle (see Sec.
1051.130).
(k) Describe the labels you create to meet the requirements of
Sec. 1051.135.
(l) Identify the exhaust emission standards or FELs to which you
are certifying engines in the engine family.
(m) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1051.243 and Sec. 1051.245). Present
any emission test data you used for this.
(n) State that you operated your emission-data vehicles as
described in the application (including the test procedures, test
parameters, and test fuels) to show you meet the requirements of this
part.
(o) Present emission data to show that you meet emission standards,
as follows:
(1) Present emission data for hydrocarbons (such as NMHC or THCE,
as applicable), NO_X, and CO on an emission-data vehicle to
show your vehicles meet the applicable exhaust emission standards we
specify in subpart B of this part. Show emission figures before and
after applying deterioration factors for each pollutant and for each
vehicle or engine. If we specify more than one grade of any fuel type
(for example, a summer grade and winter grade of gasoline), you need to
submit test data only for one grade, unless the regulations of this
part specify otherwise for your engine.
(2) Present evaporative test data for hydrocarbons to show your
vehicles meet the evaporative emission standards we specify in subpart
B of this part. Show emission figures before and after applying
deterioration factors for each vehicle or engine, where applicable. If
you did not perform the testing, identify the source of the test data.
(3) Note that Sec. 1051.235 and Sec. 1051.245 allow you to submit
an application in certain cases without new emission data.
(p) Report all test results, including those from invalid tests or
from any other tests, whether or not they were conducted according to
the test procedures of subpart F of this part. If you measure
CO₂, report those emission levels. We may ask you to send
other information to confirm that your tests

[[Page 40494]]

were valid under the requirements of this part and 40 CFR part 1065.
(q) Describe all adjustable operating parameters (see Sec.
1051.115(e)), including production tolerances. Include the following in
your description of each parameter:
(1) The nominal or recommended setting.
(2) The intended physically adjustable range.
(3) The limits or stops used to establish adjustable ranges.
(4) Information showing why the limits, stops, or other means of
inhibiting adjustment are effective in preventing adjustment of
parameters on in-use engines to settings outside your intended
physically adjustable ranges.
(r) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines are installed in equipment and placed in
service. If this cannot be done by simply adding a 20-centimeter
extension to the exhaust pipe, show how to sample exhaust emissions in
a way that prevents diluting the exhaust sample with ambient air.
(s) Unconditionally certify that all the vehicles and/or engines in
the engine family comply with the requirements of this part, other
referenced parts of the CFR, and the Clean Air Act.
(t) Include estimates of U.S.-directed production volumes.
(u) Include the information required by other subparts of this
part. For example, include the information required by Sec. 1051.725
if you participate in the ABT program.
(v) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(w) Name an agent for service of process located in the United
States. Service on this agent constitutes service on you or any of your
officers or employees for any action by EPA or otherwise by the United
States related to the requirements of this part.

? 286. Section 1051.210 is revised to read as follows:

Sec. 1051.210 May I get preliminary approval before I complete my
application?

If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission-
control devices, deterioration factors, testing for service
accumulation, and maintenance. Decisions made under this section are
considered to be preliminary approval, subject to final review and
approval. We will generally not reverse a decision where we have given
you preliminary approval, unless we find newinformation supporting a
different decision. If you request preliminary approval related to the
upcoming model year or the model year after that, we will make best-
efforts to make the appropriate determinations as soon as practicable.
We will generally not provide preliminary approval related to a future
model year more than two years ahead of time.

Sec. 1051.215 [Removed]

? 287. Section 1051.215 is removed.

? 288. Section 1051.220 is revised to read as follows:

Sec. 1051.220 How do I amend the maintenance instructions in my
application?

You may amend your emission-related maintenance instructions after
you submit your application for certification, as long as the amended
instructions remain consistent with the provisions of Sec. 1051.125.
You must send the Designated Compliance Officer a request to amend your
application for certification for an engine family if you want to
change the emission-related maintenance instructions in a way that
could affect emissions. In your request, describe the proposed changes
to the maintenance instructions. We will disapprove your request if we
determine that the amended instructions are inconsistent with
maintenance you performed on emission-data vehicles.
(a) If you are decreasing the specified maintenance, you may
distribute the new maintenance instructions to your customers 30 days
after we receive your request, unless we disapprove your request. We
may approve a shorter time or waive this requirement.
(b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions
anytime after you send your request. For example, this paragraph (b)
would cover adding instructions to increase the frequency of a
maintenance step for engines in severe-duty applications.
(c) You need not request approval if you are making only minor
corrections (such as correcting typographical mistakes), clarifying
your maintenance instructions, or changing instructions for maintenance
unrelated to emission control.

? 289. Section 1051.225 is revised to read as follows:

Sec. 1051.225 How do I amend my application for certification to
include new or modified vehicles or to change an FEL?

Before we issue you a certificate of conformity, you may amend your
application to include new or modified vehicle configurations, subject
to the provisions of this section. After we have issued your
certificate of conformity, you may send us an amended application
requesting that we include new or modified vehicle configurations
within the scope of the certificate, subject to the provisions of this
section. You must amend your application if any changes occur with
respect to any information included in your application.
(a) You must amend your application before you take any of the
following actions:
(1) Add a vehicle (that is, an additional vehicle configuration) to
an engine family. In this case, the vehicle added must be consistent
with other vehicles in the engine family with respect to the criteria
listed in Sec. 1051.230.
(2) Change a vehicle already included in an engine family in a way
that may affect emissions, or change any of the components you
described in your application for certification. This includes
production and design changes that may affect emissions any time during
the engine's lifetime.
(3) Modify an FEL for an engine family, as described in paragraph
(f) of this section.
(b) To amend your application for certification, send the
Designated Compliance Officer the following information:
(1) Describe in detail the addition or change in the vehicle model
or configuration you intend to make.
(2) Include engineering evaluations or data showing that the
amended engine family complies with all applicable requirements. You
may do this by showing that the original emission-data vehicle is still
appropriate with respect to showing compliance of the amended family
with all applicable requirements.
(3) If the original emission-data vehicle for the engine family is
not appropriate to show compliance for the new or modified vehicle,
include new test data showing that the new or modified vehicle meets
the requirements of this part.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your

[[Page 40495]]

new or modified vehicle. You may ask for a hearing if we deny your
request (see Sec. 1051.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified vehicle anytime
after you send us your amended application, before we make a decision
under paragraph (d) of this section. However, if we determine that the
affected vehicles do not meet applicable requirements, we will notify
you to cease production of the vehicles and may require you to recall
the vehicles at no expense to the owner. Choosing to produce vehicles
under this paragraph (e) is deemed to be consent to recall all vehicles
that we determine do not meet applicable emission standards or other
requirements and to remedy the nonconformity at no expense to the
owner. If you do not provide information required under paragraph (c)
of this section within 30 days, you must stop producing the new or
modified vehicles.
(f) You may ask to change your FEL in the following cases:
(1) You may ask to raise your FEL for your engine family after the
start of production. You must use the higher FEL for the entire family
to calculate your average emission level under subpart H of this part.
In your request, you must demonstrate that you will still be able to
comply with the applicable average emission standards as specified in
subparts B and H of this part.
(2) You may ask to lower the FEL for your engine family after the
start of production only when you have test data from production
vehicles indicating that your vehicles comply with the lower FEL. You
may create a separate subfamily with the lower FEL. Otherwise, you must
use the higher FEL for the family to calculate your average emission
level under subpart H of this part.
(3) If you change the FEL during production, you must include the
new FEL on the emission control information label for all vehicles
produced after the change.

? 290. Section 1051.230 is revised to read as follows:

Sec. 1051.230 How do I select engine families?

(a) Divide your product line into families of vehicles that are
expected to have similar emission characteristics throughout the useful
life. Except as specified in paragraph (f) of this section, you must
have separate engine families for meeting exhaust and evaporative
emissions. Your engine family is limited to a single model year.
(b) For exhaust emissions, group vehicles in the same engine family
if they are the samein all the following aspects:
(1) The combustion cycle.
(2) The cooling system (liquid-cooled vs. air-cooled).
(3) Configuration of the fuel system (for example, port fuel
injection vs. carburetion).
(4) Method of air aspiration.
(5) The number, location, volume, and composition of catalytic
converters.
(6) Type of fuel.
(7) The number, arrangement, and approximate bore diameter of
cylinders.
(8) Numerical level of the emission standards that apply to the
vehicle.
(c) For evaporative emissions, group vehicles in the same engine
family if fuel tanks are similar and fuel lines are similar considering
all the following aspects:
(1) Type of material (including additives such as pigments,
plasticizers, and UV inhibitors).
(2) Emission-control strategy.
(3) Production methods. This does not apply to differences in
production methods that would not affect emission characteristics.
(d) You may subdivide a group of vehicles that is identical under
paragraph (b) or (c) of this section into different engine families if
you show the expected emission characteristics are different during the
useful life.
(e) You may group vehicles that are not identical with respect to
the things listed in paragraph (b) or (c) of this section in the same
engine family, as follows:
(1) You may group such vehicles in the same engine family if you
show that their emission characteristics during the useful life will be
similar.
(2) If you are a small-volume manufacturer, you may group engines
from any vehicles subject to the same emission standards into a single
engine family. This does not change any of the requirements of this
part for showing that an engine family meets emission standards.
(f) You may divide your product line into engine families based on
a combined consideration of exhaust and evaporative emission-control
systems, consistent with the requirements of this section. This would
allow you to use a single engine-family designation for each engine
family instead of having separate engine-family designations for
exhaust and evaporative emission-control systems for each model.
(g) Select test engines from the engine family as described in 40
CFR 1065.401. Select test components related to evaporative emission-
control systems that are most likely to exceed the applicable emission
standards. For example, select a fuel tank with the smallest average
wall thickness (or barrier thickness, as appropriate) of those tanks
you include in the same family.

? 291. Section 1051.235 is revised to read as follows:

Sec. 1051.235 What emission testing must I perform for my application
for a certificate of conformity?

This section describes the emission testing you must perform to
show compliance with the emission standards in subpart B of this part.
(a) Test your emission-data vehicles using the procedures and
equipment specified in subpart F of this part. Where specifically
required or allowed, test the engine instead of the vehicle. For
evaporative emissions, test the fuel system components separate from
the vehicle.
(b) Select from each engine family an emission-data vehicle, and a
fuel system for each fuel type with a configuration that is most likely
to exceed the emission standards, using good engineering judgment.
Consider the emission levels of all exhaust constituents over the full
useful life of the vehicle.
(c) We may measure emissions from any of your test vehicles or
engines (or any other vehicles or engines from the engine family), as
follows:
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the test vehicle or engine to
a test facility we designate. The test vehicle or engine you provide
must include appropriate manifolds, aftertreatment devices, electronic
control units, and other emission-related components not normally
attached directly to the engine block. If we do the testing at your
plant, you must schedule it as soon as possible and make available the
instruments, personnel, and equipment we need.
(2) If we measure emissions on one of your test vehicles or
engines, the results of thattesting become the official emission
results. Unless we later invalidate these data, we may decide not to
consider your data in determining if your engine family meets
applicable requirements.
(3) Before we test one of your vehicles or engines, we may set its
adjustable parameters to any point within the physically adjustable
ranges (see Sec. 1051.115(c)).
(4) Before we test one of your vehicles or engines, we may
calibrate it within normal production tolerances for

[[Page 40496]]

anything we do not consider an adjustable parameter.
(d) You may use previously generated emission data in the following
cases:
(1) You may ask to use emission data from a previous model year
instead of doing new tests, but only if all the following are true:
(i) The engine family from the previous model year differs from the
current engine family only with respect to model year.
(ii) The emission-data vehicle from the previous model year remains
the appropriate emission-data vehicle under paragraph (b) of this
section.
(iii) The data show that the emission-data vehicle would meet all
the requirementsthat apply to the engine family covered by the
application for certification.
(2) You may submit emission data for equivalent engine families
performed to show compliance with other standards (such as California
standards) instead of doing newtests, but only if the data show that
the test vehicle or engine would meet all of this part's requirements.
(3) You may submit evaporative emission data measured by a fuel
system supplier.We may require you to verify that the testing was
conducted in accordance with the applicable regulations.
(e) We may require you to test a second vehicle or engine of the
same or different configuration in addition to the vehicle or engine
tested under paragraph (b) of this section.
(f) If you use an alternate test procedure under 40 CFR 1065.10 and
later testing showsthat such testing does not produce results that are
equivalent to the procedures specifiedin subpart F of this part, we may
reject data you generated using the alternate procedure.
(g) If you are a small-volume manufacturer, you may certify by
design on the basis of preexisting exhaust emission data for similar
technologies and other relevant information, and in accordance with
good engineering judgment. In those cases, you are not requiredto test
your vehicles. This is called ``design-certification'' or ``certifying
by design.'' To certify by design, you must show that the technology
used on your engines is sufficiently similar to the previously tested
technology that a person reasonably familiar with emission-control
technology would believe that your engines will comply with the
emission standards.
(h) For fuel tanks that are certified based on permeability
treatments for plastic fueltanks, you do not need to test each engine
family. However, you must use good engineering judgment to determine
permeation rates for the tanks. This requires that more than one fuel
tank be tested for each set of treatment conditions. You may not
usetest data from a given tank for any other tanks that have thinner
walls. You may, however, use test data from a given tank for other
tanks that have thicker walls. This applies to both low-hour (i.e.,
baseline testing) and durability testing. Note that Sec. 1051.245
allows you to use design-based certification instead of generating new
emission data.

? 292. Section 1051.240 is revised to read as follows:

Sec. 1051.240 How do I demonstrate that my engine family complies
with exhaust emission standards?

(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical exhaust emission standards
in subpart B of this part if all emission-data vehicles representing
that family have test results showing deteriorated emission levels at
or below these standards. (Note: if you participate in the ABT program
in subpart H of this part, your FELs are considered to be the
applicable emission standards with which you must comply.)
(b) Your engine family is deemed not to comply if any emission-data
vehicle representing that family has test results showing a
deteriorated emission level above an applicable FEL or emission
standard from subpart B of this part for any pollutant.
(c) To compare emission levels from the emission-data vehicle with
the applicable emission standards, apply deterioration factors to the
measured emission levels. Section 1051.243 specifies how to test your
vehicle to develop deterioration factors that representthe
deterioration expected in emissions over your vehicle's full useful
life. Your deterioration factors must take into account any available
data from in-use testing with similar engines. Small-volume
manufacturers may use assigned deterioration factors that we establish.
Apply deterioration factors as follows:
(1) For vehicles that use aftertreatment technology, such as
catalytic converters, use a multiplicative deterioration factor for
exhaust emissions. A multiplicative deterioration factor for a
pollutant is the ratio of exhaust emissions at the end of the useful
life and exhaust emissions at the low-hour test point. In these cases,
adjust the official emission results for each tested vehicle or engine
at the selected test point by multiplying the measured emissions by the
deterioration factor. If the factor is lessthan one, use one.
Multiplicative deterioration factors must be specified to three
significant figures.
(2) For vehicles that do not use aftertreatment technology, use an
additive deterioration factor for exhaust emissions. An additive
deterioration factor for a pollutant is the difference between exhaust
emissions at the end of the useful life and exhaust emissions at the
low-hour test point. In these cases, adjust the official emission
results for each tested vehicle or engine at the selected test point by
addingthe factor to the measured emissions. If the factor is less than
zero, use zero.Additive deterioration factors must be specified to one
more decimal place than the applicable standard.
(d) Collect emission data using measurements to one more decimal
place than the applicable standard. Apply the deterioration factor to
the official emission result, as described in paragraph (c) of this
section, then round the adjusted figure to the same number of decimal
places as the emission standard. Compare the rounded emission levels to
the emission standard for each emission-data vehicle. In the case of
HC+NO_X standards, add the emission results and apply the
deterioration factor to the sum of the pollutants before rounding.
However, if your deterioration factors are based on emission
measurements that do not cover the vehicle's full useful life, apply
the deterioration factor to each pollutant and then add the results
before rounding.

? 293. A new Sec. 1051.243 is added to read as follows:

Sec. 1051.243 How do I determine deterioration factors from exhaust
durability testing?

Establish deterioration factors to determine whether your engines
will meet emission standards for each pollutant throughout the useful
life, as described in subpart B of this part and Sec. 1051.240. This
section describes how to determine deterioration factors, either with
pre-existing test data or with new emission measurements.
(a) You may ask us to approve deterioration factors for an engine
family based on emission measurements from similar vehicles or engines
if you have already given usthese data for certifying other vehicles in
the same or earlier model years. Use good engineering judgment to
decide whether the two vehicles or engines are similar. We will approve
your request if you show us that the emission measurements from other
vehicles or engines reasonably represent in-use deterioration for the
engine family for

[[Page 40497]]

which you have not yet determined deterioration factors.
(b) If you are unable to determine deterioration factors for an
engine family under paragraph (a) of this section, select vehicles,
engines, subsystems, or components for testing. Determine deterioration
factors based on service accumulation and related testingto represent
the deterioration expected from in-use vehicles over the full useful
life, as follows:
(1) You must measure emissions from the emission-data vehicle at a
low-hour test point and the end of the useful life. You may also test
at evenly spaced intermediate points.
(2) Operate the vehicle or engine over a representative duty cycle
for a period at least as long as the useful life (in hours or
kilometers). You may operate the vehicle or engine continuously.
(3) You may perform maintenance on emission-data vehicles as
described in Sec. 1051.125 and 40 CFR part 1065, subpart E.
(4) If you measure emissions at only two points to calculate your
deterioration factor, base your calculations on a linear relationship
connecting these two data points for each pollutant. If you measure
emissions at three or more points, use a linear least-squares fit of
your test data for each pollutant to calculate your deterioration factor.
(5) Use good engineering judgment for all aspects of the effort to
establish deterioration factors under this paragraph (b).
(6) You may to use other testing methods to determine deterioration
factors, consistent with good engineering judgment.
(c) Include the following information in your application for
certification:
(1) If you use test data from a different engine family, explain
why this is appropriate and include all the emission measurements on
which you base the deterioration factor.
(2) If you do testing to determine deterioration factors, describe
the form and extent of service accumulation, including a rationale for
selecting the service-accumulation period and the method you use to
accumulate hours.

? 294. Section 1051.245 is amended by revising paragraphs (a)
introductory text, (b), (c), and (d) to read as follows:

Sec. 1051.245 How do I demonstrate that my engine family complies
with evaporative emission standards?

(a) For purposes of certification, your engine family is considered
in compliance with the evaporative emission standards in subpart B of
this part if you do either of the following:
* * * * *
(b) Your engine family is deemed not to comply if any fuel tank or
fuel line representingthat family has test results showing a
deteriorated emission level above the standard.
(c) To compare emission levels with the emission standards, apply
deterioration factorsto the measured emission levels. For permeation
emissions, use the following proceduresto establish an additive
deterioration factor, as described in Sec. 1051.240(c)(2):
(1) Section 1051.515 specifies how to test your fuel tanks to
develop deterioration factors. Small-volume manufacturers may use
assigned deterioration factors that we establish. Apply the
deterioration factors as follows:
(i) Calculate the deterioration factor from emission tests
performed before and after the durability tests as described in Sec.
1051.515(c) and (d), using good engineering judgment. The durability
tests described in Sec. 1051.515(d) representthe minimum requirements
for determining a deterioration factor. You may not use a deterioration
factor that is less than the difference between evaporative emissions
before and after the durability tests as described in Sec. 1051.515(c)
and(d).
(ii) Do not apply the deterioration factor to test results for
tanks that have already undergone these durability tests.
(2) Determine the deterioration factor for fuel lines using good
engineering judgment.
(d) Collect emission data using measurements to one more decimal
place than the applicable standard. Apply the deterioration factor to
the official emission result, as described in paragraph (c) of this
section, then round the adjusted figure to the same number of decimal
places as the emission standard. Compare the rounded emission levels to
the emission standard for each emission-data vehicle.
* * * * *

? 295. Section 1051.250 is revised to read as follows:

Sec. 1051.250 What records must I keep and make available to EPA?

(a) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send us.
(2) Any of the information we specify in Sec. 1051.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data vehicle. For each
vehicle, describe all of the following:
(i) The emission-data vehicle's construction, including its origin
and buildup, steps you took to ensure that it represents production
vehicles, any components you built specially for it, and all the
components you include in your application for certification.
(ii) How you accumulated vehicle or engine operating hours,
including the dates and the number of hours accumulated.
(iii) All maintenance, including modifications, parts changes, and
other service, and the dates and reasons for the maintenance.
(iv) All your emission tests, including documentation on routine
and standardtests, as specified in 40 CFR part 1065, and the date and
purpose of each test.
(v) All tests to diagnose engine or emission-control performance,
giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each engine family divided by assembly
plant.
(5) Keep a list of engine identification numbers for all the
engines you produce under each certificate of conformity.
(b) Keep data from routine emission tests (such as test cell
temperatures and relative humidity readings) for one year after we
issue the associated certificate of conformity.Keep all other
information specified in paragraph (a) of this section for eight years
after we issue your certificate.
(c) Store these records in any format and on any media, as long as
you can promptly send us organized, written records in English if we
ask for them. You must keep these records readily available. We may
review them at any time.
(d) Send us copies of any maintenance instructions or explanations
if we ask for them.

? 296. Section 1051.255 is revised to read as follows:

Sec. 1051.255 What decisions may EPA make regarding my certificate of
conformity?

[[Page 40498]]

decision may be based on a review of all information available to us.
If we deny your application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements.
(2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent).
(3) Render inaccurate any test data.
(4) Deny us from completing authorized activities despite our
presenting a warrant or court order (see 40 CFR 1068.20). This includes
a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
(6) Fail to supply requested information or amend your application
to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the
Act or this part.
(d) We may void your certificate if you do not keep the records we
require or do not give us information as required under this part or
the Act.
(e) We may void your certificate if we find that you intentionally
submitted false orincomplete information.
(f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec. 1051.820).

? 297. The heading for subpart D is revised to read as follows:

Subpart D--Testing Production-Line Vehicles and Engines

? 298. Section 1051.301 is amended by revising paragraph (a) and adding
paragraph (h) to read as follows:

Sec. 1051.301 When must I test my production-line vehicles or engines

(a) If you produce vehicles that are subject to the requirements of
this part, you must test them as described in this subpart. If your
vehicle is certified to g/kW-hr standards, then test the engine;
otherwise, test the vehicle. The provisions of this subpart do not
apply to small-volume manufacturers.
* * * * *
(h) Vehicles certified to the following standards are exempt from
the production-line testing requirements of this subpart if no engine
families in the averaging set participate in the averaging, banking,
and trading program described in subpart H of this part:
(1) Phase I or Phase 2 standards in Sec. 1051.103
(2) Phase I standards in Sec. 1051.105
(3) Phase I standards in Sec. 1051.107.
(4) The standards in Sec. 1051.615.
(5) The standards in Sec. 1051.145.

? 299. Section 1051.305 is amended by revising paragraphs (d)(1), (e),
(f), and (g) to read as follows:

Sec. 1051.305 How must I prepare and test my production-line vehicles
or engines

* * * * *
(d) * * *
(1) We may adjust or require you to adjust idle speed outside the
physically adjustable range as needed only until the vehicle or engine
has stabilized emission levels (see paragraph (e) of this section). We
may ask you for information needed to establish an alternate minimum
idle speed.
* * * * *
(e) Stabilizing emission levels. Before you test production-line
vehicles or engines, you may operate the vehicle or engine to stabilize
the emission levels. Using good engineering judgment, operate your
vehicles or engines in a way that represents the way they will be used.
You may operate each vehicle or engine for no more than the greater of
two periods:
(1) 50 hours or 500 kilometers.
(2) The number of hours or kilometers you operated the emission-
data vehicle used for certifying the engine family (see 40 CFR part
1065, subpart E, or the applicable regulations governing how you should
prepare your test vehicle or engine).
(f) Damage during shipment. If shipping a vehicle or engine to a
remote facility for production-line testing makes necessary an
adjustment or repair, you must wait until after the initial emission
test to do this work. We may waive this requirement if the test would
be impossible or unsafe, or if it would permanently damage the vehicle
or engine. Report to us, in your written report under Sec. 1051.345,
all adjustments or repairs you make on test vehicles or engines before
each test.
(g) Retesting after invalid tests. You may retest a vehicle or
engine if you determine an emission test is invalid under subpart F of
this part. Explain in your written report reasons for invalidating any
test and the emission results from all tests. If you retest a vehicle
or engine, you may ask us within ten days of testing. We will generally
answer within ten days after we receive your information.

? 300. Section 1051.310 is amended by revising paragraphs (c)
introductory test, (c)(2), (f), (g), and (i) to read as follows:

Sec. 1051.310 How must I select vehicles or engines for production-
line testing

* * * * *
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC, NO_X (or
HC+NO_X), and CO (and other regulated pollutants). The
required sample size is the greater of these calculated values. Use the
following equation:
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.009

Where:

N = Required sample size for the model year.
t₉₅ = 95% confidence coefficient, which depends on the
number of tests completed, n, as specified in the table in paragraph
(c)(1) of this section. It defines 95% confidence intervals for a one-
tail distribution.
x = Mean of emission test results of the sample.
STD = Emission standard (or family emission limit, if applicable).
[sigma]
= Test sample standard deviation (see paragraph (c)(2) of this
section).
n = The number of tests completed in an engine family.
* * * * *
(2) Calculate the standard deviation, [ohkd], or the test sample
using the following formula:
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.010

Where:

X_i = Emission test result for an individual vehicle or
engine.
* * * * *
(f) Distribute the remaining vehicle or engine tests evenly
throughout the rest of the year. You may need to adjust your schedule
for selecting vehicles or engines if the required sample size changes.
Continue to randomly select vehicles or engines from each engine
family.
(g) Continue testing any engine family for which the sample mean,
x, is greater than the emission standard. This applies if the sample
mean for either HC, NO_X (or HC+NO_X) or CO (or
other regulated pollutants) is greater than the emission standard.
Continue testing until one of the following things happens:
(1) The number of tests completed in an engine family, n, is
greater than the required sample size, N, and the sample mean, x, is
less than or equal to the emission standard. For example, If N = 3.1
after the third test, the sample-size calculation does not allow you to
stop testing.
(2) The engine family does not comply according to Sec. 1051.315.
(3) You test 30 vehicles or engines from the engine family.

[[Page 40499]]

(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number.
(5) You choose to declare that the engine family fails the
requirements of this subpart.
* * * * *
(i) You may elect to test more randomly chosen vehicles or engines
than we require under this section. Include these vehicles or engines
in the sample-size calculations.

? 301. Section 1051.315 is amended by revising the introductory text to
read as follows:

Sec. 1051.315 How do I know when my engine family fails the
production-line testing requirements

This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine family
basis. SeeSec. 1051.320 for the requirements that apply to individual
vehicles or engines that fail a production-line test.
* * * * *

? 302. Section 1051.325 is amended by revising paragraph (d) to read as
follows:

Sec. 1051.325 What happens if an engine family fails the production-
line requirements?

* * * * *
(d) Section 1051.335 specifies steps you must take to remedy the
cause of the engine family's production-line failure. All the vehicles
you have produced since the end of the last test period are presumed
noncompliant and should be addressed in your proposed remedy. We may
require you to apply the remedy to engines produced earlier if we
determine that the cause of the failure is likely to have affected the
earlier engines.
* * * * *

? 303. Section 1051.345 is amended by revising paragraphs (a)
introductory text, (a)(5),(a)(10), and (d) to read as follows:

Sec. 1051.345 What production-line testing records must I send to
EPA?

* * * * *
(a) Within 30 calendar days of the end of each test period, send us
a report with the following information:
* * * * *
(5) Identify how you accumulated hours of operation on the vehicles
or engines and describe the procedure and schedule you used.
* * * * *
(10) State the date the test period ended for each engine family.
* * * * *
(d) Send electronic reports of production-line testing to the
Designated ComplianceOfficer using an approved information format. If
you want to use a different format, send us a written request with
justification for a waiver.
* * * * *

? 304. Section 1051.350 is amended by revising paragraph (a) to read as
follows:

Sec. 1051.350 What records must I keep?

(a) Organize and maintain your records as described in this
section. We may review your records at any time.
* * * * *

? 305. Section 1051.501 is amended by revising the introductory text and
paragraphs (a), (b), (c)(2), and (d) and adding paragraph (e)(3) to
read as follows:

Sec. 1051.501 What procedures must I use to test my vehicles or engines?

This section describes test procedures that you use to determine
whether vehicles meet the emission standards of this part. See Sec.
1051.235 to determine when testing is required for certification. See
subpart D of this part for the production-line testing requirements.
(a) Snowmobiles. For snowmobiles, use the equipment and procedures
for spark-ignition engines in 40 CFR part 1065 to determine whether
your snowmobiles meet the duty-cycle emission standards in Sec.
1051.103. Measure the emissions of all the pollutants we regulate in
Sec. 1051.103. Use the duty cycle specified in Sec. 1051.505.
(b) Motorcycles and ATVs. For motorcycles and ATVs, use the
equipment, procedures, and duty cycle in 40 CFR part 86, subpart F, to
determine whether your vehicles meet the exhaust emission standards in
Sec. 1051.105 or Sec. 1051.107. Measure the emissions of all the
pollutants we regulate in Sec. 1051.105 or Sec. 1051.107. If we allow
you to certify ATVs based on engine testing, use the equipment,
procedures, and duty cycle described or referencedin the section that
allows engine testing. For motorcycles with engine displacement at or
below 169 cc and all ATVs, use the driving schedule in paragraph (c) of
Appendix I to 40CFR part 86. For all other motorcycles, use the driving
schedule in paragraph (b) of Appendix I to part 86. With respect to
vehicle-speed governors, test motorcycles andATVs in their ungoverned
configuration, unless we approve in advance testing in a governed
configuration. We will only approve testing in a governed configuration
if you can show that the governor is permanently installed on all
production vehicles and is unlikely to be removed in use. With respect
to engine-speed governors, test motorcycles and ATVs in their governed
configuration. Run the test engine, with all emission-control systems
operating, long enough to stabilize emission levels; you may consider
emission levels stable without measurement if you accumulate 12 hours
of operation.
(c) * * *
(2) Prior to permeation testing of fuel hose, the hose must be
preconditioned by filling the hose with the fuel specified in paragraph
(d)(3) of this section, sealing the openings, and soaking the hose for
4 weeks at 23±5 [deg]C. To measure fuel-line permeation
emissions, use the equipment and procedures specified in SAE J30
(incorporated by reference in Sec. 1051.810). The measurements must be
performed at 23±2 [deg]C using the fuel specified in
paragraph (d)(3) of this section.
(d) Fuels. Use the fuels meeting the following specifications:
(1) Exhaust. Use the fuels and lubricants specified in 40 CFR part
1065, subpart H, for all the exhaust testing we require in this part.
For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use engines
will use.
(2) Fuel Tank Permeation. (i) For the preconditioning soak
described in Sec. 1051.515(a)(1) and fuel slosh durability test
described in Sec. 1051.515(d)(3), usethe fuel specified in Table 1 of
40 CFR 1065.710 blended with 10 percent ethanol by volume. As an
alternative, you may use Fuel CE10, which is Fuel C as specified in
ASTM D 471-98 (incorporated by reference in Sec. 1051.810) blended
with 10 percent ethanol by volume.
(ii) For the permeation measurement test in Sec. 1051.515(b), use
the fuel specified in Table 1 of 40 CFR 1065.710. As an alternative,
you may use the fuel specified in paragraph (d)(2)(i) of this section.
(3) Fuel Hose Permeation. Use the fuel specified in Table 1 of 40
CFR 1065.710 blended with 10 percent ethanol by volume for permeation
testing of fuel lines. As an alternative, you may use Fuel CE10, which
is Fuel C as specified in ASTM D 471-98(incorporated by reference in
Sec. 1051.810) blended with 10 percent ethanol by volume.
(e) * * *
(3) You may test engines using a test speed based on the point of
maximum power if that represents in-use operation

[[Page 40500]]

better than testing based on maximum test speed.
* * * * *

? 306. Section 1051.505 is amended by revising paragraphs (a), (b)(3),
(d), (e), (f)introductory text, (f)(5), and (f)(6) to read as follows:

Sec. 1051.505 What special provisions apply for testing snowmobiles?

Use the following special provisions for testing snowmobiles:
(a) You may perform steady-state testing with either discrete-mode
or ramped-modal cycles. You must use the type of testing you select in
your application for certification for all testing you perform for that
engine family. If we test your engines to confirm thatthey meet
emission standards, we will do testing the same way. We may also
perform other testing as allowed by the Clean Air Act. Measure steady-
state emissions as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle
using the weighting factors specified for each mode. In each mode,
operate the engine for at least 5 minutes, then sample emissions for at
least 1 minute. Calculate cycle statistics for the sequence of modes
and compare with the specified values in 40 CFR 1065.514 to confirm
that the test is valid.
(2) For ramped-modal testing, start sampling at the beginning of
the first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient
testing.
(3) Measure emissions by testing the engine on a dynamometer with
one or more of the following sets of duty cycles to determine whether
it meets the steady-state emission standards in Sec. 1051.103:
(i) The following duty cycle applies for discrete-mode testing:

Table 1 of Sec. 1051.505.--5-Mode Duty Cycle for Snowmobiles
----------------------------------------------------------------------------------------------------------------
Minimum time
Mode No. Speed Torque in mode Weighting
(percent) \1\ (percent) \2\ (minutes) factors
----------------------------------------------------------------------------------------------------------------
1.............................................. 100 100 3.0 0.12
2.............................................. 85 51 3.0 0.27
3.............................................. 75 33 3.0 0.25
4.............................................. 65 19 3.0 0.31
5.............................................. (\3\) 0 3.0 0.05
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Percent torque is percent of maximum test torque at maximum test speed.
\3\ Idle.

(ii) The following duty cycle applies for ramped-modal testing:

Table 2 of Sec. 1051.505.--Ramped-Modal Cycle for Testing Snowmobiles
----------------------------------------------------------------------------------------------------------------
RMC mode Time in mode Speed (percent) \1\ Torque (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state..................... 27 Warm Idle.............. 0
1b Transition....................... 20 Linear Transition...... Linear Transition.
2a Steady-state..................... 121 100.................... 100
2b Transition....................... 20 Linear Transition...... Linear Transition.
3a Steady-state..................... 347 65..................... 19
3b Transition....................... 20 Linear Transition...... Linear Transition.
4a Steady-state..................... 305 85..................... 51
4b Transition....................... 20 Linear Transition...... Linear Transition.
5a Steady-state..................... 272 5...................... 33
5b Transition....................... 20 Linear Transition...... Linear Transition.
6 Steady-state...................... 28 Warm Idle.............. 0
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum test torque at maximum test speed.

(b) * * *
(3) Keep engine torque under 5 percent of maximum test torque.
* * * * *
(d) Ambient temperatures during testing must be between 20 [deg]C
and 30 [deg]C (68 [deg]F and 86 [deg]F), or other representative test
temperatures, as specified in paragraph (f) of this section.
(e) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.
(f) You may test snowmobiles at ambient temperatures below 20
[deg]C or using intake air temperatures below 20 [deg]C if you show
that such testing complies with 40 CFR 1065.10(c)(1). You must get our
approval before you begin the emission testing. For example, the
following approach would be appropriate to show that such testing
complies with 40 CFR 1065.10(c)(1):
* * * * *
(5) Calculate the nominal intake air test temperature for each test
mode as -10[deg]
C (14 [deg]F) plus the temperature difference for the
corresponding mode determined in paragraph (f)(4) of this section.
(6) Before the emissions test, select the appropriate carburetor
jetting for -10[deg]
C (14 [deg]F) conditions according to the jet
chart. For each mode, maintain the inlet air temperature within 5[deg]
C (9[deg]
F) of the corresponding modal

[[Page 40501]]

temperature calculated in paragraph (f)(5) of this section.
* * * * *

? 307. Section 1051.515 is amended by revising paragraphs (a)(5), (b),
and (d)(2) to read as follows:

Sec. 1051.515 How do I test my fuel tank for permeation emissions?

* * * * *
(a) * * *
(5) Seal the fuel tank using fuel caps and other fittings
(excluding petcocks) that can be used to seal openings in a production
fuel tank. In cases where openings are not normally sealed on the fuel
tank (such as hose-connection fittings and vents in fuel caps), these
openings may be sealed using nonpermeable fittings such as metal or
fluoropolymer plugs.
(b) Permeation test run. To run the test, take the following steps
for a tank that was preconditioned as specified in paragraph (a) of
this section:
(1) Weigh the sealed fuel tank and record the weight to the nearest
0.1 grams. You may use less precise weights as long as the difference
in mass from the start of the testto the end of the test has at least
three significant figures. Take this measurement within 8 hours of
filling the tank with test fuel as specified in paragraph (a)(3) of
this section.
(2) Carefully place the tank within a ventilated, temperature-
controlled room or enclosure. Do not spill or add any fuel.
(3) Close the room or enclosure and record the time.
(4) Ensure that the measured temperature in the room or enclosure
is 28±2 [deg]C.
(5) Leave the tank in the room or enclosure for 14 days.
(6) Hold the temperature of the room or enclosure to 28< plus-
minus>2 [deg]C; measure and record the temperature at least daily.
(7) At the end of the soak period, weigh the sealed fuel tank and
record the weight to the nearest 0.1 grams. You may use less precise
weights as long as the difference in mass from the start of the test to
the end of the test has at least three significant figures. Unless the
same fuel is used in the preconditioning fuel soak and the permeation
test run, record weight measurements on five separate days per week of
testing. The test is void if a linear plot of tank weight vs. test days
for the full soak period for permeation testing specified in paragraph
(b)(5) of this section yields r\2\ below 0.8. See 40 CFR 1065.602 for
the equation to calculate r\2\.
(8) Subtract the weight of the tank at the end of the test from the
weight of the tank at the beginning of the test; divide the difference
by the internal surface area of the fuel tank. Divide this g/m\2\ value
by the number of test days (using at least three significant figures)
to calculate the g/m\2\/day emission rate. Example: If a tank with an
internal surface area of 0.72 m\2\ weighed 31882.3 grams at the
beginning of the test and weighed 31813.8 grams after soaking for 14.03
days, then the g/m\2\/day emission rate would be--

(31882.3 g-31813.8 g)/0.72 m\2\/14.03 days = 6.78 g/m\2\/day.
(9) Round your result to the same number of decimal places as the
emission standard.
(10) In cases where consideration of permeation rates, using good
engineering judgment, leads you to conclude that soaking for 14 days is
not long enough to measure weight change to at least three significant
figures, you may soak for 14 days longer. In this case, repeat the
steps in paragraphs (b)(8) and (9) of this section to determine the
weight change for the full 28 days.
* * * * *
(d) * * *
(2) UV exposure. Perform a sunlight-exposure test by exposing the
tank to an ultraviolet light of at least 24 W/m\2\ (0.40 W-hr/m\2\/min)
on the tank surface for at least 450 hours. Alternatively, the fuel
tank may be exposed to direct natural sunlight for an equivalent period
of time, as long as you ensure that the tank is exposed to at least 450
daylight hours.
* * * * *

? 308. Section 1051.520 is revised to read as follows:

Sec. 1051.520 How do I perform exhaust durability testing?

Sections 1051.240 and 1051.243 describe the method for testing that
must be performedto establish deterioration factors for an engine family.

? 309. Section 1051.605 is revised to read as follows:

Sec. 1051.605 What provisions apply to engines already certified
under the motor-vehicle program or the Large Spark-ignition program?

(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce into commerce new recreational
vehicles, and engines for recreational vehicles,if the engines are
already certified to the requirements that apply to spark-ignition
engines under 40 CFR parts 85 and 86 or 40 CFR part 1048 for the
appropriate model year. If you comply with all the provisions of this
section, we consider the certificate issued under 40 CFR part 86 or
1048 for each engine to also be a valid certificate of conformity
underthis part 1051 for its model year, without a separate application
for certification under the requirements of this part 1051. See Sec.
1051.610 for similar provisions that apply to vehicles that are already
certified to the vehicle-based standards for motor vehicles.
(b) Vehicle-manufacturer provisions. If you are not an engine
manufacturer, you mayinstall an engine certified for the appropriate
model year under 40 CFR part 86 or 1048 in a recreational vehicle as
long as you meet all the requirements and conditions specified in
paragraph (d) of this section. If you modify the non-recreational
engine in any of the ways described in paragraph (d)(2) of this section
for installation in a recreational vehicle, we will consider you a
manufacturer of recreational vehicles. Such engine modifications
prevent you from using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted
under this section must meet all the applicable requirements from 40
CFR parts 85 and 86 or 40 CFR part 1048. This paragraph (c) applies to
engine manufacturers, vehicle manufacturers who use such an engine, and
all other persons as if the engine were used in its originally intended
application. The prohibited acts of 40CFR 1068.101(a)(1) apply to these
new engines and vehicles; however, we consider the certificate issued
under 40 CFR part 86 or 1048 for each engine to also be a valid
certificate of conformity under this part 1051 for its model year. If
we make a determination that these engines do not conform to the
regulations during their useful life, we may require you to recall them
under this part 1051 or under 40 CFR part 85 or 1068.505.
(d) Specific requirements. If you are an engine or vehicle
manufacturer and meet all the following criteria and requirements
regarding your new engine or vehicle, the vehicle using the engine is
eligible for an exemption under this section:
(1) Your engine must be covered by a valid certificate of
conformity issued under 40 CFR part 86 or 1048.
(2) You must not make any changes to the certified engine that
could reasonably be expected to increase its exhaust emissions for any
pollutant, or its evaporative emissions. For example, if you make any
of the following changes to one of these engines, you do not qualify
for this exemption:

[[Page 40502]]

(i) Change any fuel system or evaporative system parameters from
the certified configuration (this does not apply to refueling
controls).
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original engine
manufacturer's specified ranges.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in recreational vehicles.
This includes engines used in any application, without regard to which
company manufactures the vehicle or equipment.Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(4) You must ensure that the engine has the emission control
information label we require under 40 CFR part 86 or 1048.
(5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
vehicle. In the supplemental label, do the following:
(i) Include the heading: ``RECREATIONAL VEHICLE EMISSION
CONTROLINFORMATION''.
(ii) Include your full corporate name and trademark. You may
instead include the full corporate name and trademark of another
company you choose to designate.
(iii) State: ``THIS ENGINE WAS ADAPTED FOR A RECREATIONAL
USEWITHOUT AFFECTING ITS EMISSION CONTROLS.''.
(iv) State the date you finished installation (month and year), if
applicable.
(6) The original and supplemental labels must be readily visible
after the engine isinstalled in the vehicle or, if the vehicle obscures
the engine's emission controlinformation label, the make sure the
vehicle manufacturer attaches duplicate labels, as described in 40 CFR
1068.105.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone number.
(ii) List the engine or vehicle models you expect to produce under
this exemptionin the coming year.
(iii) State: ``We produce each listed [engine or vehicle]
model for
recreational application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1051.605.''.
(e) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 1051 and the
certificate issued under 40 CFR part 86 or 1048 will not be deemed to
also be a certificate issued under this part 1051. Introducing these
engines into commerce without a valid exemption or certificate of
conformity under this part violates the prohibitions in 40 CFR
1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Engines or
vehicles adapted for recreational use under this section may not
generate or use emission credits under this part 1051. These engines or
vehicles may generate credits under the ABT provisions in 40 CFR part
86. These engines or vehicles must use emission credits under 40 CFR
part 86 if they are certified to an FEL that exceeds an applicable standard.

? 310. Section 1051.610 is revised to read as follows:

Sec. 1051.610 What provisions apply to vehicles already certified
under the motor-vehicle program?

(a) General provisions. If you are a motor-vehicle manufacturer,
this section allows you to introduce new recreational vehicles into
commerce if the vehicle is already certified to the requirements that
apply under 40 CFR parts 85 and 86. If you comply with all of the
provisions of this section, we consider the certificate issued under 40
CFR part 86 for each motor vehicle to also be a valid certificate of
conformity for the engine under this part 1051 for its model year,
without a separate application for certification under the requirements
of this part 1051. This section applies especially for highway
motorcyclesthat are modified for recreational nonroad use. See Sec.
1051.605 for similar provisions that apply to motor-vehicle engines or
Large SI engines produced for recreational vehicles.
(b) Nonroad vehicle-manufacturer provisions. If you are not a
motor-vehicle manufacturer, you may produce recreational vehicles from
motor vehicles under this section as long as you meet all the
requirements and conditions specified in paragraph (d) of this section.
If you modify the motor vehicle or its engine in any of the ways
describedin paragraph (d)(2) of this section, we will consider you a
manufacturer of a new recreational vehicle. Such modifications prevent
you from using the provisions of this section.
(c) Liability. Engines and vehicles for which you meet the
requirements of this section are exempt from all the requirements and
prohibitions of this part, except for those specifiedin this section.
Engines exempted under this section must meet all the applicable
requirements from 40 CFR parts 85 and 86. This applies to engine
manufacturers, vehicle manufacturers, and all other persons as if the
recreational vehicles were motor vehicles. The prohibited acts of 40
CFR 1068.101(a)(1) apply to these new recreational vehicles; however,
we consider the certificate issued under 40 CFR part 86 for each motor
vehicle to also be a valid certificate of conformity for the
recreational vehicle underthis part 1051 for its model year. If we make
a determination that these engines or vehicles do not conform to the
regulations during their useful life, we may require you to recall them
under 40 CFR part 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are a motor-vehicle manufacturer
and meet all the following criteria and requirements regarding your new
recreational vehicle and its engine, the vehicle is eligible for an
exemption under this section:
(1) Your vehicle must be covered by a valid certificate of
conformity as a motor vehicle issued under 40 CFR part 86.
(2) You must not make any changes to the certified vehicle that we
could reasonably expect to increase its exhaust emissions for any
pollutant, or its evaporative emissionsif it is subject to evaporative-
emission standards. For example, if you make any of the following
changes, you do not qualify for this exemption:
(i) Change any fuel system parameters from the certified
configuration.
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the vehicle
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the

[[Page 40503]]

original vehicle manufacturer's specified ranges.
(iv) Add more than 500 pounds to the curb weight of the originally
certified motor vehicle.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in recreational vehicles.
This includes any type of vehicle, without regard to which company
completes the manufacturing of the recreational vehicle. Show this as
follows:
(i) If you are the original manufacturer of the vehicle, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the vehicle to confirm this based on their sales information.
(4) The vehicle must have the vehicle emission control information
we require under 40 CFR part 86.
(5) You must add a permanent supplemental label to the vehicle in a
position where it will remain clearly visible. In the supplemental
label, do the following:
(i) Include the heading: ``RECREATIONAL VEHICLE ENGINE
EMISSIONCONTROL INFORMATION''.
(ii) Include your full corporate name and trademark. You may
instead include the full corporate name and trademark of another
company you choose to designate.
(iii) State: ``THIS VEHICLE WAS ADAPTED FOR RECREATIONAL USEWITHOUT
AFFECTING ITS EMISSION CONTROLS.''.
(iv) State the date you finished modifying the vehicle (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible in
the fully assembled vehicle.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone number.
(ii) List the vehicle models you expect to produce under this
exemption in the coming year.
(iii) State: ``We produced each listed engine or vehicle model for
recreational application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1051.610.''.
(e) Failure to comply. If your engines or vehicles do not meet the
criteria listed in paragraph (d) of this section, the engines will be
subject to the standards, requirements, and prohibitions of this part
1051, and the certificate issued under 40 CFR part 86 will not be
deemed to also be a certificate issued under this part 1051.
Introducing these engines into commerce without a valid exemption or
certificate of conformity under this part violates the prohibitions in
40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Vehicles
adapted for recreational use under this section may not generate or use
emission credits under this part 1051. These engines may generate
credits under the ABT provisions in 40 CFR part 86. These engines must
use emission credits under 40 CFR part 86 if they are certified to an
FEL that exceeds an applicable standard.

? 311. Section 1051.615 is amended by revising paragraphs (a)
introductory text, (b)introductory text, and (d) to read as follows:

Sec. 1051.615 What are the special provisions for certifying small
recreational engines?

(a) You may certify ATVs with engines that have total displacement
of less than 100 ccto the following exhaust emission standards instead
of certifying them to the exhaust emission standards of subpart B of
this part:
* * * * *
(b) You may certify off-highway motorcycles with engines that have
total displacement of 70 cc or less to the following exhaust emission
standards instead of certifying them to the exhaust emission standards
of subpart B of this part:
* * * * *
(d) Measure steady-state emissions by testing the engine on an
engine dynamometer using the equipment and procedures of 40 CFR part
1065 with either discrete-mode or ramped-modal cycles. You must use the
type of testing you select in your application for certification for
all testing you perform for that engine family. If we test your engines
to confirm that they meet emission standards, we will do testing the
same way. We may also perform other testing as allowed by the Clean Air
Act. Measure steady-state emissions as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle
using the weighting factors specified for each mode. In each mode,
operate the engine for at least 5 minutes, then sample emissions for at
least 1 minute. Calculate cycle statistics for the sequence of modes
and compare with the specified values in 40 CFR 1065.514 to confirm
that the test is valid.
(2) For ramped-modal testing, start sampling at the beginning of
the first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient testing.
(3) Measure emissions by testing the engine on a dynamometer with
one or more of the following sets of duty cycles to determine whether
it meets applicable emission standards:
(i) The following duty cycle applies for discrete-mode testing:

Table 1 of Sec. 1051.615.--6-Mode Duty Cycle for Recreational Engines
----------------------------------------------------------------------------------------------------------------
Minimum time
Mode No. Engine speed Torque in mode Weighting
(percent) \1\ (percent) \2\ (minutes) factors
----------------------------------------------------------------------------------------------------------------
1.............................................. 85 100 5.0 0.09
2.............................................. 85 75 5.0 0.20
3.............................................. 85 50 5.0 0.29
4.............................................. 85 25 5.0 0.30
5.............................................. 85 10 5.0 0.07
6.............................................. (3) 0 5.0 0.05
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Percent torque is percent of maximum test torque at maximum test speed.
\3\Idle.

[[Page 40504]]

(ii) The following duty cycle applies for ramped-modal testing:

Table 2 of Sec. 1051.615.--Ramped-Modal Cycle for Testing Recreational Engines
----------------------------------------------------------------------------------------------------------------
Speed (percent) \1\
RMC mode Time \2\ Torque (percent) \2\ \3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state..................... 41 Warm Idle.............. 0
1b Transition....................... 20 Linear Transition...... Linear Transition.
2a Steady-state..................... 135 85..................... 100
2b Transition....................... 20 85..................... Linear Transition.
3a Steady-state..................... 112 85..................... 10
3b Transition....................... 20 85..................... Linear Transition.
4a Steady-state..................... 337 85..................... 75
4b Transition....................... 20 85..................... Linear Transition.
5a Steady-state..................... 518 85..................... 25
5b Transition....................... 20 85..................... Linear Transition.
6a Steady-state..................... 494 85..................... 50
6b Transition....................... 20 Linear Transition...... Linear Transition.
7 Steady-state...................... 43 Warm Idle.............. 0
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum test torque at the commanded test speed.

(4) During idle mode, hold the speed within your specifications,
keep the throttle fully closed, and keep engine torque under 5 percent
of the peak torque value at maximum test speed.
(5) For the full-load operating mode, operate the engine at wide-
open throttle.
(6) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.
* * * * *

? 312. Section 1051.620 is amended by revising paragraph (b)(1)(vi) to
read as follows:

Sec. 1051.620 When may a manufacturer obtain an exemption for
competition recreational vehicles?

* * * * *
(b) * * *
(1) * * *
(vi) The absence of a functional seat. (For example, a seat with
less than 30 square inches of seating surface would generally not be
considered a functional seat).
* * * * *
? 313. A new Sec. 1051.645 is added to subpart G to read as follows:

Sec. 1051.645 What special provisions apply to branded engines?

The following provisions apply if you identify the name and
trademark of another company instead of your own on your emission
control information label, as provided by Sec. 1051.135(c)(2):
(a) You must have a contractual agreement with the other company
that obligates that company to take the following steps:
(1) Meet the emission warranty requirements that apply under Sec.
1051.120. This may involve a separate agreement involving reimbursement
of warranty-related expenses.
(2) Report all warranty-related information to the certificate holder.
(b) In your application for certification, identify the company
whose trademark you will use and describe the arrangements you have
made to meet your requirements under this section.
(c) You remain responsible for meeting all the requirements of this
chapter, including warranty and defect-reporting provisions.

? 314. Section 1051.701 is amended by revising paragraphs (a), (c), and
(d) and adding paragraphs (e), (f), and (g) to read as follows:

Sec. 1051.701 General provisions.

(a) You may average, bank, and trade emission credits for purposes
of certification as described in this subpart to show compliance with
the standards of this part. To do this you must certify your engines to
Family Emission Limits (FELs) and show that your average emission
levels are below the applicable standards in subpart B of this part, or
that you have sufficient credits to offset a credit deficit for the
model year (as calculated in Sec. 1051.720).
* * * * *
(c) The definitions of Subpart I of this part apply to this
subpart. The following definitions also apply:
(1) Actual emission credits means emission credits you have
generated that we have verified by reviewing your final report.
(2) Average standard means a standard that allows you comply by
averaging all your vehicles under this part. See subpart B of this part
to determine which standards are average standards.
(3) Averaging set means a set of engines in which emission credits
may be exchanged only with other engines in the same averaging set.
(4) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
(5) Buyer means the entity that receives emission credits as a
result of a trade.
(6) Reserved emission credits means emission credits you have
generated that we have not yet verified by reviewing your final report.
(7) Seller means the entity that provides emission credits during a
trade.
(8) Trade means to exchange emission credits, either as a buyer or
seller.
(d) In your application for certification, base your showing of
compliance on projected production volumes for vehicles whose point of
first retail sale is in the United States. As described in Sec.
1051.730, compliance with the requirements of this subpart is
determined at the end of the model year based on actual production
volumes for vehicles whose point of first retail sale is in the United
States. Do not include any of the following vehicles to calculate
emission credits:
(1) Vehicles exempted under subpart G of this part or under 40 CFR
part 1068.
(2) Exported vehicles.
(3) Vehicles not subject to the requirements of this part, such as
those excluded under Sec. 1051.5.
(4) Vehicles for which the location of first retail sale is in a
state that has applicable state emission regulations for

[[Page 40505]]

that model year. However, this restriction does not apply if we
determine that the state standards and requirements are equivalent to
those of this part and that these vehicles sold in such a state will
not generate credits under the state program. For example, you may not
include vehicles certified for California if it has more stringent
emission standards for these vehicles or those vehicles generate or use
emission credits under the California program.
(5) Any other vehicles, where we indicate elsewhere in this part
1051 that they are not to be included in the calculations of this
subpart.
(e) You may not use emission credits generated under this subpart
to offset any emissions that exceed an FEL or standard, except as
specified in Sec. 1051.225(f)(1). This applies for all testing,
including certification testing, in-use testing, selective enforcement
audits, and other production-line testing.
(f) Emission credits may be used in the model year they are
generated or in future model years. Emission credits may not be used
for past model years.
(g) You may increase or decrease an FEL during the model year by
amending your application for certification under Sec. 1051.225.

? 315. Section 1051.705 is amended by revising paragraphs (a), (b), and
(c) and adding paragraph (e) to read as follows:

Sec. 1051.705 How do I average emission levels?

(a) As specified in subpart B of this part, certify each vehicle to
an FEL, subject to the FEL caps in subpart B of this part.
(b) Calculate a preliminary average emission level according to
Sec. 1051.720 for each averaging set using projected U.S.-directed
production volumes from your application for certification, excluding
vehicles described in Sec. 1051.701(d)(4).
(c) After the end of your model year, calculate a final average
emission level according to Sec. 1051.720 for each type of
recreational vehicle or engine you manufacture or import. Use actual
U.S.-directed production volumes, excluding vehicles described in Sec.
1051.701(d)(4).
* * * * *
(e) If your average emission level is above the allowable average
standard, you must obtain enough emission credits to offset the deficit
by the due date for the final report required in Sec. 1051.730. The
emission credits used to address the deficit may come from emission
credits you have banked or from emission credits you obtain through
trading.

? 316. Section 1051.710 is revised to read as follows:

Sec. 1051.710 How do I generate and bank emission credits?

(a) Banking is the retention of emission credits by the
manufacturer generating the emission credits for use in averaging or
trading in future model years. You may use banked emission credits only
within the averaging set in which they were generated.
(b) If your average emission level is below the average standard,
you may calculate credits according to Sec. 1051.720. Credits you
generate do not expire.
(c) You may generate credits if you are a certifying manufacturer.
(d) In your application for certification, designate any emission
credits you intend to bank. These emission credits will be considered
reserved credits. During the model year and before the due date for the
final report, you may redesignate these emission credits for averaging
or trading.
(e) You may use banked emission credits from the previous model
year for averaging or trading before we verify them, but we may revoke
these emission credits if we are unable to verify them after reviewing
your reports or auditing your records.
(f) Reserved credits become actual emission credits only when we
verify them in reviewing your final report.

? 317. Section 1051.715 is revised to read as follows:

Sec. 1051.715 How do I trade emission credits?

(a) Trading is the exchange of emission credits between
manufacturers. You may use traded emission credits for averaging,
banking, or further trading transactions. Traded emission credits may
be used only within the averaging set in which they were generated.
(b) You may trade banked credits to any certifying manufacturer.
(c) You may trade actual emission credits as described in this
subpart. You may also trade reserved emission credits, but we may
revoke these emission credits based on our review of your records or
reports or those of the company with which you traded emission credits.
(d) If a negative emission credit balance results from a
transaction, both the buyer and seller are liable, except in cases we
deem to involve fraud. See Sec. 1051.255(e) for cases involving fraud.
We may void the certificates of all engine families participating in a
trade that results in a manufacturer having a negative balance of
emission credits. See Sec. 1051.745.

? 318. Section 1051.720 is amended by revising paragraphs (a)(2) and
(a)(3) and adding paragraph (a)(4) to read as follows:

Sec. 1051.720 How do I calculate my average emission level or
emission credits?

(a) * * *
(2) For vehicles that have standards expressed as g/kW-hr and a
useful life in kilometers, convert the useful life to kW-hr based on
the maximum power output observed over the emission test and an assumed
vehicle speed of 30 km/hr as follows: UL (kW-hr) = UL (km) x Maximum
Test Power (kW) 30 / km/hr. (Note: It is not necessary to include a
load factor, since credit exchange is not allowed between vehicles
certified to g/kW-hr standards and vehicles certified to g/km
standards.)
(3) For evaporative emission standards expressed as g/
m2/day, use the useful life value in years multiplied by
365.24 and calculate the average emission level as:
[GRAPHIC]
[TIFF OMITTED]
TR13JY05.019

Where:

FEL _i = The FEL to which the engine family is certified, as
described in paragraph (a)(4) of this section.
Production _i = The number of vehicles in the engine
family times the average internal surface area of the vehicles' fuel
tanks.

(4) Determine the FEL for calculating credits under paragraph
(a)(3) of this section using any of the following values:

[[Page 40506]]

(i) The FEL to which the tank is certified, as long as the FEL is
at or below 3.0 g/m2/day.
(ii) 10.4 g/m2/day. However, if you use this value to
establish the FEL for any of your tanks, you must use this value to
establish the FEL for every tank not covered by paragraph (a)(4)(i) of
this section.
(iii) The measured permeation rate of the tank or the measured
permeation rate of a thinner-walled tank of the same material. However,
if you use this approach to establish the FEL for any of your tanks,
you must establish an FEL based on emission measurements for every tank
not covered by paragraph (a)(4)(i) of this section.
* * * * *

? 319. Section 1051.725 is revised to read as follows:

Sec. 1051.725 What must I include in my applications for certification?

(a) You must declare in your applications for certification your
intent to use the provisions of this subpart. You must also declare the
FELs you select for each engine family. Your FELs must comply with the
specifications of subpart B of this part, including the FEL caps. FELs
must be expressed to the same number of decimal places as the
applicable standards.
(b) Include the following in your application for certification:
(1) A statement that, to the best of your belief, you will not have
a negative balance of emission credits for any averaging set when all
emission credits are calculated at the end of the year. This means that
if you believe that your average emission level will be above the
standard (i.e., that you will have a deficit for the model year), you
must have banked credits (or project to have received traded credits)
to offset the deficit.
(2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. If you will
generate positive emission credits, state specifically where the
emission credits will be applied (for example, whether they will be
traded or reserved for banking). If you have projected negative
emission credits, state the source of positive emission credits to
offset the negative emission credits. Describe whether the emission
credits are actual or reserved and whether they will come from banking,
trading, or a combination of these. If you intend to rely on trading,
identify from which manufacturer the emission credits will come.

? 320. Section 1051.730 is revised to read as follows:

Sec. 1051.730 What ABT reports must I send to EPA?

(a) If any of your engine families are certified using the ABT
provisions of this subpart, you must send an end-of-year report within
90 days after the end of the model year and a final report within 270
days after the end of the model year. We may waive the requirement to
send the end-of year report, as long as you send the final report on
time.
(b) Your end-of-year and final reports must include the following
information for each engine family:
(1) Engine-family designation.
(2) The emission standards that would otherwise apply to the engine
family.
(3) The FEL for each pollutant. If you changed an FEL during the
model year, identify each FEL you used and calculate the positive or
negative emission credits under each FEL. Also, describe how the
applicable FEL can be identified for each vehicle you produced. For
example, you might keep a list of vehicle identification numbers that
correspond with certain FEL values.
(4) The projected and actual production volumes for the model year
with a point of retail sale in the United States. If you changed an FEL
during the model year, identify the actual production volume associated
with each FEL.
(5) For vehicles that have standards expressed as g/kW-hr, maximum
engine power for each vehicle configuration, and the sales-weighted
average engine power for the engine family.
(6) Useful life.
(7) Calculated positive or negative emission credits. Identify any
emission credits that you traded, as described in paragraph (d)(1) of
this section.
(c) Your end-of-year and final reports must include the following
additional information:
(1) Show that your net balance of emission credits in each
averaging set in the applicable model year is not negative.
(2) State whether you will reserve any emission credits for banking.
(3) State that the report's contents are accurate.
(d) If you trade emission credits, you must send us a report within
90 days after the transaction, as follows:
(1) As the seller, you must include the following information in
your report:
(i) The corporate names of the buyer and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) The engine families that generated emission credits for the
trade, including the number of emission credits from each family.
(2) As the buyer, you must include the following information in
your report:
(i) The corporate names of the seller and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply to each engine family
(if known).
(e) Send your reports electronically to the Designated Compliance
Officer using an approved information format. If you want to use a
different format, send us a written request with justification for a
waiver.
(f) Correct errors in your end-of-year report or final report as
follows:
(1) You may correct any errors in your end-of-year report when you
prepare the final report, as long as you send us the final report by
the time it is due.
(2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decrease your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that
are determined more than 270 days after the end of the model year. If
you report a negative balance of emission credits, we may disallow
corrections under this paragraph (f)(2).
(3) If you or we determine anytime that errors mistakenly increase
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.

? 321. Section 1051.735 is revised to read as follows:

Sec. 1051.735 What records must I keep?

(a) You must organize and maintain your records as described in
this section. We may review your records at any time.
(b) Keep the records required by this section for eight years after
the due date for the end-of-year report. You may use any appropriate
storage formats or media, including paper, microfilm, or computer
diskettes.
(c) Keep a copy of the reports we require in Sec. 1051.725 and
Sec. 1051.730.
(d) Keep the following additional records for each engine you
produce under the ABT program:
(1) Engine family designation.
(2) Engine identification number.
(3) FEL and useful life.
(4) For vehicles that have standards expressed as g/kW-hr, maximum
engine power.
(5) Build date and assembly plant.
(6) Purchaser and destination.
(e) We may require you to keep additional records or to send us
relevant information not required by this section.

[[Page 40507]]

? 322. A new Sec. 1051.740 is added to subpart H to read as follows:

Sec. 1051.740 Are there special averaging provisions for snowmobiles?

For snowmobiles, you may only use credits for the same phase or set
of standards against which they were generated, except as allowed by
this section.
(a) Restrictions. (1) You may not use any Phase 1 or Phase 2
credits for Phase 3 compliance.
(2) You may not use Phase 1 HC credits for Phase 2 HC compliance.
However, because the Phase 1 and Phase 2 CO standards are the same, you
may use Phase 1 CO credits for compliance with the Phase 2 CO
standards.
(b) Special credits for next phase of standards. You may choose to
generate credits early for banking for purposes of compliance with
later phases of standards as follows:
(1) If your corporate average emission level at the end of the
model year exceeds the applicable (current) phase of standards (without
the use of traded or previously banked credits), you may choose to
redesignate some of your snowmobile production to a calculation to
generate credits for a future phase of standards. To generate credits
the snowmobiles designated must have an FEL below the emission level of
that set of standards. This can be done on a pollutant specific basis.
(2) Do not include the snowmobiles that you redesignate in the
final compliance calculation of your average emission level for the
otherwise applicable (current) phase of standards. Your average
emission level for the remaining (non-redesignated) snowmobiles must
comply with the otherwise applicable (current) phase of standards.
(3) Include the snowmobiles that you redesignate in a separate
calculation of your average emission level for redesignated engines.
Calculate credits using this average emission level relative to the
specific pollutant in the future phase of standards. These credits may
be used for compliance with the future standards.
(4) For generating early Phase 3 credits, you may generate credits
for HC+NO_X or CO separately as described:
(i) To determine if you qualify to generate credits in accordance
with paragraphs (b)(1) through (3) of this section, you must meet the
credit trigger level. For HC+NO_X this value is 62 g/kW-hr
(which would be the HC+NO_X standard that would result from
inputting the highest allowable CO standard (275 g/kW-hr) into the
Phase 3 equation). For CO the value is 200 g/kW-hr (which would be the
CO standard that would result from inputting the highest allowable
HC+NO_X standard (90 g/kW-hr) into the Phase 3 equation).
(ii) HC+NO_X and CO credits for Phase 3 are calculated
relative to the 62 g/kW-hr and 200 g/kW-hr values, respectively.
(5) Credits can also be calculated for Phase 3 using both sets of
standards. Without regard to the trigger level values, if your net
emission reduction for the redesignated averaging set exceeds the
requirements of Phase 3 in Sec. 1051.103 (using both HC+NO_X
and CO in the Phase 3 equation in Sec. 1051.103), then your credits
are the difference between the Phase 3 reduction requirement of that
section and your calculated value.

? 323. A new Sec. 1051.745 is added to subpart H to read as follows:

Sec. 1051.745 What can happen if I do not comply with the provisions
of this subpart?

(a) For each engine family participating in the ABT program, the
certificate of conformity is conditional upon full compliance with the
provisions of this subpart during and after the model year. You are
responsible to establish to our satisfaction that you fully comply with
applicable requirements. We may void the certificate of conformity for
an engine family if you fail to comply with any provisions of this subpart.
(b) You may certify your engine family to an FEL above an
applicable standard based on a projection that you will have enough
emission credits to avoid a negative credit balance for each averaging
set for the applicable model year. However, except as allowed in Sec.
1051.145(h), we may void the certificate of conformity if you cannot
show in your final report that you have enough actual emission credits
to offset a deficit for any pollutant in an engine family.
(c) We may void the certificate of conformity for an engine family
if you fail to keep records, send reports, or give us information we
request.
(d) You may ask for a hearing if we void your certificate under
this section (see Sec. 1051.820).

? 324. Section 1051.801 is revised to read as follows:

Sec. 1051.801 What definitions apply to this part?

[[Page 40508]]

the operation of any part of the emission-control system.
Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
Calibration means the set of specifications and tolerances specific
to a particular design, version, or application of a component or
assembly capable of functionally describing its operation over its
working range.
Certification means relating to the process of obtaining a
certificate of conformity for an engine family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from either transient
or steady-state testing.
Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine.
Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the engine crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft
and other related internal parts.
Critical emission-related component means any of the following
components:
(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors and actuators associated with any of these components.
(2) Any other component whose primary purpose is to reduce
emissions.
Designated Compliance Officer means the Manager, Engine Programs
Group (6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania
Ave., NW., Washington, DC 20460.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW.,Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data vehicle.
Deterioration factor means the relationship between emissions at
the end of useful life and emissions at the low-hour test point,
expressed in one of the following ways:
(1) For multiplicative deterioration factors, the ratio of
emissions at the end of useful life to emissions at the low-hour test
point.
(2) For additive deterioration factors, the difference between
emissions at the end of useful life and emissions at the low-hour test
point.
Emission-control system means any device, system, or element of
design that controls or reduces the regulated emissions from an engine.
Emission-data vehicle means a vehicle or engine that is tested for
certification. This includes vehicles or engines tested to establish
deterioration factors.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Engine configuration means a unique combination of engine hardware
and calibration within an engine family. Engines within a single engine
configuration differ only with respect to normal production
variability.
Engine family has the meaning given in Sec. 1051.230.
Evaporative means relating to fuel emissions that result from
permeation of fuel through the fuel system materials and from
ventilation of the fuel system.
Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that is excluded from this part 1051 under
the provisions of Sec. 1051.5.
Exempted has the meaning given in 40 CFR 1068.30.
Exhaust-gas recirculation means a technology that reduces emissions
by routing exhaust gases that had been exhausted from the combustion
chamber(s) back into the engine to be mixed with incoming air before or
during combustion. The use of valve timing to increase the amount of
residual exhaust gas in the combustion chamber(s) that is mixed with
incoming air before or during combustion is not considered exhaust-gas
recirculation for the purposes of this part.
Family emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard under the ABT program in subpart H of this part. The family
emission limit must be expressed to the same number of decimal places
as the emission standard it replaces. The family emission limit serves
as the emission standard for the engine family with respect to all
required testing.
Fuel line means all hoses or tubing designed to contain liquid fuel
or fuel vapor. This includes all hoses or tubing for the filler neck,
for connections between dual fuel tanks, and for connecting a carbon
canister to the fuel tank. This does not include hoses or tubing for
routing crankcase vapors to the engine's intake or any other hoses or
tubing that are open to the atmosphere.
Fuel system means all components involved in transporting,
metering, and mixing the fuel from the fuel tank to the combustion
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel
filters, fuel lines, carburetor or fuel-injection components, and all
fuel-system vents. In the case where the fuel tank cap or other
components (excluding fuel lines) are directly mounted on the fuel
tank, they are considered to be a part of the fuel tank.
Fuel type means a general category of fuels such as gasoline or
natural gas. There can be multiple grades within a single fuel type,
such as winter-grade and all-season gasoline.
Good engineering judgment means judgments made consistent with
generally accepted scientific and engineering principles and all
available relevant information. See 40 CFR 1068.5 for the
administrative process we use to evaluate good engineering judgment.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type. For alcohol-fueled engines, HC
means total hydrocarbon equivalent (THCE). For all other engines, HC
means nonmethane hydrocarbon (NMHC).
Identification number means a unique specification (for example, a
model number/serial number combination) that allows someone to
distinguish a particular vehicle or engine from other similar engines.
Low-hour means relating to an engine with stabilized emissions and
represents the undeteriorated emission level. This would generally
involve less than 24 hours or 240 kilometers of operation.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures a vehicle or
engine for sale in the United States or otherwise introduces a new
vehicle or engine into commerce in the United States. This includes
importers that import vehicles or engines for resale.
Maximum engine power has the meaning given in 40 CFR 90.3.
Maximum test power means the maximum brake power of an engine at
test conditions.
Maximum test speed has the meaning given in 40 CFR 1065.1001.
Maximum test torque has the meaning given in 40 CFR 1065.1001.
Model year means one of the following things:

[[Page 40509]]

(1) For freshly manufactured vehicles (see definition of ``new,''
paragraph (1)), model year means one of the following:
(i) Calendar year.
(ii) Your annual new model production period if it is different
than the calendar year. This must include January 1 of the calendar
year for which the model year is named. It may not begin before January
2 of the previous calendar year and it must end by December 31 of the
named calendar year.
(2) For an engine originally manufactured as a motor-vehicle engine
or a stationary engine that is later intended to be used in a vehicle
subject to the standards and requirements of this part 1051, model year
means the calendar year in which the engine was originally produced
(see definition of ``new,'' paragraph (2)).
(3) For a nonroad engine that has been previously placed into
service in an application covered by 40 CFR part 90, 91, or 1048, where
that engine is installed in a piece of equipment that is covered by
this part 1051, model year means the calendar year in which the engine
was originally produced (see definition of ``new ,'' paragraph (3)).
(4) For engines that are not freshly manufactured but are installed
in new recreational vehicles, model year means the calendar year in
which the engine is installed in the recreational vehicle (see
definition of ``new,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new,'' model year has the meaning given in paragraphs
(1) through (4) of this definition.
(ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new,'' model year means the calendar year in which the
vehicle is modified.
Motor vehicle has the meaning given in 40 CFR 85.1703(a).
New means relating to any of the following things:
(1) A freshly manufactured vehicle for which the ultimate purchaser
has never received the equitable or legal title. This kind of vehicle
might commonly be thought of as ``brand new.'' In the case of this
paragraph (1), the vehicle becomes new when it is fully assembled for
the first time. The engine is no longer new when the ultimate purchaser
receives the title or the product is placed into service, whichever
comes first.
(2) An engine originally manufactured as a motor-vehicle engine or
a stationary engine that is later intended to be used in a vehicle
subject to the standards and requirements of this part 1051. In this
case, the engine is no longer a motor-vehicle or stationary engine and
becomes new. The engine is no longer new when it is placed into service
as a recreational vehicle covered by this part 1051.
(3) A nonroad engine that has been previously placed into service
in an application covered by 40 CFR part 90, 91, or 1048, where that
engine is installed in a piece of equipment that is covered by this
part 1051. The engine is no longer new when it is placed into service
in a recreational vehicle covered by this part 1051. For example, this
would apply to a marine propulsion engine that is no longer used in a
marine vessel.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in a new vehicle covered by
this part 1051. The engine is no longer new when the ultimate purchaser
receives a title for the vehicle or it is placed into service,
whichever comes first. This generally includes installation of used
engines in new recreational vehicles.
(5) An imported vehicle or engine, subject to the following
provisions:
(i) An imported recreational vehicle or recreational-vehicle engine
covered by a certificate of conformity issued under this part that
meets the criteria of one or more of paragraphs (1) through (4) of this
definition, where the original manufacturer holds the certificate, is
new as defined by those applicable paragraphs.
(ii) An imported recreational vehicle or recreational-vehicle
engine covered by a certificate of conformity issued under this part,
where someone other than the original manufacturer holds the
certificate (such as when the engine is modified after its initial
assembly), becomes new when it is imported. It is no longer new when
the ultimate purchaser receives a title for the vehicle or engine or it
is placed into service, whichever comes first.
(iii) An imported recreational vehicle or recreational-vehicle
engine that is not covered by a certificate of conformity issued under
this part at the time of importation is new, but only if it was
produced on or after the 2007 model year. This addresses uncertified
engines and equipment initially placed into service that someone seeks
to import into the United States. Importation of this kind of new
nonroad engine (or equipment containing such an engine) is generally
prohibited by 40 CFR part 1068.
Noncompliant means relating to a vehicle that was originally
covered by a certificate of conformity, but is not in the certified
configuration or otherwise does not comply with the conditions of the
certificate.
Nonconforming means relating to vehicle not covered by a
certificate of conformity that would otherwise be subject to emission
standards.
Nonmethane hydrocarbon means the difference between the emitted
mass of total hydrocarbons and the emitted mass of methane.
Nonroad means relating to nonroad engines or equipment that
includes nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general
this means all internal-combustion engines except motor-vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft.
Off-highway motorcycle means a two-wheeled vehicle with a nonroad
engine and a seat (excluding marine vessels and aircraft). (Note:
highway motorcycles are regulated under 40 CFR part 86.)
Official emission result means the measured emission rate for an
emission-data vehicle on a given duty cycle before the application of
any deterioration factor, but after the applicability of regeneration
adjustment factors.
Offroad utility vehicle means a nonroad vehicle that has four or
more wheels, seating for two or more persons, is designed for operation
over rough terrain, and has either a rear payload of 350 pounds or more
or seating for six or more passengers. Vehicles intended primarily for
recreational purposes that are not capable of transporting six
passengers (such as dune buggies) are not offroad utility vehicles.
(Note: Sec. 1051.1(a) specifies that some offroad utility vehicles are
required to meet the requirements that apply for all-terrain vehicles.)
Owners manual means a document or collection of documents prepared
by the engine manufacturer for the owner or operator to describe
appropriate engine maintenance, applicable warranties, and any other
information related to operating or keeping the engine. The owners
manual is typically provided to the ultimate purchaser at the time of sale.
Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
Phase 1 means relating to Phase 1 standards of Sec. Sec. 1051.103,
1051.105, or 1051.107, or other Phase 1 standards specified in subpart
B of this part.
Phase 2 means relating to Phase 2 standards of Sec. 1051.103, or
other Phase 2 standards specified in subpart B of this part.
Phase 3 means relating to Phase 3 standards of Sec. 1051.103, or
other Phase

[[Page 40510]]

3 standards specified in subpart B of this part.
Placed into service means put into initial use for its intended
purpose.
Point of first retail sale means the location at which the initial
retail sale occurs. This generally means an equipment dealership, but
may also include an engine seller or distributor in cases where loose
engines are sold to the general public for uses such as replacement
engines.
Recreational means, for purposes of this part, relating to
snowmobiles, all-terrain vehicles, off-highway motorcycles, and other
vehicles that we regulate under this part. Note that 40 CFR part 90
applies to engines used in other recreational vehicles.
Revoke has the meaning given in 40 CFR 1068.30.
Round has the meaning given in 40 CFR 1065.1001, unless otherwise
specified.
Scheduled maintenance means adjusting, repairing, removing,
disassembling, cleaning, or replacing components or systems
periodically to keep a part or system from failing, malfunctioning, or
wearing prematurely. It also may mean actions you expect are necessary
to correct an overt indication of failure or malfunction for which
periodic maintenance is not appropriate.
Small-volume manufacturer means one of the following:
(1) For motorcycles and ATVs, a manufacturer that sold motorcycles
or ATVs before 2003 and had annual U.S.-directed production of no more
than 5,000 off-road motorcycles and ATVs (combined number) in 2002 and
all earlier calendar years. For manufacturers owned by a parent
company, the limit applies to the production of the parent company and
all of its subsidiaries.
(2) For snowmobiles, a manufacturer that sold snowmobiles before
2003 and had annual U.S.-directed production of no more than 300
snowmobiles in 2002 and all earlier model years. For manufacturers
owned by a parent company, the limit applies to the production of the
parent company and all of its subsidiaries.
(3) A manufacturer that we designate to be a small-volume
manufacturer under Sec. 1051.635.
Snowmobile means a vehicle designed to operate outdoors only over
snow-covered ground, with a maximum width of 1.5 meters or less.
Spark-ignition means relating to a gasoline-fueled engine or any
other type of engine with a spark plug (or other sparking device) and
with operating characteristics significantly similar to the theoretical
Otto combustion cycle. Spark-ignition engines usually use a throttle to
regulate intake air flow to control power during normal operation.
Suspend has the meaning given in 40 CFR 1068.30.
Test sample means the collection of engines selected from the
population of an engine family for emission testing. This may include
testing for certification, production-line testing, or in-use testing.
Test vehicle or engine means an engine in a test sample.
Total hydrocarbon means the combined mass of organic compounds
measured by the specified procedure for measuring total hydrocarbon,
expressed as a hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent means the sum of the carbon mass
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
engines. The hydrogen-to-carbon ratio of the equivalent hydrocarbon is
1.85:1.
Ultimate purchaser means, with respect to any new nonroad equipment
or new nonroad engine, the first person who in good faith purchases
such new nonroad equipment or new nonroad engine for purposes other
than resale.
Ultraviolet light means electromagnetic radiation with a wavelength
between 300 and 400 nanometers.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year means for an engine family the model year after
the one currently in production.
U.S.-directed production volume means the number of vehicle 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. This includes
vehicles for which the location of first retail sale is in a state that
has applicable state emission regulations for that model year, unless
we specify otherwise.
Useful life means the period during which a vehicle is required to
comply with all applicable emission standards, specified as a given
number of calendar years and kilometers (whichever comes first). In
some cases, useful life is also limited by a given number of hours of
engine operation. If an engine has no odometer (or hour meter), the
specified number of kilometers (or hours) does not limit the period
during which an in-use vehicle is required to comply with emission
standards, unless the degree of service accumulation can be verified
separately. The useful life for an engine family must be at least as
long as both of the following:
(1) The expected average service life before the vehicle is
remanufactured or retired from service.
(2) The minimum useful life value.
Void has the meaning given in 40 CFR 1068.30.
We (us, our) means the Administrator of the Environmental
Protection Agency and any authorized representatives.
Wide-open throttle means maximum throttle opening. Unless this is
specified at a given speed, it refers to maximum throttle opening at
maximum speed. For electronically controlled or other engines with
multiple possible fueling rates, wide-open throttle also means the
maximum fueling rate at maximum throttle opening under test conditions.

? 325. Section 1051.805 is amended by adding ``CFR'', ``HC'', and
``NARA'' to the table in alphabetical order to read as follows:

Sec. 1051.805 What symbols, acronyms, and abbreviations does this
part use?

The following symbols, acronyms, and abbreviations apply to this
part:
* * * * *
CFR--Code of Federal Regulations.
* * * * *
HC--hydrocarbon.
* * * * *
NARA--National Archives and Records Administration.
* * * * *

? 326. Section 1051.810 is revised to read as follows:

Sec. 1051.810 What materials does this part reference?

Documents listed in this section have been incorporated by
reference into this part. The Director of the Federal Register approved
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and
Radiation Docket and Information Center, 1301 Constitution Ave., NW.,
Room B102,EPA West Building, Washington, DC 20460 or at the National
Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal_regulations/ ibr_locations.html.
(a) ASTM material. Table 1 of this section lists material from the
American Society for Testing and Materials that we have incorporated by
reference. The

[[Page 40511]]

first column lists the number and name of the material. The second
column lists the sections of this part where we reference it. Anyone
may purchase copies of these materials from the American Society for
Testing and Materials, 100 Barr Harbor Dr., P.O. Box C700, West
Conshohocken, PA 19428 or http://www.astm.com. Table 1 follows:

Table 1 of Sec. 1051.810.--ASTM Materials
------------------------------------------------------------------------
Part 1051
Document number and name reference
------------------------------------------------------------------------
ASTM D471-98, Standard Test Method for Rubber Property-- 1051.501
Effect of Liquids......................................
ASTM D814-95 (reapproved 2000), Standard Test Method for 1051.245
RubberProperty Vapor Transmission of Volatile Liquids..
------------------------------------------------------------------------

(b) SAE material. Table 2 of this section lists material from the
Society of Automotive Engineering that we have incorporated by
reference. The first column lists the number and name of the material.
The second column lists the sections of this part where we reference
it. Anyone may purchase copies of these materials from the Society of
Automotive Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or
http://www.sae.org. Table 2 follows:

Table 2 of Sec. 1051.810.--SAE Materials
------------------------------------------------------------------------
Document number and name Part 1051 reference
------------------------------------------------------------------------
SAE J30, Fuel and Oil Hoses, June 1998......... 1051.245, 1051.501
SAE J1930, Electrical/Electronic Systems 1051.135
Diagnostic Terms, Definitions, Abbreviations,
and Acronyms, May 1998........................
SAE J2260, Nonmetallic Fuel System Tubing with 1051.245
One or More Layers, November 1996.............
------------------------------------------------------------------------

? 327. Section 1051.815 is revised to read as follows:

Sec. 1051.815 What provisions apply to confidential information?

? 328. Section 1051.820 is revised to read as follows:

Sec. 1051.820 How do I request a hearing?

PART 1068--GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS

? 329. The authority citation for part 1068 is revised to read as follows:

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

? 330. Section 1068.10 is revised to read as follows:

Sec. 1068.10 What provisions apply to confidential information?

? 331. Section 1068.30 is amended by revising the definition for ``United
States'' and adding definitions for ``Days'', ``Defeat device'',
``Equipment'', ``Exempted'', ``Good engineering judgment'', ``Motor
vehicle'', ``Revoke'', ``Suspend'', and ``Void'' in alphabetical order
to read as follows:

Sec. 1068.30 What definitions apply to this part?

* * * * *
Days means calendar days, including weekends and holidays.
Defeat device means has the meaning given in the standard-setting part.
* * * * *
Equipment means any vehicle, vessel, or other type of equipment
that is subject to the requirements of this part, or that uses an
engine that is subject to the requirements of this part.
* * * * *
Exempted means relating to an engine that is not required to meet
otherwise applicable standards. Exempted engines must conform to
regulatory conditions specified for an exemption in this part 1068 or
in the standard-setting part. Exempted engines are deemed to be
``subject to'' the standards of the standard-setting part, even though
they are not required to comply with the otherwise applicable
requirements. Engines exempted with respect to a certain tier of
standards may be required to comply with an earlier tier of standards
as a condition of the exemption; for example, engines exempted with
respect to Tier 3 standards may be required to comply with Tier 1 or
Tier 2 standards.
Good engineering judgment means judgments made consistent with
generally accepted scientific and engineering principles and all
available relevant information. See 40 CFR 1068.5

[[Page 40512]]

for the administrative process we use to evaluate good engineering
judgment.
* * * * *
Motor vehicle has the meaning given in 40 CFR 85.1703(a).
* * * * *
Revoke means to terminate the certificate or an exemption for an
engine family. If we revoke a certificate or exemption, you must apply
for a new certificate or exemption before continuing to introduce the
affected engines into commerce. This does not apply to engines you no
longer possess.
* * * * *
Suspend means to temporarily discontinue the certificate or an
exemption for an engine family. If we suspend a certificate, you may
not introduce into commerce engines from that engine family unless we
reinstate the certificate or approve a new one. If we suspend an
exemption, you may not introduce into commerce engines that were
previously covered by the exemption unless we reinstate the exemption.
* * * * *
United States means the States, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
Void means to invalidate a certificate or an exemption ab initio.
If we void a certificate, all the engines introduced into commerce
under that engine family for that model year are considered
noncompliant, and you are liable for each engine introduced into
commerce under the certificate and may face civil or criminal penalties
or both. This applies equally to all engines in the engine family,
including engines introduced into commerce before we voided the
certificate. If we void an exemption, all the engines introduced into
commerce under that exemption are considered uncertified (or
nonconforming), and you are liable for each engine introduced into
commerce under the exemption and may face civil or criminal penalties
or both. You may not introduce into commerce any additional engines
using the voided exemption.
* * * * *

? 332. Section 1068.101 is amended by revising the introductory text and
paragraphs (a) and (b) to read as follows:

Sec. 1068.101 What general actions does this regulation prohibit?

This section specifies actions that are prohibited and the maximum
civil penalties that we can assess for each violation. The maximum
penalty values listed in paragraphs (a) and (b) of this section are
shown for calendar year 2004. As described in paragraph (e) of this
section, maximum penalty limits for later years are set forth in 40 CFR
part 19.
(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
$32,500 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 $32,500 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 $32,500 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 $32,500 for
each engine in violation. For anyone else, we may assess a civil
penalty up to $2,750 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 that bypasses, impairs, defeats, or
disables the engine's control the emissions of any pollutant. We may
assess a civil penalty up to $2,750 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 $32,500 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 $32,500 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

[[Page 40513]]

after emission standards start to apply in the United States. We may
assess a civil penalty up to $32,500 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 $32,500 for each engine in violation.
* * * * *

? 333. Section 1068.105 is amended by revising paragraph (a) and
renumbering the second paragraph (c)(1)(iii) as (c)(1)(iv) to read as
follows:

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

* * * * *
(a) Transitioning to new engine-based standards. If new emission
standards apply in a given model year, your equipment in that model
year must have engines that are certified to the new standards, except
that you may use up your normal inventory of earlier engines that were
built before the date of the new or changed standards. For example, if
your normal inventory practice is to keep on hand a one-month supply of
engines based on your upcoming production schedules, and a new tier of
standard starts to apply for the 2015 model year, you may order engines
based on your normal inventory requirements late in the engine
manufacturer's 2014 model year and install those engines in your
equipment, regardless of the date of installation. Also, if your model
year starts before the end of the calendar year preceding new
standards, you may use engines from the previous model year for those
units you produce before January 1 of the year that new standards
apply. If emission standards do not change in a given model year, you
may continue to install engines from the previous model year without
restriction. You may not circumvent the provisions of Sec.
1068.101(a)(1) by stockpiling engines that were built before new or
changed standards take effect. Note that this allowance does not apply
for equipment subject to equipment-based standards.
* * * * *

? 334. Section 1068.110 is amended by revising paragraph (e) to read as
follows:

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

* * * * *
(e) Warranty and maintenance. Owners are responsible for properly
maintaining their engines; however, owners may make warranty claims
against the manufacturer for all expenses related to diagnosing and
repairing or replacing 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.

? 335. Section 1068.115 is amended by revising paragraph (a) to read as
follows:

Sec. 1068.115 When must manufacturers honor emission-related warranty
claims?

* * * * *
(a) As a certifying manufacturer, you may deny warranty claims only
for failures that have been caused by the owner's or operator's
improper maintenance or use, by accidents for which you have no
responsibility, or by acts of God. For example, you would not need to
honor warranty claims for failures that have been directly caused by
the operator's abuse of an engine or the operator's use of the engine
in a manner for which it was not designed, and are not attributable to
you in any way.
* * * * *
? 336. Section 1068.125 is amended by revising paragraph (b) introductory
text to read as follows:

Sec. 1068.125 What happens if I violate the regulations?

* * * * *
(b) Administrative penalties. Instead of bringing a civil action,
we may assess administrative penalties if the total is less than
$270,000 against you individually. This maximum penalty may be greater
if the Administrator and the Attorney General jointly determine that is
appropriate for administrative penalty assessment, or if the limit is
adjusted under 40 CFR part 19. No court may review such a
determination. Before we assess an administrative penalty, you may ask
for a hearing (subject to 40 CFR part 22).The Administrator may
compromise or remit, with or without conditions, any administrative
penalty that may be imposed under this section.
* * * * *

? 337. Section 1068.201 is amended by revising paragraphs (c) and (i) to
read as follows:

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

* * * * *
(c) If you use an exemption under this subpart, we may require you
to add a permanent label to your exempted engines. You may ask us to
modify these labeling requirements if it is appropriate for your engine.
* * * * *
(i) If you want to take an action with respect to an exempted or
excluded engine that is prohibited by the exemption or exclusion, such
as selling it, you need to certify the engine. We will issue a
certificate of conformity if you send us an application for
certification showing that you meet all the applicable requirements
from the standard-setting part and pay the appropriate fee. Also, in
some cases, we may allow manufacturers to modify the engine as needed
to make it identical to engines already covered by a certificate. We
would base such an approval on our review of any appropriate
documentation. These engines must have emission control information
labels that accurately describe their status.

? 338. Section 1068.240 is amended by revising paragraph (d) to read as
follows:

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

* * * * *
(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:
THIS ENGINE COMPLIES WITH U.S. EPA NONROAD EMISSION REQUIREMENTS
FOR [Insert appropriate year reflecting when the applicable tier of
emission standards for the replaced engine began to apply]
ENGINES
UNDER 40 CFR 1068.240. 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.
* * * * *

? 339. Section 1068.245 is amended by revising paragraphs (a)(4) and
(f)(4) to read as follows:

[[Page 40514]]

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

(a) * * *
(4) No other allowances are available under the regulations in this
chapter to avoid the impending violation, including the provisions of
Sec. 1068.250.
* * * * *
(f) * * *
(4) One of the following statements:
(i) If the engine does not meet any emission standards: ``THIS
ENGINE IS EXEMPT UNDER 40 CFR 1068.245 FROM EMISSION STANDARDS AND
RELATED REQUIREMENTS.''.
(ii) If the engine meets alternate emission standards as a
condition of an exemption under this section, we may specify a
different statement to identify the alternate emission standards.

? 340. Section 1068.250 is amended by revising paragraph (k)(4) to read
as follows:

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

* * * * *
(k) * * *
(4) One of the following statements:
(i) If the engine does not meet any emission standards: ``THIS
ENGINE IS EXEMPT UNDER 40 CFR 1068.250 FROM EMISSION STANDARDS AND
RELATED REQUIREMENTS.''.
(ii) If the engine meets alternate emission standards as a
condition of an exemption under this section, we may specify a
different statement to identify the alternate emission standards.

? 341. Section 1068.255 is amended by revising paragraphs (a)
introductory text and (b)(4) to read as follows:

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

* * * * *
(a) Equipment exemption. As an equipment manufacturer, you may ask
for approval to produce exempted equipment for up to 12 months. We will
generally limit this to the first year that new or revised emission
standards apply. Send the Designated Officer a written request for an
exemption before you are in violation. In your request, you must show
you are not at fault for the impending violation and that you would
face serious economic hardship if we do not grant the exemption. This
exemption is not available under this paragraph (a) if you manufacture
the engine you need for your own equipment or if complying engines are
available from other engine manufacturers that could be used in your
equipment, unless we allow it elsewhere in this chapter. We may impose
other conditions, including provisions to use an engine meeting less
stringent emission standards or to recover the lost environmental
benefit. In determining whether to grantthe exemptions, we will
consider all relevant factors, including the following:
* * * * *
(b) * * *
(4) One of the following statements:
(i) If the engine does not meet any emission standards: ``THIS
ENGINE IS EXEMPT UNDER 40 CFR 1068.255 FROM EMISSION STANDARDS AND
RELATED REQUIREMENTS.''.
(ii) If the engine meets alternate emission standards as a
condition of an exemption under this section, we may specify a
different statement to identify the alternate emission standards.
* * * * *

? 342. Section 1068.260 is amended by revising paragraphs (a)(5), (a)(6),
and (f) and adding paragraphs (g) and (h) to read as follows:

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

(a) * * *
(5) Ship the aftertreatment components directly to the equipment
manufacturer, or arrange for separate shipment by the component
manufacturer 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 sell engines under this section. Include engines that you sell
through distributors or dealers. The affidavits must list the part
numbers of the aftertreatment devices that equipment manufacturers
install on each engine they purchase from you 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 for five years
after the end of the model year and provide a report to us describing
any uninstalled or improperly installed aftertreatment components. Send
us these reports within 90 days of the audit, except as specified in
paragraph (d) of this section.
(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.
(iv) If you produce engines and use them to produce equipment under
the provisions of this section, you must take steps to ensure that your
facilities, procedures, and production records are set up to ensure
compliance with the provisions of this section, but you may meet your
auditing responsibilities under this paragraph (a)(6) by maintaining a
database showing how you pair aftertreatment components with the
appropriate engines.
* * * * *
(f) You are liable for the in-use compliance of any engine that is
exempt under this section.
(g) It is a violation of the Act for any person to complete
assembly of the exempted engine without complying fully with the
installation instructions.
(h) You may ask us to provide a temporary exemption to allow you to
complete production of your engines at different facilities, as long as
you maintain control of the engines until they are in their certified
configuration. We may require you to take specific steps to ensure that
such engines are in their certified configuration before reaching the
ultimate purchaser. You may request an exemption under this paragraph
(h) in your application for

[[Page 40515]]

certification, or in a separate submission to the Designated Compliance
Officer.

? 343. A new Sec. 1068.265 is added to subpart C to read as follows:

Sec. 1068.265 What provisions apply to engines that are conditionally
exempted from certification?

Engines produced under an exemption for replacement engines (Sec.
1068.240) or for hardship (Sec. 1068.245, Sec. 1068.250, or Sec.
1068.255) may need to meet alternate emission standards as a condition
of the exemption. The standard-setting part may similarly exempt
engines from all certification requirements, or allow us to exempt
engines from all certification requirements for certain cases, but
require the engines to meet alternate standards. In these cases, all
the following provisions apply:
(a) Your engines must meet the alternate standards we specify in
(or pursuant to) the exemption section, and all other requirements
applicable to engines that are subject to such standards.
(b) You need not apply for and receive a certificate for the exempt
engines. However, you must comply with all the requirements and
obligations that would apply to the engines if you had received a
certificate of conformity for them, unless we specifically waive
certain requirements.
(c) You must have emission data from test engines using the
appropriate procedures that demonstrate compliance with the alternate
standards, unless the engines are identical in all material respects to
engines that you have previously certified to standards that are the
same as, or more stringent than, the alternate standards.
(d) Unless we specify otherwise elsewhere in the standard-setting
part, you must meet the labeling requirements in the standard-setting
part, with the following exceptions:
(1) Modify the engine-family designation by eliminating the
character that identifies the model year.
(2) See the provisions of the applicable exemption for appropriate
language to replace the compliance statement otherwise required in the
standard-setting part.
(e) You may not generate emission credits for averaging, banking,
or trading with engines meeting requirements under the provisions of
this section.
(f) Keep records to show that you meet the alternate standards, as
follows:
(1) If your exempted engines are identical to previously certified
engines, keep your most recent application for certification for the
certified engine family.
(2) If you previously certified a similar engine family, but have
modified the exempted engine in a way that changes it from its
previously certified configuration, keep your most recent application
for certification for the certified engine family, a description of the
relevant changes, and any test data or engineering evaluations that
support your conclusions.
(3) If you have not previously certified a similar engine family,
keep all the records we specify for the application for certification
and any additional records the standard-setting part requires you to keep.
(g) We may require you to send us an annual report of the engines
you produce under this section.

? 344. Section 1068.305 is amended by revising paragraph (a) 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 734-214-4100.

* * * * *

? 345. Section 1068.315 is amended by revising paragraphs (e), (f), and
(g), adding and reserving paragraph (h), and adding paragraphs (i), and
(j) to read as follows:

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

* * * * *
(e) Small-volume manufacturer exemption. You may import a
nonconforming engine if we grant hardship relief for a small-volume
manufacturer, as described in Sec. 1068.250.
(f) Equipment-manufacturer hardship exemption. You may import a
nonconforming engine if we grant an exemption for the transition to new
or revised emission standards, as described in Sec. 1068.255.
(g) Delegated-assembly exemption. You may import a nonconforming
engine for final assembly under the provisions of Sec. 1068.260.
However, this does not include the staged-assembly provisions of Sec.
1068.260(h); see Sec. 1068.330 for importing incomplete engines.
(h) [Reserved]
(i) Identical configuration exemption. You may import a
nonconforming engine if it is identical to certified engines produced
by the same manufacturer, subject to the following provisions:
(1) You may import only the following engines under this exemption:
(i) Large nonroad spark-ignition engines (see part 1048 of this
chapter).
(ii) Recreational nonroad spark-ignition engines and equipment (see
part 1051 of this chapter).
(iii) Land-based nonroad diesel engines (see part 1039 of this
chapter).
(2) You must meet all the following criteria:
(i) You have owned the engine for at least six months.
(ii) You agree not to sell, lease, donate, trade, or otherwise
transfer ownership of the engine for at least five years, or until the
engine is eligible for the exemption in paragraph (g) of this section.
During this period, the only acceptable way to dispose of the engine is
to destroy or export it.
(iii) You use data or evidence sufficient to show that the engine
is in a configuration that is identical to an engine the original
manufacturer has certified to meet emission standards that apply at the
time the manufacturer finished assembling or modifying the engine in
question. If you modify the engine to make it identical, you must
completely follow the original manufacturer's written instructions.
(3) We will tell you in writing if we find the information
insufficient to show that the engine is eligible for this exemption. In
this case, we will not consider your request further until you address
our concerns.
(j) Ancient engine exemption. If you are not the original engine
manufacturer, you may import a nonconforming engine that is subject to
a standard-setting part and was first manufactured at least 21 years
earlier, as long as it is still in its original configuration.

? 346. Section 1068.325 is amended by revising the introductory text to
read as follows:

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

You may import engines under certain temporary exemptions, subject
to 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 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 modify.
* * * * *

[[Page 40516]]

? 347. Section 1068.330 is amended by revising the section heading and
paragraph (c) and adding paragraph (a)(4) to read as follows:

Sec. 1068.330 How do I import engines requiring further assembly?

* * * * *
(a) * * *
(4) You import a complete or partially complete engine for
installation in equipment subject to equipment-based standards for
which you have either a certificate of conformity or an exemption that
allows you to sell the equipment.
* * * * *
(c) If we approve a temporary exemption for an engine, you may
import it under the conditions in this section. If you are not a
certificate holder, 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.
* * * * *

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

Sec. 1068.335 What are the penalties for violations?

* * * * *
(b) Temporarily imported engines. If you do not comply with the
provisions of this subpart for a temporary exemption under Sec.
1068.325 or Sec. 1068.330, you may forfeit the total amount of the
bond in addition to the sanctions we identify in paragraph (a) of this
section. We will consider an engine to be exported if it has been
destroyed or delivered to the U.S. Customs Service for export or other
disposition under applicable Customs laws and regulations. EPA or the
U.S. Customs Service may offer you a grace period to allow you to
export a temporarily exempted engine without penalty after the
exemption expires.

? 349. Section 1068.410 is amended by adding paragraph (j) to read as
follows:

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

* * * * *
(j) Retesting after reaching a fail decision. You may retest your
engines once a fail decision for the audit has been reached based on
the first test on each engine under Sec. 1068.420(c). You may test
each engine up to a total of three times, but you must perform the same
number of tests on each engine. You may further operate the engine to
stabilize emission levels before testing, subject to the provisions of
paragraph (f) of this section. We may approve retesting at other times
if you send us a request with satisfactory justification.

? 350. Section 1068.505 is amended by adding paragraph (g) to read as
follows:

Sec. 1068.505 How does the recall program work?

* * * * *
(g) For purposes of recall, owner means someone who owns an engine
affected by a remedial plan or someone who owns a piece of equipment
that has one of these engines.

? 351. Section 1068.510 is amended by revising paragraph (a)(10) to read
as follows:

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

(a) * * *
(10) If your employees or authorized warranty agents will not be
doing the work, state who will and describe their qualifications.
* * * * *

Sec. 1068.540 [Removed]

? 352. Section 1068.540 is removed.

? 353. Part 1065 is revised to read as follows:

PART 1065--ENGINE-TESTING PROCEDURES

Subpart A--Applicability and General Provisions
Sec.
1065.1 Applicability.
1065.2 Submitting information to EPA under this part.
1065.5 Overview of this part 1065 and its relationship to the
standard-setting part.
1065.10 Other procedures.
1065.12 Approval of alternate procedures.
1065.15 Overview of procedures for laboratory and field testing.
1065.20 Units of measure and overview of calculations.
1065.25 Recordkeeping.

Subpart B--Equipment Specifications

1065.101 Overview.
1065.110 Work inputs and outputs, accessory work, and operator demand.
1065.120 Fuel properties and fuel temperature and pressure.
1065.122 Engine cooling and lubrication.
1065.125 Engine intake air.
1065.127 Exhaust gas recirculation.
1065.130 Engine exhaust.
1065.140 Dilution for gaseous and PM constituents.
1065.145 Gaseous and PM probes, transfer lines, and sampling system
components.
1065.150 Continuous sampling.
1065.170 Batch sampling for gaseous and PM constituents.
1065.190 PM-stabilization and weighing environments for gravimetric
analysis.
1065.195 PM-stabilization environment for in-situ analyzers.

Subpart C--Measurement Instruments

1065.201 Overview and general provisions.
1065.202 Data updating, recording, and control.
1065.205 Performance specifications for measurement instruments.

Measurement of Engine Parameters and Ambient Conditions

1065.210 Work input and output sensors.
1065.215 Pressure transducers, temperature sensors, and dewpoint sensors.

Flow-Related Measurements

1065.220 Fuel flow meter.
1065.225 Intake-air flow meter.
1065.230 Raw exhaust flow meter.
1065.240 Dilution air and diluted exhaust flow meters.
1065.245 Sample flow meter for batch sampling.
1065.248 Gas divider.

CO and CO₂ Measurements

1065.250 Nondispersive infra-red analyzer.

Hydrocarbon Measurements

1065.260 Flame ionization detector.
1065.265 Nonmethane cutter.
1065.267 Gas chromatograph.

NO_X Measurements

1065.270 Chemiluminescent detector.
1065.272 Nondispersive ultraviolet analyzer.

O₂ Measurements

1065.280 Paramagnetic and magnetopneumatic O₂ detection
analyzers.

Air-to-Fuel Ratio Measurements

1065.284 Zirconia (ZrO₂) analyzer.

PM Measurements

1065.290 PM gravimetric balance.
1065.295 PM inertial balance for field-testing analysis.

Subpart D--Calibrations and Verifications

1065.301 Overview and general provisions.
1065.303 Summary of required calibration and verifications
1065.305 Verifications for accuracy, repeatability, and noise.
1065.307 Linearity verification.
1065.308 Continuous gas analyzer system-response and updating-
recording verification.
1065.309 Continuous gas analyzer uniform response verification.

Measurement of Engine Parameters and Ambient Conditions

1065.310 Torque calibration.
1065.315 Pressure, temperature, and dewpoint calibration.

Flow-Related Measurements

1065.320 Fuel-flow calibration.
1065.325 Intake-flow calibration.
1065.330 Exhaust-flow calibration.
1065.340 Diluted exhaust flow (CVS) calibration.
1065.341 CVS and batch sampler verification (propane check).
1065.345 Vacuum-side leak verification.

CO and CO₂ Measurements

1065.350 H₂O interference verification for CO₂
NDIR analyzers.
1065.355 H₂O and CO₂ interference verification
for CO NDIR analyzers.

[[Page 40517]]

Hydrocarbon Measurements

1065.360 FID optimization and verification.
1065.362 Non-stoichiometric raw exhaust FID O₂
interference verification.
1065.365 Nonmethane cutter penetration fractions.

NO_X Measurements

1065.370 CLD CO₂ and H₂O quench verification.
1065.372 NDUV analyzer HC and H₂O interference
verification.
1065.376 Chiller NO₂ penetration.
1065.378 NO₂-to-NO converter conversion verification.

PM Measurements

1065.390 PM balance verifications and weighing process verification.
1065.395 Inertial PM balance verifications.

Subpart E--Engine Selection, Preparation, and Maintenance

1065.401 Test engine selection.
1065.405 Test engine preparation and maintenance.
1065.410 Maintenance limits for stabilized test engines.
1065.415 Durability demonstration.

Subpart F--Performing an Emission Test in the Laboratory

1065.501 Overview.
1065.510 Engine mapping.
1065.512 Duty cycle generation.
1065.514 Cycle-validation criteria.
1065.520 Pre-test verification procedures and pre-test data
collection.
1065.525 Engine starting, restarting, and shutdown.
1065.530 Emission test sequence.
1065.545 Validation of proportional flow control for batch sampling.
1065.550 Gas analyzer range validation, drift validation, and drift
correction.
1065.590 PM sample preconditioning and tare weighing.
1065.595 PM sample post-conditioning and total weighing.

Subpart G--Calculations and Data Requirements

1065.601 Overview.
1065.602 Statistics.
1065.610 Duty cycle generation.
1065.630 1980 international gravity formula.
1065.640 Flow meter calibration calculations.
1065.642 SSV, CFV, and PDP molar flow rate calculations.
1065.645 Amount of water in an ideal gas.
1065.650 Emission calculations.
1065.655 Chemical balances of fuel, intake air, and exhaust.
1065.659 Removed water correction.
1065.660 THC and NMHC determination.
1065.665 THCE and NMHCE determination.
1065.66 Dilution air background emission correction.
1065.670 NO_X intake-air humidity and temperature
corrections.
1065.672 Drift correction.
1065.675 CLD quench verification calculations.
1065.690 Buoyancy correction for PM sample media.
1065.695 Data requirements.

Subpart H--Engine Fluids, Test Fuels, Analytical Gases and Other
Calibration Standards

1065.701 General requirements for test fuels.
1065.703 Distillate diesel fuel.
1065.705 Residual fuel. [Reserved]
1065.710 Gasoline.
1065.715 Natural gas.
1065.720 Liquefied petroleum gas.
1065.740 Lubricants.
1065.745 Coolants.
1065.750 Analytical Gases.
1065.790 Mass standards.

Subpart I--Testing with Oxygenated Fuels

1065.801 Applicability.
1065.805 Sampling system.
1065.845 Response factor determination.
1065.850 Calculations.

Subpart J--Field Testing and Portable Emission Measurement Systems

1065.901 Applicability.
1065.905 General provisions.
1065.910 PEMS auxiliary equipment for field testing.
1065.915 PEMS instruments.
1065.920 PEMS Calibrations and verifications.
1065.925 PEMS preparation for field testing.
1065.930 Engine starting, restarting, and shutdown.
1065.935 Emission test sequence for field testing.
1065.940 Emission calculations.

Subpart K--Definitions and Other Reference Information

1065.1001 Definitions.
1065.1005 Symbols, abbreviations, acronyms, and units of measure.
1065.1010 Reference materials.

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

Subpart A--Applicability and General Provisions

Sec. 1065.1 Applicability.

(a) This part describes the procedures that apply to testing we
require for the following engines or for vehicles using the following
engines:
(1) Model year 2010 and later heavy-duty highway engines we
regulate under 40 CFR part 86. For earlier model years, manufacturers
may use the test procedures in this part or those specified in 40 CFR
part 86, subpart N, according to Sec. 1065.10.
(2) Land-based nonroad diesel engines we regulate under 40 CFR part
1039.
(3) Large nonroad spark-ignition engines we regulate under 40 CFR
part 1048.
(4) Vehicles we regulate under 40 CFR part 1051 (such as
snowmobiles and off-highway motorcycles) based on engine testing. See
40 CFR part 1051, subpart F, for standards and procedures that are
based on vehicle testing.
(b) The procedures of this part may apply to other types of
engines, as described in this part and in the standard-setting part.
(c) This part is addressed to you as a manufacturer, but it applies
equally to anyone who does testing for you.
(d) Paragraph (a) of this section identifies the parts of the CFR
that define emission standards and other requirements for particular
types of engines. In this part, we refer 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.
(e) Unless we specify otherwise, the terms ``procedures'' and
``test procedures'' in this part include all aspects of engine testing,
including the equipment specifications, calibrations, calculations, and
other protocols and procedural specifications needed to measure
emissions.
(f) For vehicles subject to this part and regulated under vehicle-
based standards, use good engineering judgment to interpret the term
``engine'' in this part to include vehicles where appropriate.
(g) For additional information regarding these test procedures,
visit our Web site at www.epa.gov, and in particular
http://www.epa.gov/otaq/testingregs.htm.

Sec. 1065.2 Submitting information to EPA under this part.

(a) You are responsible for statements and information in your
applications for certification, requests for approved procedures,
selective enforcement audits, laboratory audits, production-line test
reports, field test reports, or any other statements you make to us
related to this part 1065.
(b) In the standard-setting part and in 40 CFR 1068.101, we
describe your obligation to report truthful and complete information
and the consequences of failing to meet this obligation. See also 18
U.S.C. 1001 and 42 U.S.C. 7413(c)(2).
(c) We may void any certificates associated with a submission of
information if we find that you intentionally submitted false,
incomplete, or misleading information. For example, if we find that you
intentionally submitted incomplete information to mislead EPA when
requesting approval to use alternate test procedures, we may void the
certificates for all engines families certified based on emission data
collected using the alternate procedures.
(d) We may require an authorized representative of your company to
approve and sign the submission, and to

[[Page 40518]]

certify that all of the information submitted is accurate and complete.
(e) See 40 CFR 1068.10 for provisions related to confidential
information. Note however that under 40 CFR 2.301, emission data is
generally not eligible for confidential treatment.

Sec. 1065.5 Overview of this part 1065 and its relationship to the
standard-setting part.

(a) This part specifies procedures that apply generally to testing
various categories of engines. See the standard-setting part for
directions in applying specific provisions in this part for a
particular type of engine. Before using this part's procedures, read
the standard-setting part to answer at least the following questions:
(1) What duty cycles must I use for laboratory testing?
(2) Should I warm up the test engine before measuring emissions, or
do I need to measure cold-start emissions during a warm-up segment of
the duty cycle?
(3) Which exhaust gases do I need to measure?
(4) Does testing require full-flow dilute sampling? Is raw sampling
prohibited? Is partial-flow sampling prohibited?
(5) Do any unique specifications apply for test fuels?
(6) What maintenance steps may I take before or between tests on an
emission-data engine?
(7) Do any unique requirements apply to stabilizing emission levels
on a new engine?
(8) Do any unique requirements apply to test limits, such as
ambient temperatures or pressures?
(9) Is field testing required, and are there different emission
standards or procedures that apply to field testing?
(10) Are there any emission standards specified at particular
engine-operating conditions or ambient conditions?
(11) Do any unique requirements apply for durability testing?
(b) The testing specifications in the standard-setting part may
differ from the specifications in this part. In cases where it is not
possible to comply with both the standard-setting part and this part,
you must comply with the specifications in the standard-setting part.
The standard-setting part may also allow you to deviate from the
procedures of this part for other reasons.
(c) The following table shows how this part divides testing
specifications into subparts:

------------------------------------------------------------------------
Describes these specifications
This subpart . . . or procedures . . .
------------------------------------------------------------------------
Subpart A.............................. Applicability and general
provisions.
Subpart B.............................. Equipment for testing.
Subpart C.............................. Measurement instruments for
testing.
Subpart D.............................. Calibration and performance
verifications for measurement
systems.
Subpart E.............................. How to prepare engines for
testing, including service
accumulation.
Subpart F.............................. How to run an emission test.
Subpart G.............................. Test procedure calculations.
Subpart H.............................. Fuels, engine fluids,
analytical gases, and other
calibration standards for
testing.
Subpart I.............................. Special procedures related to
oxygenated fuels.
Subpart J.............................. How to test with portable
emission measurement systems
(PEMS).
Subpart K.............................. Definitions, abbreviations, and
other reference information.
------------------------------------------------------------------------

Sec. 1065.10 Other procedures.

(a) Your testing. The procedures in this part apply for all testing
you do to show compliance with emission standards, with certain
exceptions listed in this section. In some other sections in this part,
we allow you to use other procedures (such as less precise or less
accurate procedures) if they do not affect your ability to show that
your engines comply with the applicable emission standards. This
generally requires emission levels to be far enough below the
applicable emission standards so that any errors caused by greater
imprecision or inaccuracy do not affect your ability to state
unconditionally that the engines meet all applicable emission
standards.
(b) Our testing. These procedures generally apply for testing that
we do to determine if your engines comply with applicable emission
standards. We may perform other testing as allowed by the Act.
(c) Exceptions. We may allow or require you to use procedures other
than those specified in this part in the following cases, which may
apply to laboratory testing, field testing, or both. We intend to
publicly announce when we allow or require such exceptions. All of the
test procedures noted here as exceptions to the specified procedures
are considered generically as ``other procedures.'' Note that the terms
``special procedures'' and ``alternate procedures'' have specific
meanings; ``special procedures'' are those allowed by Sec.
1065.10(c)(2) and ``alternate procedures'' are those allowed by Sec.
1065.10(c)(7).
(1) The objective of the procedures in this part is to produce
emission measurements equivalent to those that would result from
measuring emissions during in-use operation using the same engine
configuration as installed in a vehicle. However, in unusual
circumstances these procedures may result in measurements that do not
represent in-use operation. You must notify us if good engineering
judgment indicates that the specified procedures cause unrepresentative
emission measurements for your engines. Note that you need not notify
us of unrepresentative aspects of the test procedure if measured
emissions are equivalent to in-use emissions. This provision does not
obligate you to pursue new information regarding the different ways
your engine might operate in use, nor does it obligate you to collect
any other in-use information to verify whether or not these test
procedures are representative of your engine's in-use operation. If you
notify us of unrepresentative procedures under this paragraph (c)(1),
we will cooperate with you to establish whether and how the procedures
should be appropriately changed to result in more representative
measurements. While the provisions of this paragraph (c)(1) allow us to
be responsive to issues as they arise, we would generally work toward
making these testing changes generally applicable through rulemaking.
We will allow reasonable lead time for compliance with any resulting
change in procedures. We will consider the following factors in
determining the importance of pursuing changes to the procedures:
(i) Whether supplemental emission standards or other requirements
in the standard-setting part address the type of operation of concern
or otherwise prevent inappropriate design strategies.
(ii) Whether the unrepresentative aspect of the procedures affect
your ability to show compliance with the applicable emission standards.
(iii) The extent to which the established procedures require the
use of emission-control technologies or strategies that are expected to
ensure a comparable degree of emission control under the in-use
operation that differs from the specified procedures.
(2) You may request to use special procedures if your engine cannot
be tested using the specified procedures. We will approve your request
if we determine that it would produce emission measurements that
represent in-use operation and we determine that it can be used to show
compliance with the requirements of the standard-setting part.

[[Continued on page 40519]]

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

Test Procedures for Testing Highway and Nonroad Engines and Omnibus Technical Amendments [[pp. 40469-40518]]

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