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

[Federal Register: September 10, 2004 (Volume 69, Number 175)]
[Proposed Rules]
[Page 54895-54944]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr10se04-14]

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

ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 85, 86, 89, 90, 91, 92, 94, 1039, 1048, 1051, 1065,
and 1068
[AMS-FRL-7803-7]
RIN 2060-AM35

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

AGENCY: Environmental Protection Agency (EPA).
ACTION: Notice of proposed rulemaking.

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

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.
168. 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.
(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.
169. 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.
170. 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.

[[Page 54896]]

(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
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.
171. 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.
172. 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.
* * * * *
173. Section 1048.255 is revised to read as follows:

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

[[Page 54897]]

(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.
(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).
174. 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.
175. 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.
176. Section 1048.310 is amended by revising paragraphs (c)
introductory text, (c)(2), (g), 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]
TP10SE04.001

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]
TP10SE04.002

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 eight engines and one percent of your projected annual
U.S.-directed production volume for the engine family.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
* * * * *
(i) You may elect to test more randomly chosen engines than we
require under this section. Include these engines in the sample-size
calculations.
177. 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 failure is likely to have affected the
earlier engines.
178. Section 1048.350 is amended by revising paragraph (a) to read
as follows:

[[Page 54898]]
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.
* * * * *
179. 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.
* * * * *
180. 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 full-flow
or partial-flow dilute sampling procedures as 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) 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.
(e) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
(f) 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.
181. 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 part 1065 to confirm that the test is valid. Operate
the engine and sampling system as follows:
(i) Engines with NO_X aftertreatment. For 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 NO_X 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
C2 mode Observed time in Weighting
number Engine speed \1\ torque \2\ mode factors
(minutes)
------------------------------------------------------------------------
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.
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:

[[Page 54899]]

Table 2 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Time in
RMC mode mode Engine speed 1, 2 Torque (percent) 2, 3
(seconds)
----------------------------------------------------------------------------------------------------------------
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
D2 mode time in Weighting
number Engine speed Torque \1\ mode factors
(minutes)
------------------------------------------------------------------------
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
RMC mode mode Engine speed Torque (percent) 1, 2
(seconds)
----------------------------------------------------------------------------------------------------------------
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
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:

[[Page 54900]]

Table 5 of Sec. 1048.505
------------------------------------------------------------------------
Minimum
D1 mode time in Weighting
number Engine speed Torque \1\ mode factors
(minutes)
------------------------------------------------------------------------
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
RMC modes mode Engine speed (percent) Torque (percent)1, 2
(seconds)
----------------------------------------------------------------------------------------------------------------
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.
182. Section 1048.510 is amended by revising the section heading
and paragraph (a) 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.
* * * * *
183. 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 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.
* * * * *
184. 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.
185. 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
compression-ignition 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 the engine has been properly
labeled as specified in paragraph (d)(5) of this section and you do not
make any of the changes described in paragraph (d)(2) 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

[[Page 54901]]

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 Sec. 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 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 model's
total sales for the model year, from all companies, are used in nonroad
applications, 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 models you expect to produce under this
exemption in the coming year.
(iii) State: ``We produce each listed engine 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 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.
186. 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 for similar provisions that apply to motor-vehicle engines
produced for nonroad equipment.
(b) Equipment-manufacturer provisions. If you are not an engine
manufacturer, you may produce nonroad equipment from motor vehicles
under this section as long as the equipment has the labels specified in
paragraph (d)(5) of this section and you do not make any of the changes
described in paragraph (d)(2) of this section. You must also add the
fuel-inlet label we specify in Sec. 1048.135(e). 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

[[Page 54902]]

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 total sales as
a motor vehicle or a piece of nonroad equipment, from all companies,
are used in nonroad applications, 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 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 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.
187. Section 1048.615 is amended by revising paragraphs (a)(2),
(a)(3), (c), and (d) to read as follows:

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.
188. Section 1048.620 is amended by revising paragraphs (a)(2),
(a)(3), (c), (d), and (e) to read as follows:

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

(a) * * *
(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.
* * * * *
(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.

[[Page 54903]]

(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.
189. 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 OF
FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
(3) Keep records to document the destinations and quantities of
engines produced under this section.
190. A new Sec. 1048.630 is added 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 or 40 CFR part 89, 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.
191. A new Sec. 1048.635 is added 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.
192. Section 1048.801 is revised to read as follows:

Sec. 1048.801 What definitions apply to this part?

[[Page 54904]]

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 we give 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.
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 we give 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 it's 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 we give in 40 CFR 1065.515.
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:

[[Page 54905]]

(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 40 CFR 90.2.
(2) For engines above 30 kW, maximum engine power has the meaning
given in 40 CFR 1039.140.
Maximum test speed has the meaning we give in 40 CFR 1065.515.
Maximum test torque has the meaning we give 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 we give in 40 CFR 85.1703(a). In
general, motor vehicle means any vehicle that EPA deems to be capable
of safe and practical use on streets or highways that has a maximum
ground speed above 40 kilometers per hour (25 miles per hour) over
level, paved surfaces.
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:
(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 after January 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. See
Sec. 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 we give in 40 CFR 1068.30. In
general this means all internal-combustion engines except motor vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft.

[[Page 54906]]

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 we give 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.
Oxides of nitrogen has the meaning we give 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 we give in 40 CFR 1068.30.
Round means to round numbers according to NIST Special Publication
811(incorporated by reference in Sec. 1048.810), 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 we give 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.
Stoichiometry means the proportion of a mixture of air and fuel
such that the fuel is fully oxidized with no remaining oxygen. For
example, stoichiometric combustion in gasoline engines typically occurs
at an air-fuel mass ratio of about 14.7.
Suspend has the meaning we give 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.
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 we give 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 United States.
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 we give 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.
193. Section 1048.805 is amended by adding ``NIST'' to the table in
alphabetical order to read as follows:

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

* * * * *
NIST National Institute of Standards and Technology.
194. Section 1048.810 is amended by revising the introductory text
and paragraphs (a) and (b) to read as follows:

Sec. 1048.810 What materials does this part reference?

[[Page 54907]]

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) NIST material. Table 1 of this section lists material from the
National Institute of Standards and Technology that we have been
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 Government Printing Office, Washington, DC 20402 or download
them from the Internet at http://physics.nist.gov/Pubs/SP811/.
Table 1 follows:

Table 1 of Sec. 1048.810.--NIST Materials
------------------------------------------------------------------------
Part 1048
Document number and name reference
------------------------------------------------------------------------
NIST Special Publication 811, Guide for the Use of the 1048.801
International System of Units (SI), 1995 Edition..........
------------------------------------------------------------------------

(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.
Table 2 follows:

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

* * * * *
195. 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.
196. 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.

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

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

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

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

Subpart A--Overview and Applicability

199. 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 more information 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.
200. 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 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.
201. 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.

[[Page 54908]]

(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 certain interim requirements and
compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part describes general provisions for testing
production-line engines.
(e) [Reserved]
(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.
202. 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.
203. 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.
204. 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, 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 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 meet 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, 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:
* * * * *
205. 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/or 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 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 meet 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 production units within the
engine family. 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 54909]]

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:
* * * * *
206. 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 specified in this section. An engine family
meets emission standards even if its family emission limit is higher
than the standard, as long as you show that the whole averaging set of
applicable engine families meet 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 production units
within the engine family. 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 (Sec. 1051.240 describes how to use deterioration factors to show
this). 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:
* * * * *
207. Section 1051.110 is amended by revising paragraph (a) to read
as follows:

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

* * * * *
(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 described in
subpart H of this part.
* * * * *
208. Section 1051.115 is amended by removing and reserving
paragraph (b) and revising paragraphs (a), (c), and (f) 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.
* * * * *
(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 seal it or if it is not normally accessible using ordinary
tools. We may require that you set adjustable parameters to any
specification within the adjustable range during any testing, including
certification testing, production-line testing, or in-use testing.
* * * * *
(f) 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

[[Page 54910]]

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.
* * * * *
209. 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 you provide an extended
warranty to individual owners for any components covered in paragraph
(c) of this section for an additional charge, your emission-related
warranty must cover those components for those owners to the same
degree. If 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 40 CFR 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.
210. 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 maintenance includes any adjustment, cleaning, repair, or
replacement of critical emission-related components. This may also
include additional emission-related maintenance that you determine is
critical if we approve it in advance. You may schedule critical
emission-related maintenance on these components if you meet the
following conditions:
(1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use 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 maintenance instructions for the customer.
(iv) You otherwise show us that the maintenance is reasonably
likely to be done at the recommended intervals.
(2) You may not schedule critical emission-related maintenance
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 disqualify those 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 take these inspection or
maintenance steps during service accumulation on your emission-data
vehicles, as long as they are reasonable and technologically necessary.
This might include adding engine oil, or adjusting chain tension,
clutch position, or tire pressure. You may perform this nonemission-
related maintenance on emission-data vehicles at the least frequent
intervals that you recommend to the ultimate purchaser (but not the
intervals recommended for severe service).
(f) Source of parts and repairs. State clearly on the first page of
your written maintenance instructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission-control
devices and systems.

[[Page 54911]]

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 maintaining their vehicles. 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
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.
211. 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, give the engine installer instructions for
installing it consistent with the requirements of this part. Include
all information necessary to ensure that an engine will be installed in
its certified configuration.
(b) Make sure 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 not to 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 may include, 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 control information 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 website 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.
212. 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
described in paragraph (g) of this section.
(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 the exhaust and
evaporative engine families, as described in Sec. 1051.230.
(4) State the engine's displacement (in liters) and maximum engine
power. 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 or power configuration. 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 and print it in the owners manual.
(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 with SAE J1930 (incorporated by reference in
Sec. 1051.810). 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.
(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 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: ``THIS 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

[[Page 54912]]

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, 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.
(g) 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 paragraph
(g) 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. 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).
(1) 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.

(2)(i) For off-highway motorcycles certified to the standards in
Sec. 1051.105, use the equations specified below.
(A) 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.

(B) 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.

(ii) 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.

(3)(i) For ATVs certified to the standards in Sec. 1051.107, use
the equations specified below.
(A) 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.

(B) 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.

(ii) 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.

213. Section 1051.145 is amended by removing and reserving
paragraph (c), adding paragraphs (a)(3)(v) and (a)(3)(vi), and revising
paragraphs (b)(3) and (e) to read as follows:

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

* * * * *
(a) * * *
(3) * * *
(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 uses
these engines, and all other persons in the same manner as other
engines subject to 40 CFR part 90.
* * * * *
(b) * * *
(3) For ATVs certified to the standards in this paragraph (b), use
the following equations to determine the normalized emission rate
required by Sec. 1051.135(g):
(i) For engines 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) 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. You may use the raw sampling
procedures described in 40 CFR part 91, subparts D and E, for emission
testing certain vehicles as follows:
(1) Snowmobile. You may use raw sampling for snowmobiles before the
2010 model year. For 2010 and later model years, you may use these
procedures if you show that they produce emission measurements
equivalent to the otherwise specified test procedures.
(2) ATV. You may use raw sampling for ATVs certified to the
standard in Sec. 1051.615 before the 2011 model year. You may use raw
sampling for ATVs certified to the standard in Sec. 1051.107 before
the 2009 model year. For later model years, you may use these
procedures if you show that they produce emission measurements

[[Page 54913]]

equivalent to the otherwise specified test procedures.
* * * * *
214. 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.
(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)).
215. 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 emission impact.
(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. 1051.245). 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

[[Page 54914]]

subpart B of this part. Show emission figures before and after applying
deterioration factors for each vehicle or engine. If we specify more
than one grade of any fuel type (for example, a summer grade and winter
grade of gasoline), you need to submit test data only for one grade,
unless the regulations of this part specify otherwise for your engine.
(2) Present evaporative test data for HC 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 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 part 1068 of this chapter related to requests
for exemptions.
216. 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. 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]

217. Section 1051.215 is removed.
218. 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.
219. 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

[[Page 54915]]

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 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 after the start of production.
You may not apply the higher FEL to engines you have already introduced
into commerce. Use the appropriate FELs with corresponding sales
volumes to calculate your average emission level, as described in
subpart H of this part. In your request, you must demonstrate that you
will still be able to comply with the applicable 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.
220. 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 families are limited to a single model year.
(b) For exhaust emissions, group vehicles in the same engine family
if they are the same in all the following aspects:
(1) The combustion cycle.
(2) The cooling system (water-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 the same and fuel lines are the same
considering all the following aspects:
(1) Wall thickness.
(2) Type of material (including additives such as pigments,
plasticizers, and UV inhibitors).
(3) Emission-control strategy.
(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.
221. 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, after treatment 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 that testing 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

[[Page 54916]]

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 anything we do not
consider an adjustable parameter.
(d) You 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 requirements that 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 new tests, 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 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.
(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 required to 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 fuel tanks, 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 use
test 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.
222. 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 represent the
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 less than 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
adding the 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, apply the deterioration factor to each
pollutant and then add the results before rounding.
223. 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 us these 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

[[Page 54917]]

deterioration for the engine family for 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 testing to 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 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) 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 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.
224. 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 representing that family has test results showing a
deteriorated emission level above the standard.
(c) To compare emission levels with the emission standards, apply
deterioration factors to the measured emission levels. For permeation
emissions, use the following procedures to 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) represent the 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.
* * * * *
225. 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 standard tests, 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.
226. Section 1051.255 is revised to read as follows:

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

(a) If we determine your application is complete and shows that the
engine family meets all the requirements of this part and the 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.

[[Page 54918]]

(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 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. 1051.820).
227. The heading for subpart D is revised to read as follows:

Subpart D--Testing Production-line Vehicles and Engines

228. 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 they are
certified without participating in the averaging, banking, and trading
program described in subpart H of this part:
(1) Phase 1 or Phase 2 standards in Sec. 1051.103.
(2) Phase 1 standards in Sec. Sec. 1051.105.
(3) Phase 1 standards in Sec. 1051.107.
(4) The standards in Sec. 1051.615.
(5) The standards in Sec. 1051.145(b).
229. 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 to substitute results of the new tests for
the original ones. You must ask us within ten days of testing. We will
generally answer within ten days after we receive your information.
230. Section 1051.310 is amended by revising paragraphs (c)
introductory text, (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]
TP10SE04.003

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, [sigma], for the test sample
using the following formula:
[GRAPHIC]
[TIFF OMITTED]
TP10SE04.004

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.
(4) You test five engines and one percent of your projected annual
U.S.-directed production volume for the engine family.

[[Page 54919]]

(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.
231. 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.
* * * * *
232. Section 1051.345 is amended by revising paragraphs (a)
introductory text, (a)(5), and (a)(10) 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.
* * * * *
233. Section 1051.350 is amended by revising paragraph (a)
introductory text 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.
* * * * *
234. Section 1051.501 is amended by revising the introductory text
and paragraphs (a) and (b) 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 used 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 part 1065 of this chapter 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 using the dilute sampling procedures in 40 CFR part
1065. For steady-state testing, you may use raw-gas sampling methods
(such as those described in 40 CFR part 91), as long as they have been
shown to produce measurements equivalent to the dilute sampling methods
specified in 40 CFR part 1065. 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 referenced in 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 40 CFR 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 and ATVs 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.
* * * * *
(e) * * *
(3) You may test engines using a test speed based on the point of
maximum power if that represents in-use operation better than testing
based on maximum test speed.
* * * * *
235. Section 1051.505 is amended by revising paragraph (a) before
the table and paragraphs (b)(3), (e), and (f) introductory text to read
as follows:

Sec. 1051.505 What special provisions apply for testing snowmobiles?

(a) Measure emissions by testing the engine on a dynamometer with
the following duty cycle to determine whether it meets the emission
standards in Sec. 1051.103:
* * * * *
(b) * * *
(3) Keep engine torque under 5 percent of maximum test torque.
* * * * *
(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):
* * * * *
236. Section 1051.515 is amended by revising paragraphs (a)(5) and
(b) 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 would 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 test to 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.

[[Page 54920]]

(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 an R-squared value below 0.8.
(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 31760.2 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.
* * * * *
237. 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 performed to establish deterioration factors for an engine
family.
238. 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 under
this 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 may install an engine certified for the appropriate
model year under 40 CFR part 86 or 1048 in a recreational vehicle as
long as the engine has been properly labeled as specified in paragraphs
(d)(4) through (6) of this section and you do not make any of the
changes described in paragraph (d)(2) 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 40 CFR 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 manufacturer and
meet all the following criteria and requirements regarding your new
engine, 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:
(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 model's
total sales for the model year, from all companies, are used in
recreational vehicles, 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 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 A RECREATIONAL USE
WITHOUT 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 is installed in the vehicle or, if

[[Page 54921]]

the vehicle obscures the engine's emission control information label,
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 models you expect to produce under this
exemption in the coming year.
(iii) State: ``We produce each listed engine 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
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.
239. 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
motorcycles that 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 the recreational vehicle
has the labels specified in paragraphs (d)(4) through (6) of this
section and you do not make any of the changes described in paragraph
(d)(2) 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 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 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, 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 under this 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 emissions if it is subject to
evaporative-emission standards. For example, if you make any of the
following changes, you do not qualify for this exemption:
(i) Change any fuel system parameters from the certified
configuration.
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the vehicle
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original vehicle
manufacturer's specified ranges.
(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 total sales as
a motor vehicle or a recreational vehicle, from all companies, are used
in recreational vehicles, 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 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 RECREATIONAL USE
WITHOUT 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

[[Page 54922]]

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.
240. Section 1051.615 is amended by revising paragraphs (a)
introductory text and (b) introductory text, redesignating paragraph
(e) as paragraph (f), and adding a new paragraph (e) 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 cc to 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:
* * * * *
(e) For ATVs certified to the standards in this section, use the
following equation to determine the normalized emission rate required
by Sec. 1051.135(g):
NER = 0.250 x log(HC + NO_X) = 0.250
Where:
HC +NO_X is the sum of the cycle-weighted emission rates
for hydrocarbons and oxides of nitrogen in g/kW-hr.
* * * * *
241. 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).
* * * * *
242. A new Sec. 1051.645 is added 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.
243. 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 to 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 emission regulations for that model year. For
example, you may not include vehicles sold in California if it has
emission standards for these engines, and you may not include vehicles
sold in other states that adopt California's emission standards under
Clean Air Act section 177.
(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. This applies
for all testing, including certification testing, in-use testing,
selective enforcement audits, and other production-line testing.
However, if emissions from an engine exceed an FEL or standard (for
example, during a selective enforcement audit),

[[Page 54923]]

you may use emission credits to recertify the engine family with a
higher FEL that applies only to future production.
(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. The
new FEL may apply only to engines you have not already introduced into
commerce.
244. Section 1051.705 is amended by revising paragraphs (a) and (b)
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.
* * * * *
(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.
245. 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.
246. 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.
247. Section 1051.720 is amended by revising paragraphs (a)(2) and
(a)(3) 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]
TP10SE04.078

Where:

Production _i = The number of vehicles in the engine family
times the average internal surface area of the vehicles' fuel tanks.
* * * * *
248. 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

[[Page 54924]]

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.
249. 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.
250. 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.
251. A new Sec. 1051.740 is added 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

[[Page 54925]]

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.
252. A new Sec. 1051.745 is added 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, 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).
253. Section 1051.801 is revised to read as follows:

Sec. 1051.801 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.
All-terrain vehicle means a land-based or amphibious nonroad
vehicle that meets the criteria listed in paragraph (1) of this
definition; or, alternatively the criteria of paragraph (2) of this
definition but not the criteria of paragraph (3) of this definition:
(1) Vehicles designed to travel on four low pressure tires, having
a seat designed to be straddled by the operator and handlebars for
steering controls, and intended for use by a single operator and no
other passengers are all-terrain vehicles.
(2) Other all-terrain vehicles have three or more wheels and one or
more seats, are designed for operation over rough terrain, are intended
primarily for transportation, and have a maximum vehicle speed of 25
miles per hour or higher. Golf carts generally do not meet these
criteria since they are generally not designed for operation over rough
terrain.
(3) Vehicles that meet the definition of ``offroad utility
vehicle'' in this section are not all-terrain vehicles. However, Sec.
1051.1(a) specifies that some offroad utility vehicles are required to
meet the same requirements as all-terrain vehicles.
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.
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 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

[[Page 54926]]

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 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 1051 or
in 40 CFR part 1068. Exempted engines are deemed to be ``subject to''
the standards of this 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 4 standards may be
required to comply with Tier 3 standards.
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 containing either liquid fuel
or fuel vapor, including hoses or tubing that deliver fuel to the
engine, fuel hoses or tubing on the engine, hoses or tubing for the
filler neck, hoses or tubing connecting dual fuel tanks, and hose or
tubing connecting a fuel tank to a carbon canister.
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 diesel fuel or
natural gas. There can be multiple grades within a single fuel type,
such as high-sulfur or low-sulfur diesel fuel.
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 100 hours or 1,000 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 90.2
Maximum test power means the maximum brake power of an engine at
test conditions.
Maximum test speed has the meaning we give in 40 CFR 1065.1001.
Maximum test torque has the meaning we give in 40 CFR 1065.1001.
Model year means one of the following things:
(1) For freshly manufactured vehicles (see definition of ``new,''
paragraph (1)), model year means one of the following:
(i) Calendar year.
(ii) Your annual new model production period if it is different
than the calendar year. This must include January 1 of the calendar
year for which the model year is named. It may not begin before January
2 of the previous calendar year and it must end by December 31 of the
named calendar year.
(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 we give in 40 CFR 85.1703(a). In
general,

[[Page 54927]]

motor vehicle means any vehicle that EPA deems to be capable of safe
and practical use on streets or highways that has a maximum ground
speed above 40 kilometers per hour (25 miles per hour) over level,
paved surfaces.
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 we give in 40 CFR 1068.30. In
general this means all internal-combustion engines except motor-vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft.
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 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.)
Oxides of nitrogen has the meaning we give in 40 CFR part 1065.
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 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 we give in 40 CFR 1068.30.
Round means to round numbers according to NIST Special Publication
811 (incorporated by reference in Sec. 1051.810), 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

[[Page 54928]]

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 we give 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.
United States has the meaning we give 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 United States.
Useful life means the period during which a vehicle is required to
comply with all applicable emission standards, specified as a number of
kilometers, hours, and/or calendar years. If an engine has no hour
meter, disregard any specified value for useful life in hours. If an
engine has no odmeter, disregard any specified value for useful life in
kilometers. 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 we give 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.
254. Section 1051.805 is amended by adding ``CFR'', ``HC'', and
``NIST'' 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.
NIST--National Institute of Standards and Technology.
255. 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 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. 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
Rubber Property--Vapor Transmission of Volatile Liquids...
------------------------------------------------------------------------

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

[[Page 54929]]

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.............
------------------------------------------------------------------------

(c) NIST material. Table 3 of this section lists material from the
National Institute of Standards and Technology 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 Government Printing Office, Washington, DC 20402 or download
them from the Internet at http://physics.nist.gov/
Pubs/SP811/. Table 3 follows:

Table 3 of Sec. 1051.810--NIST Materials
------------------------------------------------------------------------
Part 1051
Document number and name reference
------------------------------------------------------------------------
NIST Special Publication 811, Guide for the Use of the 1051.801
International System of Units (SI), 1995 Edition..........
------------------------------------------------------------------------

256. Section 1051.815 is revised to read as follows:

Sec. 1051.815 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.
257. Section 1051.820 is revised to read as follows:

Sec. 1051.820 How do I request a hearing?

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 Dynamometers and operator demand.
1065.120 Fuel properties and fuel temperature and pressure.
1065.122 Engine fluids, heat rejection, and engine accessories.
1065.125 Engine intake air.
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 recording and control.
1065.205 Performance specifications for measurement instruments.

MEASUREMENT OF ENGINE PARAMETERS AND AMBIENT CONDITIONS

1065.210 Speed and torque transducers.
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.
1065.274 Zirconia (ZrO₂) analyzer.

O₂ MEASUREMENTS

1065.280 Paramagnetic detection analyzer.
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 Performance Checks
1065.301 Overview and general provisions.
1065.303 Summary of required calibration and performance checks
1065.305 Performance checks for accuracy, repeatability, and noise.
1065.307 Linearity check.
1065.308 Continuous gas analyzer system response check.

MEASUREMENT OF ENGINE PARAMETERS AND AMBIENT CONDITIONS

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

[[Page 54930]]

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 (i.e., propane check).
1065.345 Vacuum-side leak check.

CO AND CO₂ MEASUREMENTS

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

HYDROCARBON MEASUREMENTS

1065.360 FID optimization and performance checks.
1065.362 Raw exhaust FID O₂ interference check.
1065.365 Nonmethane cutter penetration fractions determination.

NO_X MEASUREMENTS

1065.370 CLD CO₂ and H₂O quench check.
1065.372 NDUV analyzer NMHC and H₂O interference check.
1065.374 ZrO₂ NO_X analyzer NH₃
interference and NO₂ response checks.
1065.376 Chiller NO₂ penetration.
1065.378 NO₂-to-NO converter conversion check.

PM MEASUREMENTS

1065.390 PM balance and weighing process performance check.
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--Running 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 Constituent 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.
1065.605 Field test system overall performance check.
1065.610 Test cycle generation.
1065.630 1980 international gravity formula.
1065.640 PDP and venturi (SSV and CFV) calibration calculations.
1065.642 SSV, CFV, and PDP 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.
1065.657 Drift validation and correction.
1065.658 Noise correction.
1065.659 Removed water correction.
1065.660 THC and NMHC determination.
1065.665 THCE and NMHCE determination.
1065.667 Dilution air background emission correction.
1065.670 NO_X intake-air humidity correction.
1065.672 CLD quench check calculations.
1065.690 PM sample media buoyancy correction.
1065.695 Data requirements.
Subpart H--Engine Fluids, Test Fuels, and Analytical Gases
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.
1065.810 Calculations.
Subpart J--Field Testing
1065.901 Applicability.
1065.905 General provisions.
1065.910 Field-testing equipment.
1065.915 Measurement instruments.
1065.920 Calibrations and performance checks.
1065.925 Measurement equipment and analyzer preparation.
1065.930 Engine starting, restarting, and shutdown.
1065.935 Emission test sequence.
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 2008 and later heavy-duty highway engines we
regulate under 40 CFR part 86. For model years 2006 and 2007,
manufacturers may use the test procedures in this part or those
specified in 40 CFR part 86, subpart N.
(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.

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

[[Page 54931]]

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 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 constituents do I need to measure?
(4) Does testing require full-flow dilute sampling? Is raw sampling
acceptable? Is partial-flow sampling acceptable?
(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?
(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 or
This subpart. . . procedures. . .
------------------------------------------------------------------------
Subpart A.................... Applicability and general provisions.
Subpart B.................... Equipment for testing.
Subpart C.................... Measurement instruments for testing.
Subpart D.................... Calibration and performance checks 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 do field testing of in-use
vehicles.
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 all 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:
(1) The procedures in this part are intended 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. If good engineering judgment indicates that
use of the procedures in this part for an engine would result in
measurements that do not represent in-use operation, you must notify
us. If we determine that using these procedures would result in
measurements that are significantly unrepresentative and that changing
the procedures would result in more representative measurements--and
not decrease the stringency of emission standards--we will specify
changes to the procedures. In your notification to us, you should
recommend specific changes you think are necessary.
(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.
The following situations illustrate examples that may require
special procedures:
(i) Your engine cannot operate on the specified duty cycle. In this
case, tell us in writing why you cannot satisfactorily test your engine
using this part's procedures and ask to use a different approach.
(ii) Your electronic control module requires specific input signals
that are not available during dynamometer testing. In this case, tell
us in writing what signals you will simulate, such as vehicle speed or
transmission signals, and explain why these signals are necessary for
representative testing.
(3) In a given model year, you may use procedures required for
later model year engines without request. If you upgrade your testing
facility in stages, you may rely on a combination of procedures for
current and later model year engines as long as you can ensure, using
good engineering judgment, that any combination you use does not affect
your ability to show compliance with the applicable emission standards.

[[Page 54932]]

(4) In a given model year, you may ask to use procedures allowed
for earlier model year engines. We will approve this only if you show
us that using the procedures allowed for earlier model years does not
affect your ability to show compliance with the applicable emission
standards.
(5) You may ask to use emission data collected using other
procedures, such as those of the California Air Resources Board or the
International Organization for Standardization. We will approve this
only if you show us that using these other procedures does not affect
your ability to show compliance with the applicable emission standards.
(6) You may request to use alternate procedures that are equivalent
to allowed procedures. Follow the instructions in Sec. 1065.12. We
will consider alternate procedures equivalent if they are more accurate
or more precise than allowed procedures. You may request to use a
particular device or method for laboratory testing even though it was
originally designed for field testing. We may approve your request by
telling you directly, or we may issue guidance announcing our approval
of a specific alternate procedure, which would make additional requests
for approval unnecessary.
(d) If we require you to request approval to use other procedures
under paragraph (c) of this section, you may not use them until we
approve your request.

Sec. 1065.12 Approval of alternate procedures.

(a) To get approval for an alternate procedure under Sec.
1065.10(c) where necessary, send the Designated Compliance Officer an
initial written request describing the alternate procedure and why you
believe it is equivalent to the specified procedure. We may approve
your request based on this information alone, or, as described in this
section, we may ask you to submit additional information showing that
the alternate procedure is consistently and reliably equivalent to the
specified procedure.
(b) We may make our approval under this section conditional upon
meeting other requirements or specifications. We may limit our approval
to certain time frames, specific types of engines, specific duty
cycles, or specific emission standards.
(c) Although we will make every effort to approve only alternate
procedures that completely meet our requirements, we may revoke our
approval of an alternate procedure if new information shows that it is
significantly not equivalent to the specified procedure. If we do this,
we will grant time to switch to testing using an allowed procedure,
considering the following factors:
(1) The cost, difficulty, and availability to switch to a procedure
that we allow.
(2) The degree to which the alternate procedure affects your
ability to show that your engines comply with all applicable emission
standards.
(3) Any relevant factors considered in our original approval.
(d) If we do not approve your proposed alternate procedure based on
the information in your initial request, we may ask you to send the
following information to fully evaluate your request:
(1) Theoretical basis. Give a brief technical description
explaining why you believe the proposed alternate procedure should
result in emission measurements equivalent to those using the specified
procedure. You may include equations, figures, and references. You
should consider the full range of parameters that may affect
equivalence. For example, for a request to use a different
NO_X measurement procedure, you should theoretically relate
the alternate detection principle to the specified detection principle
over the expected concentration ranges for NO, NO₂, and
interference gases. For a request to use a different PM measurement
procedure, you should explain the principles by which the alternate
procedure quantifies particulate mass independent of PM size and
composition, and how it is affected by changes in semi-volatile phase
distribution. For any proportioning or integrating procedure, such as a
partial-flow dilution system, you should compare the alternate
procedure's theoretical response to the expected response under the
specified procedure.
(2) Technical description. Describe briefly any hardware or
software needed to perform the alternate procedure. You may include
dimensioned drawings, flowcharts, schematics, and component
specifications. Explain any necessary calculations or other data
manipulation.
(3) Procedure execution. Describe briefly how to perform the
alternate procedure and suggest a level of training an operator should
have to achieve acceptable results. Summarize the installation,
calibration, operation, and maintenance procedures in a step-by-step
format. Describe how any calibration is performed using NIST-traceable
standards or other similar standards we approve. Calibration must be
specified by using known quantities and must not be specified by
comparing with other allowed procedures.
(4) Data-collection techniques. Compare measured emission results
using the proposed alternate procedure and the specified procedure, as
follows:
(i) Both procedures must be calibrated independently to NIST-
traceable standards or to other similar standards we approve.
(ii) Include measured emission results from all applicable duty
cycles. Measured emission results should show that the test engine
meets all applicable emission standards according to specified
procedures.
(iii) Use statistical methods to evaluate the emission
measurements, such as those described in paragraph (e) of this section.
(e) We may give you specific directions regarding methods for
statistical analysis, or we may approve other methods that you propose.
Absent any other directions from us, you may use a t-test and an F-test
calculated according to Sec. 1065.602 to evaluate whether your
proposed alternate procedure is equivalent to the specified procedure.
We recommend that you consult a statistician if you are unfamiliar with
these statistical tests. Perform the tests as follows:
(1) Repeat measurements for all applicable duty cycles at least
seven times for each procedure. You may use laboratory duty cycles to
evaluate field-testing procedures. Be sure to include all available
results to evaluate the precision and accuracy of the proposed
alternate procedure, as described in Sec. 1065.2.
(2) Demonstrate the accuracy of the proposed alternate procedure by
showing that it passes a two-sided t-test. Use an unpaired t-test,
unless you show that a paired t-test is appropriate under both of the
following provisions:
(i) For paired data, the population of the paired differences from
which you sampled paired differences must be independent. That is, the
probability of any given value of one paired difference is unchanged by
knowledge of the value of another paired difference. For example, your
paired data would violate this requirement if your series of paired
differences showed a distinct increase or decrease that was dependent
on the time at which they were sampled.
(ii) For paired data, the population of paired differences from
which you sampled the paired differences must have a normal (i.e.,
Gaussian) distribution. If the population of paired difference is not
normally distributed, consult a statistician for a more appropriate
statistical test, which may include transforming the data with a

[[Page 54933]]

mathematical function or using some kind of non-parametric test.
(3) Show that t is less than the critical t value,
t_crit, tabulated in Sec. 1065.602, for the following
confidence intervals:
(i) 90% for a proposed alternate procedure for laboratory testing.
(ii) 95% for a proposed alternate procedure for field testing.
(4) Demonstrate the precision of the proposed alternate procedure
by showing that it passes an F-test. Use one sample from the reference
procedure and one sample from the alternate procedure to perform an F-
test. The samples must meet the following requirements:
(i) Within each sample, the values must be independent. That is,
the probability of any given value in a sample must be unchanged by
knowledge of another value in that sample. For example, your data would
violate this requirement if your series of values from one of the
samples showed a distinct increase or decrease that was dependent on
the time at which they were sampled.
(ii) For each sample, the population of values from which you
sampled must have a normal (i.e., Gaussian) distribution. If the
population of values is not normally distributed for each sample,
consult a statistician for a more appropriate statistical test, which
may include transforming the data with a mathematical function or using
some kind of non-parametric test.
(iii) The two samples must be independent of each other. That is,
the probability of any given value in one sample must be unchanged by
knowledge of another value in the other sample. For example, your data
would violate this requirement if one sample showed a distinct increase
or decrease that was dependent on a value in the other sample. Note
that a trend of emission changes from an engine would not violate this
requirement.
(iv) If you collect paired data for the paired t-test in paragraph
(e)(2) in this section, you may select some subsets of that data for
the F-test. If you do this, select subsets that do not mask the
precision of the measurement procedure. We recommend selecting such
subsets from data collected using the same engine, measurement
instruments, and test cycle.
(5) Show that F is less than the critical F value,
F_crit, tabulated in Sec. 1065.602. If you have several F-
test results from several subsets of data, show that the mean F-test
value is less than the mean critical F value for all the subsets.
Evaluate F_crit, based on the following confidence intervals:
(i) 90% for a proposed alternate procedure for laboratory testing.
(ii) 95% for a proposed alternate procedure for field testing.

Sec. 1065.15 Overview of procedures for laboratory and field testing.

This section outlines the procedures to test engines that are
subject to emission standards.
(a) In the standard-setting part, we set brake-specific emission
standards in g/kW.hr (or g/hp.hr), for the following constituents:
(1) Total oxides of nitrogen, NO_X.
(2) Hydrocarbons (HC), which may be expressed in the following
ways:
(i) Total hydrocarbons, THC.
(ii) Nonmethane hydrocarbons, NMHC, which results from subtracting
methane (CH₄) from THC.
(iii) Total hydrocarbon-equivalent, THCE, which results from
adjusting THC mathematically to be equivalent on a carbon-mass basis.
(iv) Nonmethane hydrocarbon-equivalent, NMHCE, which results from
adjusting NMHC mathematically to be equivalent on a carbon-mass basis.
(3) Particulate mass, PM.
(4) Carbon monoxide, CO.
(b) Note that some engines are not subject to standards for all the
emission constituents identified in paragraph (a) of this section.
(c) We set brake-specific emission standards over test intervals,
as follows:
(1) Engine operation. Engine operation is specified over a test
interval. A test interval is the time over which an engine's total mass
of emissions and its total work are determined. Refer to the standard-
setting part for the specific test intervals that apply to each engine.
Testing may involve measuring emissions and work under the following
types of engine operation:
(i) Laboratory testing. Under this type of testing, you determine
brake-specific emissions for duty-cycle testing with an engine and
dynamometer in a laboratory. This typically consists of one or more
test intervals, each defined by a sequence of speeds and torques, which
an engine must follow. If the standard-setting part allows it, you may
also simulate field testing by running an engine on a dynamometer in a
laboratory.
(ii) Field testing. This type of testing consists of normal in-use
engine operation while an engine is installed in a vehicle.
(2) Constituent determination. Determine the total mass of each
constituent over a test interval by selecting from the following
methods:
(i) Continuous sampling. In continuous sampling, measure the
constituent's concentration continuously from raw or dilute exhaust.
Multiply this concentration by the corresponding (synchronous) flow
rate of the raw or dilute exhaust from which it is sampled to determine
the constituent's flow rate. Integrate the constituent's flow rate
continuously over the test interval to determine the total mass of the
emitted constituent.
(ii) Batch sampling. In batch sampling, continuously extract and
store a sample of raw or dilute exhaust for later measurement. Extract
a sample proportional to the raw or dilute exhaust flow rate. You may
extract and store a proportional sample of exhaust in an appropriate
container, such as a bag, and then measure HC, CO, and NO_X
concentrations in the container after the test interval. You may
deposit PM from proportionally extracted exhaust onto an appropriate
substrate, such as a filter. In this case, divide the PM by the amount
of filtered exhaust to calculate the PM concentration. Multiply batch
sampling amounts by the total flow (raw or dilute) from which it was
extracted during the test interval. This product is the total mass of
the emitted constituent.
(iii) You may use continuous and batch sampling simultaneously
during a test interval, as follows:
(A) You may use continuous sampling for some constituents and batch
sampling for others.
(B) You may use continuous and batch sampling for a single
constituent, with one being a redundant measurement. See Sec. 1065.201
for more information on redundant measurements.
(3) Work determination. Determine work over a test interval by one
of the following methods:
(i) Speed and torque. For laboratory testing, synchronously
multiply speed and brake torque to calculate instantaneous values for
engine brake power. Integrate engine brake power over a test interval
to determine total work.
(ii) Fuel consumed and brake-specific fuel consumption. Directly
measure fuel consumed or calculate it with chemical balances of the
fuel, intake air, and exhaust. To calculate fuel consumed by a chemical
balance, you must also measure either intake-air flow rate or exhaust
flow rate. Divide the fuel consumed during a test interval by the
brake-specific fuel consumption to determine work over the test
interval. For laboratory testing, calculate the brake-specific fuel
consumption using fuel consumed and speed and torque over a test
interval. For field testing, refer to the standard-setting part and

[[Page 54934]]
Sec. 1065.915 for selecting an appropriate value for brake-specific
fuel consumption.
(d) Refer to Sec. 1065.650 for calculations to determine brake-
specific emissions.
(e) See Figure 1 of Sec. 1065.15 for an illustration of the
default laboratory measurement configuration and the other allowed
measurement configurations described in this part 1065.
BILLING CODE 6560-50-P
[GRAPHIC]
[TIFF OMITTED]
TP10SE04.005

BILLING CODE 6560-50-C

Sec. 1065.20 Units of measure and overview of calculations.

(a) System of units. The procedures in this part generally follow
the International System of Units (SI), as detailed in NIST Special
Publication 811, 1995 Edition, ``Guide for the Use of the International
System, of Units (SI),'' which we incorporate by reference in Sec.
1065.1010. This document is available on the Internet at
http://physics.nist.gov/Pubs/SP811/contents.html. Note
the following exceptions:

[[Page 54935]]

(1) We designate rotational frequency of an engine's crankshaft in
revolutions per minute (rev/min), rather than the SI unit of reciprocal
seconds (1/s). This is based on the commonplace use of rev/min in many
engine dynamometer laboratories. Also, we use the symbol f_n
to identify rotational frequency in rev/min, rather than the SI
convention of using n. This avoids confusion with our usage of the
symbol n for a molar quantity.
(2) We designate brake-specific emissions in grams per kilowatt-
hour (g/kW.hr), rather than the SI unit of grams per megajoule (g/MJ).
This is based on the fact that engines are generally subject to
emission standards expressed in g/kW.hr. If we specify engine standards
in grams per horsepower.hour (g/hp.hr) in the standard-setting part,
convert units as specified in paragraph (d) of this section.
(3) We designate temperatures in units of degrees Celsius ([deg]C)
unless a calculation requires an absolute temperature. In that case, we
designate temperatures in units of Kelvin (K). For conversion purposes
throughout this part, 0 [deg]C equals 273.15 K.
(b) Concentrations. This part does not rely on amounts expressed in
parts per million or similar units. Rather, we express such amounts in
the following SI units:
(1) For ideal gases, [micro]mol/mol, formerly ppm (volume).
(2) For all substances, [micro]m3/m3,
formerly ppm (volume).
(3) For all substances, mg/kg, formerly ppm (mass).
(c) Absolute pressure. Measure absolute pressure directly calculate
it as the sum of barometric pressure plus a differential pressure that
is referenced to barometric pressure.
(d) Units conversion. Use the following conventions to convert
units:
(1) Testing. You may record values and perform calculations with
other units. For testing with equipment that involves other units, use
the conversion factors from NIST Special Publication 811, as described
in paragraph (a) of this section.
(2) Humidity. In this part, we identify humidity levels by
specifying dewpoint, which is the temperature at which pure water
begins to condense out of air. Use humidity conversions as described in
Sec. 1065.645.
(3) Emission standards. For engines that are subject to emission
standards in other units, see Sec. 1065.650 to convert emission
results for comparison to emission standards.
(e) Rounding. Round only final values, not intermediate values.
Round values based on the number of significant figures necessary to
match the applicable standard or specification.
(f) Interpretation of ranges. In this part, we specify ranges such
as ``±10 % of maximum pressure'', ``(40 to 50) kPa'', or
``(30 ±10) kPa''. Interpret a range as a tolerance unless we
explicitly identify it as an accuracy, repeatability, linearity, or
noise specification. See Sec. 1065.1001 for the definition of
Tolerance.
(g) Scaling of specifications with respect to a standard. Because
this part 1065 is applicable to a wide range of engines, some of the
specifications in this part are scaled with respect to an engine's
emission standard or maximum power. This ensures that the specification
will be adequate to determine compliance, but not overly burdensome by
requiring unnecessarily high-precision equipment. Many of these
specifications are given with respect to a ``flow-weighted average''
that is expected at the standard. Flow-weighted average means the
average of a quantity after it is weighted proportional to a
corresponding flow rate. For example, if a gas concentration is
measured continuously from the raw exhaust of an engine, its flow-
weighted average concentration is the sum of the products of each
recorded concentration times its respective exhaust flow rate, divided
by the number of recorded values. As another example, the bag
concentration from a CVS system is the same as the flow-weighted
average concentration, because the CVS system itself flow-weights the
bag concentration.

Sec. 1065.25 Recordkeeping.

The procedures in this part include various requirements to record
data or other information. Refer to the standard-setting part regarding
recordkeeping requirements. If the standard-setting part does not
specify recordkeeping requirements, store these records in any format
and on any media and keep them readily available for one year after you
send an associated application for certification, or one year after you
generate the data if they do not support an application for
certification. You must promptly send us organized, written records in
English if we ask for them. We may review them at any time.

Subpart B--Equipment Specifications

Sec. 1065.101 Overview.

(a) This subpart specifies equipment, other than measurement
instruments, related to emission testing. This includes three broad
categories of equipment--dynamometers, engine fluids and systems, and
emission-sampling hardware. Figure 1 of Sec. 1065.101 illustrates the
equipment specified in this subpart.
(b) Other related subparts in this part identify measurement
instruments (subpart C), describe how to evaluate the performance of
these instruments (subpart D), and specify engine fluids and analytical
gases (subpart H).
(c) Subpart J of this part describes additional equipment that is
specific to field testing.
BILLING CODE 6560-50-P

[[Page 54936]]

[GRAPHIC]
[TIFF OMITTED]
TP10SE04.006

[[Page 54937]]

BILLING CODE 6560-50-C

Sec. 1065.110 Dynamometers and operator demand.

(a) Dynamometers. Use an engine dynamometer that is able to meet
the cycle validation criteria in Sec. 1065.514 over each applicable
duty cycle.
(1) Eddy-current and water-brake dynamometers may generally be used
for any testing that does not involve engine motoring, which is
identified by negative torque commands in a duty cycle.
(2) Alternating-current and direct-current motoring dynamometers
may generally be used for any type of testing.
(3) A combination of dynamometers may be used in series.
(b) Operator demand. Command the operator demand and the
dynamometer to follow the prescribed duty cycle with set points for
engine speed and torque at 5 Hz or more frequently. Use a mechanical or
electronic input to control operator demand such that the engine is
able to meet the validation criteria in Sec. 1065.514 over each
applicable duty cycle. Record feedback values for engine speed and
torque at 5 Hz or more frequently for evaluating performance relative
to the cycle validation criteria. Using good engineering judgment, you
may improve control of operator demand by altering on-engine speed and
torque controls. However, if these changes result in unrepresentative
testing, you must notify us and recommend other test procedures under
Sec. 1065.10(c)(2).

Sec. 1065.120 Fuel properties and fuel temperature and pressure.

(a) Use fuels as specified in subpart H of this part.
(b) If the engine manufacturer specifies fuel temperature and
pressure tolerances at the inlet to the fuel injection pump or other
location, measure this fuel temperature and pressure to show that you
stay within the tolerances throughout testing.

Sec. 1065.122 Engine fluids, heat rejection, and engine accessories.

(a) Lubricating oil. Use lubricating oils specified in Sec.
1065.740.
(b) Engine cooling. Cool the engine during testing so its intake-
air, oil, coolant, block, and head temperatures are within their
expected ranges for normal operation. Measure temperatures at the
manufacturer-specified locations. You may use auxiliary engine fans
subject to the provisions of paragraph (c) of this section. For liquid-
cooled engines, use coolant as specified in Sec. 1065.745.
(c) Engine accessories. You may install or simulate the load of
engine accessories required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
Operate the engine with these accessories installed or simulated during
all testing operations, including mapping. If these accessories are not
powered by the engine during a test, subtract the work required to
perform these functions from the total work used in brake-specific
emission calculations. Subtract engine-fan work from total work only
for air-cooled engines.
(d) Engine starter. You may install a production-type starter.

Sec. 1065.125 Engine intake air.

(a) Use the intake-air system installed on the engine or one that
represents a typical in-use configuration.
(b) Measure temperature, humidity, and barometric pressure near the
entrance to the engine's air filter, or at the inlet to the air intake
system for engines that have no air filter. You may use a central
laboratory barometer as long as your equipment for handling intake air
maintains ambient pressure where you test the engine within 1 % of the
central laboratory barometer pressure. You may use a single humidity
measurement for intake air from a shared air handler instead of a local
intake-air humidity measurement.
(c) Use an air-intake restriction that represents production
engines. Make sure the intake-air restriction is between the
manufacturer's specified maximum for a clean filter and the
manufacturer's specified maximum allowed. Measure this value at the
location and at the speed and torque set points specified by the
manufacturer. As the manufacturer, you are liable for emission
compliance for all values up to the maximum restriction you specify for
a particular engine.
(d) If you simulate charge-air cooling, use a laboratory charge-air
cooling system with a total intake-air capacity that represents
production engines' in-use installation. Maintain coolant conditions as
follows:
(1) Maintain a coolant temperature of at least 20 [deg]C at the
inlet to the charge-air cooler throughout testing.
(2) At maximum engine power, set the coolant flow rate to achieve
an air temperature within ±5 [deg]C of the value specified
by the manufacturer at the charge-air cooler outlet. Measure the air-
outlet temperature at the location specified by the manufacturer. Use
this coolant flow rate throughout testing, unless it prevents you from
being able to determine compliance with the applicable standards.

Sec. 1065.130 Engine exhaust.

(a) Use the exhaust system installed with the engine or one that
represents a typical in-use configuration. This includes any applicable
aftertreatment devices. If the exhaust system for testing is not one
that is installed with the engine, or if you add a length of exhaust
tubing to the installed exhaust system, observe the following
specifications:
(1) Position any aftertreatment device so its distance from the
nearest exhaust manifold flange or turbocharger outlet is within the
range specified by the engine manufacturer in the application for
certification. If this distance is not specified, position
aftertreatment devices to represent a typical vehicle configuration.
(2) Use exhaust tubing upstream of any aftertreatment device with a
diameter that represents a typical in-use configuration. Position each
aftertreatment device in the exhaust stream in a way that represents
production engines.
(3) Downstream of the outlet of the exhaust manifold, turbocharger
or last aftertreatment device, use tubing materials that are smooth-
walled, electrically conductive, and not reactive with exhaust
constituents. Stainless steel is an acceptable material. Minimize tube
lengths. Use thin-walled or air gap-insulated tubing to minimize
temperature differences between the wall and the exhaust. You may
install short sections of flexible tubing at connection points--up to
20 % of the total length of exhaust tubing.
(b) Use a length of up to 65 diameters of tubing from the outlet of
the exhaust manifold, turbocharger or last aftertreatment device to any
raw sampling probe or dilution stage. Insulate any length of exhaust
tubing beyond the first 25 diameters of length.
(c) You may insert instruments into the exhaust tubing, such as an
in-line smoke meter. If you do this, you may leave a length of up to 5
diameters of exhaust tubing uninsulated on each side of each
instrument, but you may leave a length of no more than 25 diameters of
tubing uninsulated in total, including any lengths adjacent to in-line
instruments.
(d) Electrically ground the entire exhaust system.
(e) Unless the standard-setting part specifies otherwise, you may
do forced cool-down of aftertreatment devices using good engineering
judgment to prepare for cold-start testing. For example, you may set up
a system to send cooling air through an aftertreatment system. In this
case, good engineering judgment would indicate that you should send
cooling air with a

[[Page 54938]]

temperature of at least 15 [deg]C in the normal direction of exhaust
flow, and that you should not start flowing cool air until the
aftertreatment system has cooled below its catalytic activation
temperature. For platinum group metal catalysts, this temperature is
about 200 [deg]C. In no case may you use a cooling procedure that
results in unrepresentative emissions (see Sec. 1065.10(c)(1)).
(f) Use an exhaust restriction that represents the performance of
production engines. Make sure the exhaust restriction is 80 % to 100 %
of the maximum exhaust restriction specified by the manufacturer.
Measure this value at the location and at the speed and torque set
points specified by the manufacturer. As the manufacturer, you are
liable for emission compliance for all values up to the maximum
restriction you specify for a particular engine.
(g) Route open crankcase emissions directly into the exhaust system
for emission measurement, as allowed by the standard-setting part, as
follows:
(1) Use tubing materials that are smooth-walled, electrically
conductive, and not reactive with crankcase emissions. Stainless steel
is an acceptable material. Minimize tube lengths. We also recommend
using heated or thin-walled or air gap-insulated tubing to minimize
temperature differences between the wall and the crankcase emission
constituents. You may install short sections of flexible tubing at
connection points--up to 20 % of the total length of crankcase exhaust
tubing.
(2) Use a length of crankcase exhaust tubing that does not exceed
the length of your engine exhaust tubing. Measure this from the exit of
the engine's crankcase system to the point where it enters the raw
exhaust tubing.
(3) Minimize the number of bends in the crankcase exhaust tubing
and maximize the radius of any unavoidable bend.
(4) Use crankcase exhaust tubing that meets the engine
manufacturer's specifications for crankcase back pressure.
(5) Connect the crankcase exhaust tubing into the raw exhaust
downstream of any aftertreatment system and downstream of any installed
exhaust restriction. Extend the crankcase exhaust tube into the free
stream of exhaust to avoid boundary-layer effects and to promote
mixing. The crankcase exhaust tube's outlet may be oriented in any
direction relative to the raw exhaust flow.

Sec. 1065.140 Dilution for gaseous and PM constituents.

(a) General. You may dilute exhaust with ambient air, synthetic
air, or nitrogen that is at least 15 [deg]C. Note that the composition
of dilution air affects some measurement instruments for gaseous
constituents. We recommend diluting exhaust at a location as close as
possible to the location where ambient air dilution would occur in use.
(b) Dilution-air conditions and background concentrations. You may
precondition the dilution air by increasing or decreasing its
temperature or humidity. You may also remove constituents to reduce
their background concentrations. The following provisions apply to
removing constituents or accounting for background concentrations:
(1) You may measure constituent concentrations in the dilution air
and compensate for their background effect on test results. Measure
these background concentrations the same way you measure diluted
exhaust constituents. See Sec. 1065.650 for calculations that
compensate for background concentrations.
(2) For measuring PM, we recommend that you filter all dilution
air, including primary full-flow dilution air, with high-efficiency
particulate air (HEPA) filters. Ensure that HEPA filters are installed
properly so that background PM does not leak past the HEPA filters. If
you correct for background PM instead of using HEPA filtration,
demonstrate that the background PM in the dilution air contributes less
than 50% to the net PM collected.
(c) Full-flow dilution; constant-volume sampling (CVS). You may
dilute the full flow of raw exhaust in a dilution tunnel that maintains
a nominally constant-volume flow rate of diluted exhaust, as follows:
(1) Construction. Use a tunnel with inside surfaces of 300 series
stainless steel. Electrically ground the entire dilution tunnel. We
recommend a thin-walled or air gap-insulated dilution tunnel to
minimize temperature differences between the wall and the exhaust
gases.
(2) Pressure control. Maintain the static pressure in the dilution
tunnel within 1 % of the barometric pressure at the location where raw
exhaust is introduced into the tunnel. You may use a booster blower to
control this pressure. If you show that your engines require more
careful pressure control in the dilution tunnel, we will maintain the
static pressure of the dilution tunnel within your specification as low
as 0.25% of barometric pressure when we test your engines.
(3) Mixing. Introduce raw exhaust into the tunnel by directing it
downstream along the centerline of the tunnel. You may introduce a
fraction of dilution air radially from the tunnel's inner surface to
minimize exhaust interaction with the tunnel walls. You may configure
the system with turbulence generators such as orifice plates or fins to
achieve good mixing. We recommend a minimum Reynolds number,
Re# of 4000 for the diluted exhaust stream, where
Re# is based on the diameter of the dilution tunnel.
Re# is defined in Sec. 1065.640.
(4) Flow measurement preconditioning. You may condition the diluted
exhaust before measuring its total flow rate, as long as this
conditioning takes place downstream of any sample probes, as follows:
(i) You may use flow straighteners, pulsation dampeners, or both of
these.
(ii) You may use a filter.
(iii) You may use a heat exchanger to control the temperature of
the diluted exhaust flow.
(5) Flow measurement. Section 1065.240 describes measurement
instruments for diluted exhaust flow.
(6) Aqueous condensation. You may either prevent aqueous
condensation throughout the dilution tunnel or you may measure humidity
at the flow-measurement inlet. Note that preventing aqueous
condensation involves more than keeping pure water in a vapor phase
(see Sec. 1065.1001). Calculations in Sec. 1065.650 account for
either method of addressing humidity in the diluted exhaust.
(7) Flow compensation. Maintain nominally constant molar flow of
diluted exhaust (in mol/s). Control temperature and pressure at the
flow meter or compensate for temperature-related or pressure-related
flow variations by directly controlling the flow of diluted exhaust or
by directly controlling the flow of proportional samplers. For an
individual test, validate proportional sampling as described in Sec.
1065.545.
(d) Partial-flow dilution (PFD). Except as specified in this
paragraph (d), you may dilute a partial flow of raw or previously
diluted exhaust before measuring emissions. Section 1065.240 describes
instrument specifications for PFD-related flow measurement. PFD may
consist of constant or varying dilution ratios as described in
paragraphs (d)(2) and (3) of this section.
(1) Exceptions. (i) You may not use PFD if the standard-setting
part does not allow it.
(ii) You may use PFD for extracting a proportional PM sample for
laboratory measurement over transient and ramped-modal duty cycles only
if we

[[Page 54939]]

have explicitly approved it as equivalent to the specified procedure
for full-flow CVS under Sec. 1065.10. Note that you may generally use
PFD to extract a proportional PM sample for laboratory measurement over
steady-state duty cycles and for any field-testing measurements.
(2) Constant dilution-ratio PFD. Do one of the following for
constant dilution-ratio PFD:
(i) Dilute an already proportional flow. For example, you may do
this as a way of performing secondary dilution from a CVS tunnel to
achieve temperature control for PM sampling.
(ii) Continuously measure constituent concentrations. For example,
you might dilute to precondition a sample of raw exhaust to control its
temperature, humidity, or constituent concentrations upstream of
continuous analyzers. In this case, you must take into account the PFD
dilution ratio before multiplying the continuous concentration by the
sampled exhaust flow rate.
(iii) Extract a proportional sample from the constant dilution
ratio PFD system. For example, you might use a variable-flow pump to
proportionally fill a gaseous storage medium such as a bag from a PFD
system. In this case, the proportional sampling must meet the same
specifications as varying dilution ratio PFD in paragraph (d)(3) of
this section.
(3) Varying dilution-ratio PFD. All the following provisions apply
for varying dilution-ratio PFD:
(i) Use a feedback control loop with sensors and actuators that can
maintain proportional sampling over intervals as short as 200 ms (i.e.,
5 Hz control).
(ii) For feedback input, you may use any continuous sensor output
from any measurement, including intake-air flow, fuel flow, exhaust
flow, engine speed, or intake manifold temperature and pressure.
(iii) You may use preprogrammed data or time delays if they have
been determined for the specific test site, duty cycle, and test engine
from which you dilute emissions.
(iv) We recommend that you run practice cycles to meet the
validation criteria in Sec. 1065.545. You must validate every emission
test by meeting the validation criteria with the data from that
specific test, not from practice cycles or other tests.
(v) You may not use a PFD system that requires preparatory tuning
or calibration with a CVS or with the emission results from a CVS.
(e) Dilution and temperature control of PM samples. Dilute PM
samples at least once upstream of transfer lines. You may dilute PM
samples upstream of a transfer line via full-flow dilution or via
partial-flow dilution immediately downstream of a PM probe. Control
sample temperature to (47 ±5) [deg]C, as measured anywhere
within 20 cm upstream or downstream of the PM storage media. Measure
this temperature with a bare-wire junction thermocouple with wires that
are (0.500 ±0.025) mm diameter, or with another suitable
instrument that has equivalent performance. Cool the PM sample
primarily by dilution.

Sec. 1065.145 Gaseous and PM probes, transfer lines, and sampling
system components.

(a) Continuous and batch sampling. Determine the total mass of each
constituent with continuous or batch sampling, as described in Sec.
1065.15(c)(2). Both types of sampling systems have probes, transfer
lines, and other sampling system components that are described in this
section.
(b) Gaseous and PM sample probes. A probe is the first fitting in a
sampling system. It protrudes into a raw or diluted exhaust stream to
extract a sample, such that its inside and outside surfaces are in
contact with the exhaust. A sample is transported out of a probe into a
transfer line, as described in paragraph (c) of this section. The
following provisions apply to probes:
(1) Probe design and construction. Use sample probes with inside
surfaces of 300 series stainless steel. Locate sample probes where
constituents are mixed to their mean sample concentration. Take into
account the mixing of any crankcase emissions that may be routed into
the raw exhaust. Locate each probe to minimize interference with the
upstream flow of other probes. We recommend that all probes remain free
from influences of boundary layers, wakes, and eddies--especially near
the outlet of a raw-exhaust tailpipe where unintended dilution might
occur. Make sure that purging or back-flushing of a probe does not
influence another probe during testing. You may use a single probe to
extract a sample of more than one constituent as long as the probe
meets all the specifications for each constituent.
(2) Gaseous sample probes. Use either single-port or multi-port
probes for sampling gaseous emissions. You may orient these probes in
any direction. For some probes, you must control sample temperatures,
as follows:
(i) For probes that extract NO_X from diluted exhaust,
control the probe's wall temperature to prevent aqueous condensation.
(ii) For probes that extract hydrocarbons for NMHC or NMHCE
analysis from the diluted exhaust of compression-ignition engines, 2-
stroke spark-ignition engines, or 4-stroke spark-ignition engines below
19 kW, maintain a probe wall temperature of (191 ± 11)
[deg]C.
(3) PM sample probes. Use PM probes with a single opening at the
end. Orient PM probes to face directly upstream. Do not shield a PM
probe's opening with a PM pre-classifier such as a hat. We recommend
sizing the inside diameter of PM probes to approximate isokinetic
sampling at the expected mean flow rate.
(c) Transfer lines. You may use transfer lines to transport an
extracted sample from a probe to an analyzer, storage medium, or
dilution system. Minimize the length of all transfer lines by locating
analyzers, storage media, and dilution systems as close to probes as
practical. We recommend that you minimize the number of bends in
transfer lines and that you maximize the radius of any unavoidable
bend. Avoid using 90[deg]
elbows, tees, and cross-fittings in transfer
lines. Where such connections and fittings are necessary, take steps,
using good engineering judgment, to ensure that you meet the
temperature tolerances in this paragraph (c). This may involve
measuring temperature at various locations within transfer lines and
fittings. You may use a single transfer line to transport a sample of
more than one constituent, as long as the transfer line meets all the
specifications for each constituent. The following construction and
temperature tolerances apply to transfer lines:
(1) Gaseous samples. Use transfer lines with inside surfaces of 300
series stainless steel, PTFE, or Viton\TM\. You may use in-line filters
if they do not react with exhaust constituents and if the filter and
its housing meet the same temperature requirements as the transfer
lines, as follows:
(i) For NO_X transfer lines upstream of an
NO₂-to-NO converter, maintain a sample temperature that
prevents aqueous condensation.
(ii) For THC transfer lines for testing compression-ignition
engines, 2-stroke spark-ignition engines, or 4-stroke spark-ignition
engines below 19 kW, maintain a wall temperature throughout the entire
line of (191 ± 11) [deg]C. If you sample from raw exhaust,
you may connect an unheated, insulated transfer line of 300 series
stainless steel directly to a probe. Design the length and insulation
of the transfer line to cool the highest expected raw exhaust
temperature to no lower than 191 [deg]C, as measured at the transfer
line's outlet.

[[Page 54940]]

(2) PM samples. We recommend heated transfer lines or a heated
enclosure to minimize temperature differences between transfer lines
and exhaust constituents. Use transfer lines that are inert with
respect to PM and are electrically conductive on the inside surfaces.
We recommend using PM transfer lines made of 300 series stainless
steel. Electrically ground the inside surface of PM transfer lines.
(d) Optional sample-conditioning components for gaseous and PM
sampling. You may use the following sample-conditioning components to
prepare samples for analysis, as long as you do not install or use them
in a way that adversely affects your ability to show that your engines
comply with all applicable emission standards.
(1) NO2-to-NO converter. You may use an NO₂-to-NO
converter that meets the efficiency-performance check specified in
Sec. 1065.378 at any point upstream of a NO_X analyzer or
storage medium.
(2) Sample dryer. You may use either of the following types of
sample dryers to decrease the effects of water on emission
measurements; you may not use a chemical dryer:
(i) Osmotic-membrane. You may use an osmotic-membrane dryer
upstream of any analyzer or storage medium, as long as it meets the
temperature specifications in paragraph (c)(1) of this section. Because
osmotic-membrane dryers may deteriorate after prolonged exposure to
certain exhaust constituents, consult with the membrane manufacturer
regarding your application before incorporating an osmotic-membrane
dryer. Monitor the dewpoint, Tdew, and absolute pressure, Pdew,
downstream of an osmotic-membrane dryer. You may use continuously
recorded values of Tdew and Pdew in the amount of water calculations
specified in Sec. 1065.645. If you do not continuously record these
values, you may use their peak values observed during a test or their
alarm setpoints as constant values in the calculations specified in
Sec. 1065.645. You may also use a nominal Pdew, which you may estimate
as the dryer's lowest absolute pressure expected during testing.
(ii) Thermal chiller. You may use a thermal chiller upstream of
some gaseous constituent analyzers and storage media. You may not use a
thermal chiller upstream of a THC measurement system for compression-
ignition engines, 2-stroke spark-ignition engines, or 4-stroke spark-
ignition engines below 19 kW. If you use a thermal chiller upstream of
an NO₂-to-NO converter or in a sampling system without an
NO₂-to-NO converter, the chiller must meet the
NO₂ loss-performance check specified in Sec. 1065.376.
Monitor the dewpoint, Tdew, and absolute pressure, Pdew, downstream of
a thermal chiller. You may use continuously recorded values of Tdew and
Pdew in the emission calculations specified in Sec. 1065.650. If you
do not continuously record these values, you may use their peak values
observed during a test or their alarm setpoints as constant values in
the amount of water calculations specified in Sec. 1065.645. You may
also use a nominal Pdew, which you may estimate as the dryer's lowest
absolute pressure expected during testing. If you can justify assuming
the degree of saturation in the thermal chiller, you may calculate Tdew
based on the known chiller efficiency and continuous monitoring of
chiller temperature, Tchiller. If you do not continuously record values
of Tchiller, you may use its peak value observed during a test, or its
alarm setpoint, as a constant value to determine a constant amount of
water according to Sec. 1065.645. If you can justify that Tchiller is
equal to Tdew, you may use Tchiller in lieu of Tdew according to Sec.
1065.645.
(3) Sample pumps. You may use sample pumps upstream of an analyzer
or storage medium for any gaseous constituent. Use sample pumps with
inside surfaces of 300 series stainless steel or PTFE. For some sample
pumps, you must control temperatures, as follows:
(i) You may use a NO_X sample pump upstream of an
NO₂-to-NO converter if it is heated to prevent aqueous
condensation.
(ii) For testing compression-ignition engines, 2-stroke spark-
ignition engines, or 4-stroke compression ignition engines below 19 kW,
you may use a THC sample pump upstream of a THC analyzer or storage
medium if its inner surfaces are heated to (191 ±11) [deg]C.
(4) PM sample conditioning components. You may condition PM samples
to minimize positive and negative biases to PM results, as follows:
(i) You may use a PM preclassifier to remove large-diameter
particles. The PM preclassifier may be either an inertial impactor or a
cyclonic separator. It must be constructed of 300 series stainless
steel. The preclassifier must be rated to remove at least 50% of PM at
an aerodynamic diameter of 10 [mu]m and no more than 1% of PM at an
aerodynamic diameter of 1 [mu]m over the range of flow rates that you
use it. Follow the preclassifier manufacturer's instructions for any
periodic servicing that may be necessary to prevent a buildup of PM.
Install the preclassifier in the dilution system downstream of the last
dilution stage. Configure the preclassifier outlet with a means of
bypassing any PM sample media so the preclassifier flow may be
stabilized before starting a test. Locate PM sample media within 50 cm
downstream of the preclassifier's exit.
(ii) You may request to use other PM conditioning components
upstream of a PM preclassifier, such as components that condition
humidity or remove gaseous-phase hydrocarbons. You may use such
components only if we approve them under Sec. 1065.10.

Sec. 1065.150 Continuous sampling.

You may use continuous sampling techniques for measurements that
involve raw or dilute sampling. Connect continuous analyzers directly
to probes or transfer lines. Make sure continuous analyzers meet the
specifications in subpart C of this part. Because continuous
concentration measurements must be multiplied by continuous flow
measurements, use good engineering judgment to account for time delays
and dispersion as described in Sec. 1065.201.

Sec. 1065.170 Batch sampling for gaseous and PM constituents.

You may use batch-sampling techniques for measurements that involve
dilute sampling. You may use batch-sampling techniques for raw sampling
only if we approve it as an alternative procedure under Sec. 1065.10.
(a) Sampling methods. For batch sampling, extract the sample at a
rate proportional to the exhaust flow. If you extract from a constant-
volume flow rate, sample at a constant-volume flow rate. If you extract
from a varying flow rate, vary the sample rate in proportion to the
varying flow rate. Validate proportional sampling after an emission
test as described in Sec. 1065.545. Use storage media that do not
artificially increase or decrease measured emission levels.
(b) Gaseous sample storage media. Store gas volumes in clean
containers that do not off-gas emissions or allow permeation of
CO₂ or any other exhaust emissions through the material. To
clean a container, you may repeatedly purge and evacuate a container
and you may heat it. You may use a super-critical CO₂
extraction technique to evaluate container materials for CO₂
permeability. Use containers meeting the following specifications:
(1) You may store gas volumes in TedlarTM or
KynarTM containers (such as bags) up 40 [deg]C for analyzing
CO, CO₂, O₂, CH₄,
C₂H₆, C₃H₈ and
NO_X, as long as you prevent aqueous condensation. For
testing engines other than compression-ignition engines, two-stroke
spark-ignition engines, or 4-

[[Page 54941]]

stroke engines below 19 kW, you may also store THC in these containers.
You may request to use other container materials under Sec. 1065.10.
(2) You may store gas volumes using containers with inside surfaces
of 300 series stainless steel or PTFE at (191 ± 11) [deg]C
for analysis of any gaseous constituent. You may use a flexible volume
within a heated chamber, or you may use a heated, rigid container that
is initially evacuated or has a volume that can be displaced, such as a
piston and cylinder arrangement.
(c) PM sample media. For measuring PM to show that engines meet an
emission standard below 0.05 g/kW.hr, collect PM mass at a minimum
efficiency of 99.7 %. If the applicable PM standard is at or above 0.05
g/kW.hr, collect PM mass at a minimum efficiency of 98 %. Demonstrate
PM collection efficiency using ASTM D 2986-95a (incorporated by
reference in Sec. 1065.1010). Apply the following methods for sampling
particulate emissions:
(1) If you use filter-based sampling media to extract and store PM
for measurement, it must have the following specifications:
(i) It must be circular, with an overall diameter of 46.50 < plus-
minus> 0.6 mm, have an exposed diameter of at least 38 mm, and have a
thickness at the sealing portions of the filter cassette of 0.4 < plus-
minus> 0.05 mm. See the cassette specifications in paragraph (c)(1)(v)
of this section.
(ii) For measuring PM to show that engines meet an emission
standard below 0.05 g /kW.hr, use a PTFE filter material that does not
have any flow-through support bonded to the back and has an overall
thickness of 40 ± 20 mm. An inert polymer ring may be bonded
to the periphery of the filter material for support and for sealing
between the filter cassette parts. We consider Polymethylpentene (PMP)
an inert material for a support ring, but other inert materials may be
used. See the cassette specifications in paragraph (c)(1)(v) of this
section. If the applicable PM standard is at or above 0.05 g/kW.hr, you
may use PTFE or PTFE-coated glass fiber filter material.
(iii) To minimize turbulent deposition and to deposit PM evenly on
a filter, use a 12.5 [deg]
(from center) divergent cone angle to
transition from the transfer-line inside diameter to the exposed
diameter of the filter face. Use 300 series stainless steel for this
transition.
(iv) Maintain sample velocity at the filter face at or below 100
cm/s, where filter face velocity is the measured volumetric flow rate
of the sample at the pressure and temperature upstream of the filter
face, divided by the filter's exposed area.
(v) Use a clean cassette designed to the specifications of Figure 1
of Sec. 1065.170 and made of one of the following materials:
DelrinTM, 300 series stainless steel, polycarbonate,
acrylonitrile-butadiene-styrene (ABS) resin, or conductive
polypropylene. Use a material that is inert to any solvents or
detergents that you use to periodically clean the filter holder and
screen. We recommend that you periodically clean the filter cassette
and screen with a solvent such as ethanol
(C₂H₅OH). Your cleaning frequency will depend on
your engine's PM and HC emissions.
(vi) If you store filters in cassettes in an automatic PM sampler,
cover or seal individual filter cassettes after sampling to prevent
communication of semi-volatile matter from one filter to another.
(2) You may use other PM sample media that we approve under Sec.
1065.10, including non-filtering techniques. For example, you might
deposit PM on an inert, nonporous substrate that collects PM via
electrostatic, thermophoresis, inertia, diffusion, or some other
deposition mechanism, as approved.
(3) When we test your engines, we will use the same PM sample media
that you used for testing comparable engines.
BILLING CODE 6560-50-P

[[Page 54942]]

[GRAPHIC]
[TIFF OMITTED]
TP10SE04.007
Sec. 1065.190 PM-stabilization and weighing environments for
gravimetric analysis.

(a) This section describes the environments required to weigh PM
(i.e., gravimetric analysis). This includes a PM-stabilization
environment and a balance environment. The two environments may share a
common space. These volumes may be rooms in which PM is weighed, or
they may be much smaller, such as a glove box or an automated weighing
system consisting of one or more countertop-sized environments.

[[Page 54943]]

(b) Keep the PM-stabilization and balance environments free of
ambient contaminants, such as dust, aerosols, or semi-volatile material
that could contaminate PM samples, as follows:
(1) We recommend that these environments conform with an ``as-
built'' Class Six clean room specification under ISO 14644-1
(incorporated by reference in Sec. 1065.1010); however, we also
recommend that you deviate from ISO 14644-1 as necessary to minimize
air motion that might affect balance stability. We recommend maximum
air-supply and air-return velocities of 0.05 m/s in the balance
environment.
(2) Monitor the cleanliness of the PM-stabilization environment
using reference filters, as described in Sec. 1065.390(b).
(c) Maintain the following ambient conditions:
(1) Ambient temperature. Maintain the balance environment at (22
±1) [deg]C. If the two environments share a common space,
maintain both environments at (22 ±1) [deg]C. If they are
separate, maintain the PM-stabilization environment at (22 < plus-
minus>3) [deg]C.
(2) Dewpoint. Maintain a dewpoint of 9.5 [deg]C. This dewpoint will
control the amount of water associated with sulfuric acid
(H₂SO₄) PM, such that 1.1368 [mu]g of water will
be associated with each mg of H₂SO₄.
(3) Dewpoint tolerance. If the expected fraction of sulfuric acid
in PM is unknown, we recommend controlling dewpoint at within < plus-
minus> 1 [deg]C. This would limit any dewpoint-related change in PM to
less than ± 2%, even for PM that is 50% sulfuric acid. If
you know your expected fraction of sulfuric acid in PM, we recommend
that you select an appropriate dewpoint tolerance for showing
compliance with emission standards using the following table as a
guide:

Table 1 of Sec. 1065.190--Dewpoint Tolerance as a Function of % PM
Change and % Sulfuric Acid PM
------------------------------------------------------------------------
< plus- < plus- < plus-
Expected sulfuric acid fraction minus>0.5% minus>1.0% minus>2.0%
of PM PM mass PM mass PM mass
change change change
------------------------------------------------------------------------
5%............................... < plus- < plus- < plus-
minus>3.0 minus>6.0 minus>12
[deg]C [deg]C [deg]C
50%.............................. < plus- < plus- < plus-
minus>0.30 minus>0.60 minus>1.2
[deg]C [deg]C [deg]C
100%............................. < plus- < plus- < plus-
minus>0.15 minus>0.30 minus>0.60
[deg]C [deg]C [deg]C
------------------------------------------------------------------------

(d) Measure the following ambient conditions using measurement
instruments that meet the specifications in subpart C of this part:
(1) Continuously measure dewpoint and ambient temperature. Use
these values to determine if the PM-stabilization and balance
environments have remained within the tolerances specified in paragraph
(c) of this section. We recommend that you provide an interlock that
automatically prevents the balance from reporting values if either of
the environments have not been within the applicable tolerances for the
past 30 min.
(2) Continuously measure barometric pressure. Provide a means to
record the most recent barometric pressure when you weigh each PM
sample. Use this value to calculate the PM buoyancy correction in Sec.
1065.690.
(e) We recommend that you install a balance as follows:
(1) Install the balance on a vibration-isolation platform to
isolate it from external noise and vibration.
(2) Shield the balance from convective airflow with a static-
dissipating draft shield that is electrically grounded.
(3) Follow the balance manufacturer's specifications for all
preventive maintenance.
(4) Operate the balance manually or as part of an automated
weighing system.
(f) Minimize static electric charge in the balance environment, as
follows:
(1) Electrically ground the balance.
(2) Use 300 series stainless steel tweezers if PM samples must be
handled manually.
(3) Ground tweezers with a grounding strap, or provide a grounding
strap for the operator such that the grounding strap shares a common
ground with the balance. Make sure grounding straps have an appropriate
resistor to protect operators from accidental shock.
(4) Provide a static-electricity neutralizer that is electrically
grounded in common with the balance to remove static charge from PM
samples, as follows:
(i) You may use radioactive neutralizers such as a Polonium
(210Po) source. Replace radioactive sources at the intervals
recommended by the neutralizer manufacturer.
(ii) You may use other neutralizers, such as a corona-discharge
ionizer. If you use a corona-discharge ionizer, we recommend that you
monitor it for neutral net charge according to the ionizer
manufacturer's recommendations.
(5) We recommend that you use a device to monitor the static charge
of PM sample media surfaces.

Sec. 1065.195 PM-stabilization environment for in-situ analyzers.

(a) This section describes the environment required to determine PM
in-situ. For in-situ analyzers, such as an inertial balance, this is
the environment within a PM sampling system that surrounds the PM
sample media. This is typically a very small volume.
(b) Maintain the environment free of ambient contaminants, such as
dust, aerosols, or semi-volatile material that could contaminate PM
samples. Filter all air used for stabilization with HEPA filters.
Ensure that HEPA filters are installed properly so that background PM
does not leak past the HEPA filters.
(c) Maintain the following thermodynamic conditions within the
environment before measuring PM:
(1) Ambient temperature. Select a nominal ambient temperature,
T_amb between (42 and 52) [deg]C. Maintain the ambient
temperature within ±1 [deg]C of the selected nominal value.
(2) Dewpoint. Select a dewpoint, T_dew that corresponds
to T_amb such that T_dew = (0.95.T_amb-
11.40) [deg]C. The resulting dewpoint will control the amount of water
associated with sulfuric acid (H₂SO₄) PM, such
that 1.1368 grams of water will be associated with each gram of
H₂SO₄. For example, if you select a nominal
ambient temperature of 47 [deg]C, set a dewpoint of 33.3 [deg]C.
(3) Dewpoint tolerance. If the expected fraction of sulfuric acid
in PM is unknown, we recommend controlling dewpoint within ±
1 [deg]C. This would limit any dewpoint-related change in PM to less
than ± 2%, even for PM that is 50% sulfuric acid. If you
know your expected fraction of sulfuric acid in PM, we recommend that
you select an appropriate dewpoint tolerance for showing compliance
with emission standards using the following table as a guide:

[[Page 54944]]

Table 1 of Sec. 1065.195--Dewpoint Tolerance as a Function of % PM
Change and % Sulfuric Acid PM
------------------------------------------------------------------------
< plus- < plus- < plus-
Expected sulfuric acid fraction minus>0.5% minus>1.0% minus>2.0%
of PM PM mass PM mass PM mass
change change change
------------------------------------------------------------------------
5%............................... < plus- < plus- < plus-
minus>3.0 minus>6.0 minus>12
[deg]C [deg]C [deg]C
50%.............................. < plus- < plus- < plus-
minus>0.30 minus>0.60 minus>1.2
[deg]C [deg]C [deg]C
100%............................. < plus- < plus- < plus-
minus>0.15 minus>0.30 minus>0.60
[deg]C [deg]C [deg]C
------------------------------------------------------------------------

(4) Absolute pressure. Maintain an absolute pressure of (80.000 to
103.325) kPa. Use good engineering judgment to maintain a more
stringent tolerance of absolute pressure if your PM measurement
instrument requires it.
(d) Continuously measure dewpoint, temperature, and pressure using
measurement instruments that meet the specifications in subpart C of
this part. Use these values to determine if the stabilization
environment is within the tolerances specified in paragraph (c) of this
section. Do not use any PM quantities that are recorded when any of
these parameters exceed the applicable tolerances.
(e) If you use an inertial PM balance, we recommend that you
install it as follows:
(1) Isolate the balance from any external noise and vibration that
is within a frequency range that could affect the balance.
(2) Follow the balance manufacturer's specifications.
(f) If static electricity affects an inertial balance, you may use
a static neutralizer, as follows:
(1) You may use a radioactive neutralizer such as a Polonium
(210Po) source or a Krypton (85Kr) source.
Replace radioactive sources at the intervals recommended by the
neutralizer manufacturer.
(2) You may use other neutralizers, such as a corona-discharge
ionizer. If you use a corona-discharge ionizer, we recommend that you
monitor it for neutral net charge according to the ionizer
manufacturer's recommendations.
(3) We recommend that you use a device to monitor the static charge
of PM sample media surfaces.

Subpart C--Measurement Instruments

Sec. 1065.201 Overview and general provisions.

(a) Scope. This subpart specifies measurement instruments and
associated system requirements related to emission testing. This
includes instruments for measuring engine parameters, ambient
conditions, flow-related parameters, and emission concentrations.
(b) Instrument types. You may use any of the specified instruments
as described in this subpart to perform emission tests. If you want to
use one of these instruments in a way that is not specified in this
subpart, or if you want to use a different instrument, you must first
get us to approve your alternate procedure under Sec. 1065.10. Where
we specify more than one instrument for a particular measurement, we
identify which instrument serves as the reference for showing that an
alternative procedure is equivalent to the specified procedure.
(c) Measurement systems. Assemble a system of measurement
instruments that allows you to show that your engines comply with the
applicable emission standards, using good engineering judgment. When
selecting instruments, consider how conditions such as vibration,
temperature, pressure, humidity, viscosity, specific heat, and exhaust
composition (including trace concentrations) may affect instrument
compatibility and performance.
(d) Redundant systems. For all measurement instruments described in
this subpart, you may use data from multiple instruments to calculate
test results for a single test. If you use redundant systems, use good
engineering judgment to use multiple measured values in calculations or
to disregard individual measurements. Note that you must keep your
results from all measurements, as described in Sec. 1065.25.
(e) Range. You may use an instrument's response above 100% of its
operating range if this does not affect your ability to show that your
engines comply with the applicable emission standards. Note that we
require additional testing and reporting if an analyzer responds above
100% of its range. See Sec. 1065.550. Auto-ranging analyzers do not
require additional testing or reporting.
(f) Dispersion. For transient emission tests with continuous
sampling where continuous signals from two or more instruments are
combined in emission calculations, use dispersion to align the signals
if the fastest instrument has a response time less than 75% of the
slowest and at least one instrument has a response time greater than 1
s. Perform dispersion according to SAE 2001-01-3536 (incorporated by
reference in Sec. 1065.1010). Steady-state emission tests and any
tests with batch sampling systems do not require dispersion. You may
disperse data during or after data collection, but if you use time-
alignment as described in paragraph (g) of this section, always perform
dispersion before time-alignment.
(g) Time-alignment. For transient emission tests with continuous
sampling where continuous signals from two or more instruments are
combined in emission calculations, time-align their signals to account
for measurement system delays. Steady-state emission tests and any
tests with batch sampling systems do not require time-alignment. You
may time-align data during or after data collection, but if you use
dispersion as described in paragraph (f) of this section, always
perform dispersion before time-alignment. Time-align data to the
nearest recorded interval. An example of time-alignment is shifting a
series of concentration measurements to coincide with their respective
exhaust flow measurements to account for a transport delay in a sample
line.
(h) Related subparts for laboratory testing. Subpart D of this part
describes how to evaluate the performance of the measurement
instruments in this subpart. Other related subparts in this part
identify specifications for other types of equipment (subpart B), and
specify engine fluids and analytical gases (subpart H).
(i) Field testing. Subpart J of this part describes how to use
these and other measurement instruments for field testing.

Sec. 1065.202 Data recording and control.

Your test system must be able to record data and control systems
related to operator demand, the dynamometer, sampling equipment, and
measurement instruments. Use data acquisition and control systems that
can record at the specified minimum frequencies, as follows:

278. Remove Sec. 1068.540.
[FR Doc. 04-19223 Filed 9-9-04; 8:45 am]
BILLING CODE 6560-50-P

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

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

Local Navigation