Control of Air Pollution; Amendments to Emission Requirements
Applicable to New Nonroad Spark Ignition Engines At or Below 19
Kilowatts and New Marine Spark Ignition Engines: Provisions for
Replacement Engines and the Use of Two Stroke Engines on Certain
Nonhandheld Equipment
Related Material
[Federal Register: August 7, 1997 (Volume 62, Number 152)]
[Rules and Regulations]
[Page 42637-42644]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07au97-14]
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ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 90 and 91
[FRL-5871-1]
Control of Air Pollution; Amendments to Emission Requirements
Applicable to New Nonroad Spark Ignition Engines At or Below 19
Kilowatts and New Marine Spark Ignition Engines: Provisions for
Replacement Engines and the Use of Two Stroke Engines on Certain
Nonhandheld Equipment
AGENCY: Environmental Protection Agency (EPA).
ACTION: Direct final rule.
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SUMMARY: This final rule amends the regulations applicable to spark-
ignition nonroad engines at or below 19 kilowatts (kW) and spark-
ignition marine engines to address situations that have arisen
regarding the implementation of regulations applicable to these nonroad
engines. No significant air quality impact is expected from these
amendments.
These amendments will allow engine manufacturers to provide
uncertified engines to replace older engines when major engine failures
occur and no suitable certified engine is available that will fit in
the nonroad equipment or marine outboard or personal watercraft. These
amendments will also broaden a provision in the existing regulations
which permits the use of two stroke engines to power lawnmowers,
subject to a phase-out schedule described in the regulations. The
amendments will extend this provision to other types of nonhandheld
equipment subject to appropriate constraints.
DATES: This final rule is effective October 6, 1997 unless adverse or
critical comments are received by September 8, 1997. If the effective
date is delayed, timely notice will be published in the Federal
Register.
ADDRESSES: Written comments should be addressed to: EPA Air Docket (LE-
131), Attention: Docket Number A-97-25, room M-1500, 401 M Street, SW.,
Washington, DC 20460 (telephone 202-260-7548, fax 202-260-4400). Please
contact the individual listed below before submitting comments.
Materials relevant to this rulemaking are contained in the docket
listed above and may be reviewed at that location from 8:00 a.m. until
5:30 p.m. Monday through Friday. As provided in 40 CFR part 2, a
reasonable fee may be charged by EPA for photocopying.
FOR FURTHER INFORMATION CONTACT: John Guy, Office of Mobile Sources,
Engine Programs and Compliance Division (6403J), 401 M Street SW.,
Washington, DC 20460, 202-233-9276.
SUPPLEMENTARY INFORMATION:
I. Regulated Entities
Entities potentially regulated by this action are those which
manufacture and use spark-ignition marine outboard or personal
watercraft (including jetboat) engines and spark-ignition small nonroad
engines of 19 kW or less. Regulated categories and entities include:
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Category Examples of regulated entities
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Industry.......................... Manufacturers and users of spark
ignition engines of 19 kW or less.
Manufacturers and users of marine
spark ignition outboard or personal
watercraft engines.
------------------------------------------------------------------------
This table is not intended to be exhaustive, but rather provides a
guide for readers regarding entities likely to be regulated by this
action. This table lists the types of entities that EPA is now aware
could potentially be regulated by this action. Other types of entities
not listed in the table could also be regulated. To determine whether
your product is regulated by this action, you should carefully examine
the applicability criteria in Secs. 90.1 and 91.1 of title 40 of the
Code of Federal Regulations. If you have questions regarding the
applicability of this action to a particular product, consult the
person listed in the preceding FOR FURTHER INFORMATION CONTACT section.
II. Obtaining Copies of the Regulatory Language
Electronic Copies of Rulemaking Documents
Electronic copies of the preamble and the regulatory text of this
rulemaking are available via the Internet on the Office of Mobile
Sources (OMS) Home Page (http://www.epa.gov/OMSWWW/). Users can find
Nonroad Engines and Vehicles information and documents through the
following path once they have accessed the OMS Home Page: ``Nonroad
Engines and Vehicles,'' ``Equipment'' or ``Marine''. Electronic copies
of the preamble and the regulatory text of this rulemaking are also
available on the Office of Air Quality Planning and Standards (OAQPS)
Technology Transfer Network Bulletin Board System (TTN BBS). Users are
able to access and download TTN BBS files on their first call. After
logging onto TTN BBS, to navigate through the BBS to the files of
interest, the user must enter the appropriate command at each of a
series of menus. The steps required to access information on this
rulemaking are listed below. The service is free, except for the cost
of the phone call. TTN BBS: 919-541-5742 (1,200-14,400 bps, no parity,
eight data bits, one stop bit). Voice help: 919-541-5384; Internet
address: TELNET ttnbbs.rtpnc.epa.gov; Off-line: Mondays from 8:00-12:00
Noon ET.
1. Technology Transfer Network Top Menu: Gateway to TTN Technical
Areas (Bulletin Boards)
2. TTN Technical Information Areas: OMS--Mobile Sources Information
3. OMS BBS===Main Menu File Transfers: Rulemaking & Reporting
4. Rulemaking Packages: Nonroad
5. Nonroad Rulemaking Area: File Area #2 . . . Nonroad Engines
6. Nonroad engines
At this stage, the system will list all available nonroad engine
files. To download a file, select a transfer protocol which will match
the terminal software on your computer, then set your own software to
receive the file using that same protocol. If unfamiliar with handling
compressed (i.e., ZIP'd) files, go to the TTN topmenu, System Utilities
(Command: 1) for information and the necessary program to download in
order to unZIP the files of interest after downloading to your
computer. After getting the files you want onto your computer, you can
quit TTN BBS with the oodbye command.
III. Table of Contents
IV. Statutory Authority and Background
A. Statutory Authority
B. Background
V. Use of Uncertified Engines for Replacement of Failed Engines in
Older Equipment and Marine Outboard Engines and Personal Watercraft
(Including Jetboats)
A. Discussion
B. Regulatory Approach
VI. Use of Two Stroke Engines in Nonhandheld Equipment
A. Discussion
B. Regulatory Approach
[[Page 42639]]
VII. Final Action
VIII. Cost Effectiveness
IX. Administrative Requirements
A. Administrative Designation
B. Reporting and Recordkeeping Requirements
C. Regulatory Flexibility
D. Submission to Congress and the General Accounting Office
E. Unfunded Mandates Act
IV. Statutory Authority and Background
A. Statutory Authority
Authority for the actions in this notice is granted to EPA by
sections 202, 203, 204, 205, 206, 207, 208, 209, 213, 215, 216, and
301(a) of the Clean Air Act as amended (42 U.S.C. 7521, 7522, 7523,
7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, and 7601(a)).
B. Background
(1) Replacement Engines
EPA promulgated final regulations applicable to spark-ignition
nonroad engines at or below 19kW (Small SI engines) on July 3, 1995 (60
FR 34582, codified at 40 CFR part 90) and final regulations applicable
to spark-ignition marine outboard and personal watercraft (including
jetboat) engines (Marine SI engines) on October 4, 1996 (61 FR 52088,
codified at 40 CFR part 91) 1. The Small SI regulations take
effect with model year 1997 for the majority of covered engines but not
until the 1998 model year for certain higher displacement handheld
engines. The Marine SI rule takes effect with 1998 or 1999 engines,
depending upon their usage, and involves a corporate average standard
which tightens each year through 2006. Both rules prohibit engine
manufacturers from introducing into commerce any engine not covered by
a certificate of conformity issued by EPA under the regulations (40 CFR
90.1003(a)(1)(i); 40 CFR 91.1103(a)(1)(i)). The rules also prohibit
equipment and vessel manufacturers from introducing new nonroad
equipment and vessels into commerce unless the engine in the equipment
or vessel is certified to comply with the applicable nonroad emission
requirements (40 CFR 90.1003(a)(5); 40 CFR 91.1103(a)(5)) 2.
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\1\ The preamble to the final Marine SI rule (61 FR 52090)
explains that for purposes of the Marine SI rule, jetboats are
considered as personal watercraft, except where their engines are
derived from sterndrive or inboard type marinized automotive blocks.
\2\ The regulations also prohibit, in the case of any person,
the importation of Small SI engines and Marine SI engines
manufactured after the applicable implementation date for the
engine. The regulations also prohibit the importation of equipment
containing Small SI engines unless the engine is covered by a
certificate of conformity. (40 CFR 90.1003(a)(1)(ii) and 40 CFR
91.1103(a)(1)(ii)).
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These prohibitions have caused or will cause engine manufacturers
to be unable, in the event of a major engine failure, to provide
uncertified replacement engines to repower pre-regulation nonroad
equipment and outboards and personal watercraft (including jetboats),
as well as outboards and personal watercraft (including jetboats)
certified to an earlier standard 3. Equipment and engine
manufacturers have indicated that for many items of older equipment,
older outboards and older personal watercraft (PWCs), no certified
engine is, or will be, available that will fit. Amendments in this
package will alleviate this unintended side effect of the current
regulations for users of Marine SI and Small SI engines.
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\3\ The Marine SI standards take effect with the 1998 or 1999
model year, depending upon application, and then become
progressively tighter each year through 2006. Some engines certified
early in the program will be discontinued as the standards tighten
down. Consequently, Marine SI engine manufacturers may need to
provide uncertified replacement engines for pre-regulatory engines
as well as for engines built to meet an earlier standard. The Phase
1 Small SI standards take effect with the 1997 or 1998 model year,
depending upon application, and remain the same throughout Phase 1.
At least during Phase 1, the Small SI manufacturers will only need
to provide uncertified engines for pre-regulatory equipment.
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While this rulemaking addresses the needs of both the Marine SI and
Small SI engine manufacturers for a replacement engine provision
together, there are differences in the products and structure of the
industries that should be noted here. The majority of the engines
subject to the Marine SI rule are outboard engines where the engine
manufacturer produces the complete outboard engine containing both the
powerhead (engine) and the drive unit (the lower part of an outboard
engine which contains the drive shaft and exhaust system and holds the
propeller). Outboard engines are sold to consumers and vessel
manufacturers who affix them to the outside rear of boats. With respect
to replacement engine provisions for Marine SI engines in this
rulemaking, the term ``engine'' refers to the powerhead of an outboard
engine or the analogous power unit of a personal watercraft or jet
boat.
Small SI engines can be split into two factions. Nonhandheld
engines are produced by engine manufacturers and sold to equipment
manufacturers that produce lawnmowers, tillers, garden tractors,
commercial mowing, farm and construction equipment, small generators
and other such equipment. Some of this equipment can be extremely
expensive relative to the cost of a new engine. When engine failures
occur, equipment operators may desire to replace the engine. Handheld
engines are generally produced by companies that make chainsaws, string
trimmers, hedge trimmers, backpack blowers and cut off saws. The
handheld industries are generally integrated, producing the entire
consumer product, while the nonhandheld industries are not. For
handheld products, the engine comprises a substantial portion of the
value of the equipment, and most equipment is of low value relative to
engine repair or replacement costs. Consequently, handheld engine
replacement is expected to be extremely rare even in high end,
professional usage products.
(2) Use of Two Stroke Engines in Nonhandheld Equipment
The Small SI final rule provides for separate categories for
handheld and nonhandheld engines. Within each category are different
displacement classes with different emission standards. Handheld
engines use predominantly two stroke combustion technology because of
the need for light-weight engines that can be used multipositionally,
including upside down and sideways, in handheld equipment. Nonhandheld
engines, which are not so constrained by weight and generally operate
in limited positions, are nearly all four stroke combustion technology.
Because of their operating characteristics and design, two stroke
engines have much greater hydrocarbon (HC) emissions than four stroke
engines.4 The standards for two stroke and four stroke
engines reflect these differences--the nonhandheld hydrocarbon plus
oxides of nitrogen standards are designed around four stroke engines
and are significantly more stringent than the corresponding handheld
engine standards.
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\4\ A two stroke or two cycle engine produces power strokes
twice as often as a four stroke or four cycle engine, and therefore
produces greater power for a given weight. Also, two stroke engines
are lubricated by oil which is added to the fuel, while four stroke
engines require a crankcase full of oil that must remain at the
bottom of the engine. Consequently, two stroke engines can be
operated multipositionally, but burn oil with their gasoline. Four
stroke engines can not typically be operated multipositionally, but
do not burn oil with their fuel. The two additional strokes used by
a four stroke engine serve to push the exhaust gases out of the
cylinder before any fresh fuel and air is admitted. In a two stroke
engine, these extra strokes do not occur and there is considerable
mixing of fresh fuel and air with the exhaust stream. The presence
of this unburned fuel along with the byproducts of oil combustion
cause two stroke engines to exhibit high HC emissions.
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[[Page 42640]]
While nearly all nonhandheld equipment is powered by four stroke
engines, some lawnmowers have historically used two stroke engines. A
special provision was incorporated into the final rule to ease the
transition to four stroke engines for the affected manufacturers. See,
40 CFR 90.103(a)(3). This provision allows certain manufacturers of
lawnmowers to continue to use two stroke engines, subject to a
declining production cap, up through model year 2002, provided the
engines are certified to meet the handheld standards. This provision is
discussed in greater detail in the preamble to the final rule (60 FR
34582, 34593-34594 (July 3, 1995)).
Recently, EPA has learned that some very low volume, specialized
nonhandheld equipment has also historically been produced with two
stroke engines. This equipment would require substantial modification
and redesign to utilize four stroke engines. An amendment in this
package will extend the flexibility provided for manufacturers of two
stroke lawnmowers to manufacturers of other nonhandheld equipment,
provided the equipment manufacturer can demonstrate to EPA its
inability to readily convert to four stroke engines. If EPA approval is
granted, this provision would then allow those equipment manufacturers
to have the same opportunities to modify their equipment to use four
stroke engines that the two stroke lawnmower manufacturers have. This
provision is expected to affect a very small number of low volume,
specialty equipment manufacturers.
V. Use of Uncertified Engines for Replacement of Failed Engines in
Older Equipment and Marine Outboard Engines and Personal Watercraft
(Including Jetboats)
A. Discussion
As indicated above, the Marine SI and the Small SI rules prohibit
the introduction into commerce of any new nonroad engines subject to
those regulations unless the engines are covered by a certificate of
conformity issued by EPA. According to letters received from Small SI
and Marine SI engine manufacturers, the Engine Manufacturers
Association and a number of nonroad equipment manufacturers, these
prohibitions pose a hardship to engine manufacturers and their
customers when equipment produced before the applicable effective date
of the rules, and therefore equipped with uncertified engines, or
marine equipment with engines certified to an earlier standard,
experiences catastrophic engine failures. 5, 6 In such
cases, particularly for newer equipment still under warranty, engine
manufacturers desire to be able to provide an entire new engine.
However, certified engines that will fit in pre-regulatory equipment or
equipment subject to an earlier standard will not always be available
for reasons discussed below.
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\5\ For simplicity, from this point on in this preamble
discussion, unless otherwise specified, the term ``equipment''
refers to both nonroad equipment using handheld or nonhandheld
engines and to marine propulsion units including outboard and jet
engines and their drive units. Therefore, the term ``engine'' as it
pertains to marine engines will mean the powerhead of an outboard
engine or the analogous power unit of a jet engine used in a
personal watercraft or jet boat.
\6\ Copies of these letters are available in the docket for
today's rulemaking.
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Under current regulations, an equipment owner who experiences a
major engine failure with an uncertified engine or a marine engine
certified to an earlier standard is limited to the following options.
It can:
(1) Obtain a new, uncertified engine or a marine engine certified
to an earlier standard from a manufacturer's or distributor's
inventory. Engine manufacturers have informed us that because of the
many variations of engines they produce, inventorying quantities of
older marine engines or uncertified engines produced before the
effective date of the regulations for anticipated replacement purposes
would be impractical and prohibitively expensive. The Small SI
regulations at 40 CFR 90.1003(b)(4) specifically provide
* * * Nonroad vehicle manufacturers may continue to use noncertified
nonroad engines built prior to the effective date until noncertified
engine inventories are depleted; however, stockpiling (i.e. build up
of an inventory of engines outside of normal business practices) of
noncertified nonroad engines will be considered a violation of this
section.7
\7\ No correponding provision is found in the Marine SI rule,
however this regulation is essentially a codification of
longstanding EPA policies implementing the prohibitions of section
203(a) of the Act. These policies are similarly applicable to marine
engines. See, for example, EPA's letter of November 22, 1989 to the
Public Transportation Division of the City of High Point, North
Carolina. Copy in docket.
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EPA does not regard engines inventoried beyond the end of a model
year for reasonable anticipated warranty needs to be ``stockpiled''.
However, because of the manufacturers' understandable desire to avoid
inventory costs, this option would not likely be able to supply
significant numbers of replacement engines.
(2) Obtain a used or remanufactured engine. EPA has no restrictions
on the installation of used or remanufactured engines in equipment that
predates the relevant effective date of the Marine SI or Small SI rule.
Further, marine engines certified to an earlier standard may be
remanufactured to be identical to a certified configuration of the same
or later model year and used for replacement applications. However,
engine and equipment manufacturers have informed us that there is no
significant rebuilding industry for Small SI engines as there is for
categories of larger engines. Rebuilding of marine engines is more
common, however marine engine manufacturers have informed us that
rebuilt engines are not commonly available to replace engines that are
less than approximately five years old and even then may not be widely
available for some configurations.
(3) Repair the individual engine using a ``short block''. In this
case, a new cylinder block with pistons, connecting rods, crankshaft
and timing gear (a ``short block'') serves as a repair part. EPA has a
long standing policy that a short block is not a new engine and will
not result in a new engine when combined with the used components from
the original engine.8
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\8\ Letters of December 11, 1989 and April 6, 1990 from Charles
N. Freed, EPA to Mitsubishi Motors America, Inc. Copies located in
docket.
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(4) Replace the failed engine with a new, certified engine. In this
case, a new certified engine is installed in place of the uncertified
engine or older marine engine. This is the most desirable option from
the Agency's point of view, however in many cases certified engines
will not fit in equipment that may have been designed around
uncertified engines or older marine engines. Engines certified to the
latest standards may be equipped with additional or different
components which impact the external dimensions of or connections to
the engines and therefore limit their abilities to fit in engine
compartments of older equipment.
From the engine and equipment manufacturers' point of view, all of
the current options described above have limitations. The manufacturers
point to long standing industry practices of being able to provide
complete, new replacement engines expeditiously when catastrophic
engine failures occur, particularly when those failures affect
equipment in the first few years of use, and even more particularly
when it may still be under warranty. Many of the Small SI engines are
used in specialized agricultural or construction equipment. Timely
repairs can be crucial when the broken engine is in a piece of
[[Page 42641]]
construction equipment and a construction project sequence is being
held up. Many Marine SI engines are used in commercial fishing or
tourist vessels where downtime means loss of income to the operator.
Also, many users of Small SI powered equipment and Marine SI engines
are small businesses who can not afford the additional downtime and
expense that may be associated with waiting for an engine overhaul.
Further, because of the diversity of nonroad products using Small SI
engines, suitable replacement or rental nonroad equipment is not always
readily available. The equipment and engine manufacturers have also
explained that the need to repair an engine using a short block leads
to delays and extra costs that would not occur if the old, broken
engine could simply be exchanged for a new uncertified engine. They
argue that the short block option requires greater skills and
facilities and more time to complete than an engine swap and produces
an engine that is not a factory-tested and adjusted unit. From an air
quality standpoint, they argue that an entire new uncertified engine
might be better than an old engine repaired with a new short block or
replaced with a remanufactured engine.
The two major U.S. manufacturers of outboard marine engines have
indicated to EPA that replacement powerheads comprise less than one
percent of annual U.S. sales. Engine replacement is rare in walk-behind
lawnmowers which is the most common application of nonhandheld Small SI
engines. Further, the two major manufacturers of walk-behind mower
engines have indicated that their certified configurations will fit
older mower applications. One of these companies has told EPA that
replacement engines are less than one percent of its business. Another
Small SI engine manufacturer has indicated to EPA that only about two
percent of its annual sales are for replacement purposes, and that many
of these will be certified engines. This particular manufacturer
pointed out that its sales of replacement engines are probably higher
than the industry average, because it produces mostly larger, more
expensive nonhandheld engines used in ``high end'' equipment where the
value of the equipment drives the decision toward replacing the engine
rather than the entire piece of equipment.
Engine manufacturers are still producing uncertified complete
engines for export, or are sometimes willing to produce small
quantities for domestic replacement purposes, and desire to be able to
sell them (or provide them under warranty) for replacement purposes.
EPA notes that the California Air Resources Board, in its regulation of
both Small SI engines and large nonroad compression ignition engines,
permits the introduction into commerce of uncertified engines for
replacement purposes up through January 1, 1999 and January 1, 2000
respectively. (California does not regulate Marine SI engines.) In a
direct final rulemaking very similar to today's rulemaking that was
published on November 12, 1996 (61 FR 58102), EPA established
provisions to permit the sale of uncertified large compression ignition
(Large CI) nonroad engines for replacement purposes in pre-regulation
equipment based on considerations consistent with those described
above.
The Agency is amending the Small SI and Marine SI regulations to
permit the sale of uncertified replacement engines in those cases where
a new, certified engine is not available with appropriate physical or
performance characteristics to repower the equipment, as a reasonable
way to balance achieving the air quality benefits of the Small SI and
Marine SI programs with the desire to minimize disruption to equipment
owners accustomed to using replacement engines. However, if a certified
engine is available with sufficient torque and horsepower that will fit
in the equipment, then the certified engine should be used so that the
goals of the Clean Air Act to convert the fleet of Small SI and Marine
SI engines to certified status are promptly fulfilled. The amended
Small SI regulations will permit a nonroad engine in a piece of
equipment that predates the applicable implementation date of the Small
SI rule to be replaced with a new, uncertified engine. Similarly, the
amended Marine SI regulations will permit the powerhead in an outboard
or PWC (including a jetboat) that predates the applicable
implementation date of the Marine SI rule to be replaced with a new,
uncertified engine. The amended Marine SI regulation will also permit
powerheads certified in an earlier year of the phase in, but not
certified in the then current model year to be replaced with a new,
uncertified powerhead provided the powerhead is of a configuration
identical in all material respects to that of the failed powerhead or a
later model year powerhead.
Given the small percentage of engines that will likely require
replacement, the fact that some of those will get replaced with
certified engines and the likelihood that a new replacement engine will
be at least as clean as a remanufactured engine or an engine repaired
with a short block, EPA concludes that permitting the use of
uncertified replacement engines in these situations will not pose an
environmental threat or reduce the environmental benefit of the Small
SI or Marine SI rules. Further, EPA concludes that it would be
unreasonable to impose upon equipment operators, the costs associated
with having to replace failed engines with certified engines, where
appropriate certified engines are not available for pre-regulatory
equipment or for marine engines built to less stringent standards.
B. Regulatory Approach
EPA is implementing this provision through amendments to the
Prohibited Acts sections at 40 CFR 90.1003 and 91.1103. To ensure that
the replacement engine provision is properly used, these amendments
will include controls nearly identical to those adopted in the direct
final rule for Large CI engines referenced above. EPA is requiring that
any uncertified Small SI engine produced for replacement purposes be
clearly labeled as such and that such label include a warning that any
use of the engine in post-regulation nonroad equipment constitutes a
violation of the Act subject to civil penalty. EPA is adopting these
same provisions for replacement marine engines except that the labeling
requirement will be different to reflect the phase in of the marine
standards. In this case the label must reflect that the engine may be
used to replace only pre-regulation engines or engines certified for a
model year that is no later than the last year in which the replacement
engine was certified. For both Marine SI and Small SI engines, EPA is
requiring that the manufacturer ascertain that no certified engine with
appropriate characteristics is available that will fit in the equipment
and that the manufacturer or its agent takes possession of the old
engine. Requiring the equipment owner to ``turn in'' an old engine
provides the manufacturer or its agent with a clear opportunity to
confirm the existence of an old engine, evaluate its configuration and
make sure the appropriate replacement engine is supplied. Unlike in the
Large CI replacement engine rule, we are providing that EPA may approve
alternative control measures to the requirement that the manufacturer
or its agent take possession of the old engine when selling an
uncertified replacement engine. We believe this flexibility may be
necessary to accomodate some distribution channels through which small
engines and marine engines may be sold if these channels are shown to
be unable to accomodate old engines. EPA would approve alternate
[[Page 42642]]
approaches if persuaded that the approach provides equivalent control
to the requirement to turn in the old engine to the manufacturer or its
agent.
VI. Use of Two Stroke Engines in Nonhandheld Equipment
A. Discussion
Presently, the Small SI rule contains provisions at 40 CFR
90.103(a)(3) and 90.107(e)(1) through (5) to permit manufacturers of
two stroke lawnmower engines to continue to sell those engines through
model year 2002 provided they can certify them to the handheld
standards appropriate for their displacement. These provisions require
the engine manufacturer to establish a baseline annual sales number
based on their 1992 through 1994 sales of such engines and then comply
with a declining production cap through the 2002 model year. In 2003,
the engines would have to meet the appropriate nonhandheld standards,
either those contained in the current rule or in any superseding rule.
As discussed in the preamble to the final Phase 1 rule, these
provisions were established to minimize the economic hardship of the
small engine rule on two stroke lawnmower engine and equipment
manufacturers and to provide adequate lead time for compliance with the
nonhandheld standards. See 60 FR 34593-34594. EPA incorporates that
discussion by reference. Recently, EPA has become aware of a very small
manufacturer (less than 100 units per year) of specialty lawn care
equipment who has historically used two stroke engines on its products,
was unaware of the promulgation of the Phase 1 rule until recently, and
would face severe lead time problems and economic hardship if it had to
quickly switch over to four stroke engines to power its equipment. Its
equipment will require substantial redesign to use four stroke engines
for which additional lead time is necessary. EPA believes there may be
other small entities with similar situations but does not believe there
are any that produce substantial volumes of equipment. In the case of
small volume manufacturers, the per unit cost of forcing equipment
redesign to accommodate four stroke engines is especially high. EPA has
concluded that it is equitable and appropriate to treat such companies
in the same manner as the two stroke lawnmower engine manufacturers are
being treated and has determined it is appropriate to expand the
provisions providing relief for lawnmowers to encompass any nonhandheld
equipment that has historically been produced with two stroke engines,
provided that the manufacturer can demonstrate to EPA that no suitable
four stroke engine is available and that substantial redesign of the
equipment requiring additional lead time to avoid economic hardship
would be necessary to accommodate a four stroke engine. Without
providing relief to address these situations, the cost of compliance
with the nonhandheld standards would be unreasonably high. In order to
avoid this result, EPA has determined that it is more reasonable to
provide a relaxation of standards in these situations.
With regard to the declining annual cap imposed in Sec. 90.107(e)
upon the lawnmower engine manufacturers, EPA believes that a declining
cap may not be appropriate or necessary for specialty equipment whose
production is already very low, and could serve to eliminate any
benefit that the provision may offer to a small equipment manufacturer,
because it might force them to produce both two and four stroke
versions at the same time to maintain sales levels. Therefore, EPA is
adding a provision at Sec. 90.107(g) that would allow the cap to be
waived by EPA upon a demonstration by the engine or specialty equipment
manufacturer that compliance with the cap would not be economically
feasible. This waiver authority would not be extended to the high
volume lawnmower manufacturers currently covered under Sec. 90.107(e),
nor would it be extended to any other high-volume nonhandheld engine
manufacturer, in the unlikely event that one might come forward and
seek relief to enable it to use a two stroke engine.
B. Regulatory Approach
The regulatory change will be implemented by modifications to
sections on Exhaust Emission Standards (Sec. 90.103) and the
Application for Certification (Sec. 90.107). The relevant provision at
Sec. 90.103(a)(3) previously applied only to manufacturers of two
stroke lawnmowers and will now be expanded to include ``lawnmowers or
other nonhandheld equipment''. In Sec. 90.107, a new paragraph will be
added to provide the criteria by which EPA can approve the use of two
stroke engines in nonhandheld equipment other than lawnmowers. Because
the provision for two stroke engines in lawnmowers was based on
substantial information about the impact of the Small SI nonhandheld
standards on certain manufacturers and because EPA desires nonhandheld
equipment manufacturers to use engines certified to nonhandheld
standards whenever possible, EPA is including a requirement, applicable
to manufacturers of nonhandheld equipment other than lawnmowers, that
the equipment manufacturer must demonstrate that a suitable engine
meeting nonhandheld standards is not available to fit the existing
equipment design and that the equipment can not be converted to accept
an engine meeting the nonhandheld standards without substantial and
costly redesign for which additional lead time is necessary.
The original regulation included a declining production cap at
Sec. 90.107 to provide for the phase out of two stroke equipped
lawnmowers. The declining cap approach was designed to address
relatively high-volume two stroke lawnmower manufacturers who would be
able to gradually shift their production to four stroke mowers.
Nonhandheld equipment other than lawnmowers that may qualify to use two
stroke engines is expected to be produced only in very small quantities
and EPA believes that a declining production cap may be unnecessary for
such equipment. Consequently, a provision has been added to permit EPA
to waive the declining cap for equipment other than lawnmowers, if the
equipment manufacturer can make a demonstration that complying with the
cap would be economically infeasible.
VII. Final Action
EPA is publishing this rule without prior proposal because EPA
views these amendments as noncontroversial and anticipates no adverse
comments. However, in the event that adverse or critical comments are
filed, EPA has prepared a Notice of Proposed Rulemaking (NPRM)
proposing the same amendments. This NPRM is contained in a separate
document in this Federal Register publication. The direct final action
will be effective October 6, 1997, unless adverse or critical comments
are received by September 8, 1997. If EPA receives adverse or critical
comments on either the relevant revisions discussed in Section V or
those discussed in Section VI, the revisions described in that section
will be withdrawn. If adverse or critical comments are received on the
revisions described in both sections, then both sections will be
withdrawn before the effective date. In case of the withdrawal of all
or part of this action, the withdrawal will be announced by a
subsequent Federal Register document. All public comments will then be
addressed in a subsequent final rule based on this action serving as a
proposed rule. EPA will not provide a second comment period on this
action. Any parties
[[Page 42643]]
interested in commenting on this rule should do so at this time. If no
adverse comments are received, the public is advised that the rule will
be effective October 6, 1997.
VIII. Cost Effectiveness
This rulemaking alters an existing provision by allowing nonroad
equipment manufacturers to have greater flexibility in their choice of
engines under certain circumstances. It also permits nonroad engine
manufacturers to sell engines that the original rule would not permit.
Therefore, because this rulemaking alters existing provisions, and that
alteration provides regulatory relief, there are no additional costs to
original equipment manufacturers associated with this specific final
action.
The costs and emission reductions associated with the Small SI rule
were developed for the July 3, 1995 final rulemaking. The costs and
emission reductions associated with the Marine SI rule were developed
for the October 4, 1996 rulemaking. We do not believe the changes being
implemented today affect the costs and emission reductions published as
part of those rulemakings.
IX. Administrative Requirements
A. Administrative Designation
Under Executive Order 12866 (58 FR 51735, October 4, 1993), the
Agency must determine whether the regulatory action is ``significant''
and therefore subject to OMB review and the requirements of the
Executive Order. The Order defines ``significant regulatory action'' as
one that is likely to result in a rule that may: (1) Have an annual
effect on the economy of $100 million or more or adversely affect in a
material way the economy, a sector of the economy, productivity,
competition, jobs, the environment, public health or safety, or State,
local, or tribal governments or communities; (2) Create a serious
inconsistency or otherwise interfere with an action taken or planned by
another agency; (3) Materially alter the budgetary impact of
entitlements, grants, user fees, or loan programs or the rights and
obligations of recipients thereof; or, (4) Raise novel legal or policy
issues arising out of legal mandates, the President's priorities, or
the principles set forth in the Executive Order. It has been determined
that this rule is not a ``significant regulatory action'' under the
terms of Executive Order 12866 and is therefore not subject to OMB
review.
B. Reporting and Recordkeeping Requirements
This final rulemaking does not change the information collection
requirements submitted to and approved by OMB in association with the
Small SI final rulemaking (60 FR 34582, July 3, 1995) or submitted to
OMB in association with the Marine SI final rulemaking (61 FR 52088,
October 4, 1996). An Agency may not conduct or sponsor and a person is
not required to respond to a collection of information unless it
displays a currently valid OMB control number. The OMB control numbers
for EPA's regulations are listed in 40 CFR part 9 and 48 CFR Chapter
15.
C. Regulatory Flexibility
EPA has determined that it is not necessary to prepare a regulatory
flexibility analysis in connection with this final rule. EPA has also
determined that this rule will not have a significant adverse economic
impact on a substantial number of small entities. This is because
today's rulemaking will provide regulatory relief to both large and
small volume engine and equipment manufacturers by permitting greater
flexibility in engine choices in equipment. Moreover, the provisions in
this rulemaking simply permit long-standing business practices to
continue.
D. Submission to Congress and the General Accounting Office
Under 5 U.S.C. 801(a)(1)(A) as added by the Small Business
Regulatory Enforcement Fairness Act of 1996, EPA submitted a report
containing this rule and other required information to the U.S. Senate,
the U.S. House of Representatives and the Comptroller General of the
General Accounting Office prior to publication of the rule in today's
Federal Register. This rule is not a ``major rule'' as defined by 5
U.S.C. 804(2).
E. Unfunded Mandates Act
Under Section 202 of the Unfunded Mandates Reform Act of 1995
(``Unfunded Mandates Act''), signed into law on March 22, 1995, EPA
must prepare a budgetary impact statement to accompany any proposed or
final rule that includes a Federal mandate that may result in estimated
costs to State, local, or tribal governments in the aggregate, or to
the private sector, of $100 million or more. Under Section 205, EPA
must select the most cost effective and least burdensome alternative
that achieves the objectives of the rule and is consistent with
statutory requirements. Section 203 requires EPA to establish a plan
for informing and advising any small governments that may be
significantly or uniquely impacted by the rule. EPA has determined that
the action proposed today does not include a Federal mandate that may
result in estimated costs of $100 million or more to either State,
local, or tribal governments in the aggregate, or to the private
sector. Therefore, EPA has not prepared a budgetary impact statement
for this rule.
List of Subjects in 40 CFR Parts 90 and 91
Environmental protection, Air pollution control, Confidential
business information, Imports, Labeling, Nonroad source pollution,
Reporting and recordkeeping requirements, Research, Warranties.
Dated: July 30, 1997.
Carol M. Browner,
Administrator.
For the reasons set out in the preamble, title 40, chapter I, of
the Code of Federal Regulations, is amended as follows:
PART 90--CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES
1. The authority citation for part 90 continues to read as follows:
Authority: Sections 203, 204, 205, 206, 207, 208, 209, 213, 215,
216, and 301(a) of the Clean Air Act, as amended (42 U.S.C. 7522,
7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, and 7601(a)).
2. Section 90.103 is amended by revising paragraph (a)(3) to read
as follows:
Sec. 90.103 Exhaust emission standards.
(a) * * *
(3) Notwithstanding paragraph (a)(2) of this section, two stroke
engines used to power lawnmowers or other nonhandheld equipment as
allowed in Sec. 90.107 (e), (f) and (h) may meet class III, IV, or V
standards until model year 2003.
* * * * *
3. Section 90.107 is amended by adding a new paragraph (h) to read
as follows:
Sec. 90.107 Application for certification.
* * * * *
(h)(1) The Administrator may, upon receipt of a written request
from an equipment manufacturer, accompanied by sufficient
documentation, permit two stroke engines produced for nonhandheld
equipment other than lawnmowers to meet the standards specified in
Sec. 90.103(a)(3) under the schedule outlined in paragraph (e) of this
section. The equipment manufacturer must demonstrate to the
satisfaction of the Administrator that:
[[Page 42644]]
(i) Four stroke engines for such equipment are not available with
suitable physical or performance characteristics; and
(ii) The equipment can not be converted to use four stroke engines
without substantial redesign for which additional lead time is
necessary to avoid economic hardship.
(2) The Administrator may waive the phase-in percentages of
paragraphs (e)(3) and (e)(4) of this section for engines used in low
volume nonhandheld equipment other than lawnmowers where the equipment
manufacturer demonstrates to the satisfaction of the Administrator that
compliance with the production cap is not economically feasible.
4. Section 90.1003 is amended by adding paragraph (b)(5) to read as
follows:
Sec. 90.1003 Prohibited acts.
* * * * *
(b) * * *
(5) A new nonroad engine, intended solely to replace an engine in a
piece of nonroad equipment that was originally produced with an engine
manufactured prior to the applicable implementation date as described
in Sec. 90.2, Sec. 90.103 and Sec. 90.106, shall not be subject to the
requirements of Sec. 90.106 or prohibitions of paragraphs (a)(1) and
(b)(4) of this section provided that:
(i) The engine manufacturer has ascertained that no engine produced
by itself or the manufacturer of the engine that is being replaced, if
different, and certified to the requirements of this subpart, is
available with the appropriate physical or performance characteristics
to repower the equipment; and
(ii) Unless an alternative control mechanism is approved in advance
by the Administrator, the engine manufacturer or its agent takes
ownership and possession of the engine being replaced; and
(iii) The replacement engine is clearly labeled with the following
language, or similar alternate language approved in advance by the
Administrator:
This engine does not comply with federal nonroad or on-highway
emission requirements. Sale or installation of this engine for any
purpose other than as a replacement engine in a nonroad vehicle or
piece of nonroad equipment whose original engine was not certified
is a violation of Federal law subject to civil penalty.
PART 91--CONTROL OF EMISSIONS FROM MARINE SPARK-IGNITION ENGINES
5. The authority citation for part 91 continues to read as follows:
Authority: Sections 203, 204, 205, 206, 207, 208, 209, 213, 215,
216, and 301(a) of the Clean Air Act, as amended (42 U.S.C. 7522,
7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, and 7601(a)).
6. Section 91.1103 is amended by adding paragraph (b)(4) to read as
follows:
Sec. 91.1103 Prohibited acts.
* * * * *
(b) * * *
(4) A new marine spark-ignition engine intended solely to replace
an engine in an outboard engine, or other engine to which this Part is
applicable as determined by Secs. 91.1, 91.101, 91.106 that was
originally produced with an engine manufactured prior to the applicable
implementation date as described in Secs. 91.2, and 91.106 and
91.205(a)(1), or that was originally produced in a model year in which
less stringent emission standards under this part were in effect shall
not be subject to the requirements of Sec. 91.106 or the prohibitions
of paragraph (a)(1) of this section provided that:
(i) The engine manufacturer has ascertained that no engine produced
by itself or the manufacturer of the engine that is being replaced, if
different, and certified to the requirements of this subpart, is
available with the appropriate physical or performance characteristics
to repower the outboard, personal watercraft or jetboat; and
(ii) Unless an alternative control mechanism is approved in advance
by the Administrator, the engine manufacturer or its agent takes
ownership and possession of the engine being replaced; and
(iii) The replacement engine is clearly labeled with the following
language, or similar alternate language approved in advance by the
Administrator:
This engine does not comply with Federal nonroad or on-highway
emission requirements. Sale or installation of this engine for any
purpose other than as a replacement engine in a marine vessel whose
original engine was not certified, or was certified to less
stringent emission standards than those that apply to the year of
manufacture of this engine, is a violation of Federal law subject to
civil penalty; and
(iv) Where the replacement engine is intended to replace an engine
built after the applicable implementation date as described in
Secs. 91.2, 91.106 and 91.205(a)(1), but built to less stringent
emission standards than are currently applicable, the replacement
engine shall be identical in all material respects to a certified
configuration of the same or later model year as the engine being
replaced.
[FR Doc. 97-20821 Filed 8-6-97; 8:45 am]
BILLING CODE 6560-50-P
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