[[pp. 28247-28296]]
[Federal Register: May 18, 2007 (Volume 72, Number 96)]
[Proposed Rules]
[Page 28247-28296]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr18my07-20]
[[pp. 28247-28296]]
Control of Emissions from Nonroad Spark-Ignition
Engines and Equipment
[[Continued from page 28246]]
[[Page 28247]]
rotationally-molded marine fuel tank manufacturers and material
suppliers to assess the progress of low-permeation fuel tank
development and compliance.
Design-Based Certification--The Panel recommended that EPA propose
a design-based certification for carbon canisters and fuel tanks. For
the carbon canisters, the design requirement would call for a ratio of
carbon volume (liters) to fuel tank capacity (gallons) of 0.04 liter/
gallon for boats less than 26 feet in length, and 0.016 liter/gallon
for larger boats. The different canister sizes are intended to account
for the differences between boats normally trailered to the water for
use versus boats normally stored in the water between uses. For fuel
tanks, the Panel recommended that EPA propose to allow design-based
certification for metal tanks and plastic fuel tanks with a continuous
EVOH barrier.
SERs commented that the American Boat and Yacht Council (ABYC) and
the Society of Automotive Engineers (SAE) have industry recommended
practices for boat designs that must be met as a condition of
membership in the National Marine Manufacturers Association (NMMA).
NMMA is working to update these recommended practices to include carbon
canister installation specifications and a low-permeation fuel line
designation. The Panel recommended that EPA propose to accept data used
for meeting the voluntary requirements as part of the EPA certification.
Additional Lead Time for Small SI Fuel Line Requirement--EPA is
proposing to apply the fuel line permeation requirements beginning with
the 2008 model year for Small SI nonhandheld equipment. Given the short
lead time before 2008, small business equipment manufacturers may not
be ready for such a requirement. The Panel recommended EPA propose a
2009 implementation date for low-permeation fuel line for small
business equipment manufacturers producing Small SI nonhandheld equipment.
(d) Manufacturer Hardship Provisions
The Panel recommended that EPA propose hardship programs for
affected manufacturers. EPA has adopted hardship provisions in a number
of previous rules. The following section summarizes the hardship
provisions recommended by the Panel which would be available to engine
manufacturers, equipment manufacturers, vessel manufacturers, and fuel
system component manufacturers (i.e., fuel tank, fuel line, and fuel
cap manufacturers). A discussion of the proposed hardship provisions
can be found in Sections VIII.C.8, VIII.C.9, and VIII.C.10.
Unusual Circumstances Hardship--The Panel recommended that EPA
propose a provision allowing for hardship relief under unusual
circumstances for manufacturers affected by this rule. Manufacturers
would be able to apply for hardship relief if circumstances outside
their control cause the failure to comply and if failure to sell the
subject engines or equipment would jeopardize the company's solvency.
An example of an unusual circumstance outside a manufacturer's control
may be an ``Act of God,'' a fire at the manufacturing plant, or the
unforeseen shut down of a supplier with no alternative available.
Economic Hardship--The Panel recommended that EPA propose economic
hardship provisions for small businesses affected by this rule. Small
manufacturers would be able to petition EPA for limited additional lead
time to comply with the standards. A manufacturer would have to make
the case that it has taken all possible business, technical, and
economic steps to comply but the burden of compliance costs would have
a significant impact on the company's solvency.
We invite comments on all aspects of the proposal and its impacts
on small entities.
D. Unfunded Mandates Reform Act
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), Public
Law 104-4, establishes requirements for federal agencies to assess the
effects of their regulatory actions on state, local, and tribal
governments and the private sector. Under section 202 of the UMRA, EPA
generally must prepare a written statement, including a cost-benefit
analysis, for proposed and final rules with ``federal mandates'' that
may result in expenditures to state, local, and tribal governments, in
the aggregate, or to the private sector, of $100 million or more in any
one year. Before promulgating an EPA rule for which a written statement
is needed, section 205 of the UMRA generally requires that EPA identify
and consider a reasonable number of regulatory alternatives and adopt
the least costly, most cost-effective, or least burdensome alternative
that achieves the objectives of the rule. The provisions of section 205
do not apply when they are inconsistent with applicable law. Moreover,
section 205 allows EPA to adopt an alternative other than the least
costly, most cost-effective, or least burdensome alternative if the
Administrator publishes with the final rule an explanation of why that
alternative was not adopted.
Before EPA establishes any regulatory requirements that may
significantly or uniquely affect small governments, including tribal
governments, it must have developed under section 203 of the UMRA a
small government agency plan. The plan must provide for notifying
potentially affected small governments, enabling officials of affected
small governments to have meaningful and timely input in the
development of EPA regulatory proposals with significant federal
intergovernmental mandates, and informing, educating, and advising
small governments on compliance with the regulatory requirements.
This rule contains no federal mandates for state, local, or tribal
governments as defined by the provisions of Title II of the UMRA. The
rule imposes no enforceable duties on any of these governmental
entities. Nothing in the rule would significantly or uniquely affect
small governments.
EPA has determined that this rule contains federal mandates that
may result in expenditures of more than $100 million to the private
sector in any single year. EPA believes that the proposal represents
the least costly, most cost-effective approach to achieve the air
quality goals of the rule. The costs and benefits associated with the
proposal are discussed above and in the Draft Regulatory Impact
Analysis as required by the UMRA.
E. Executive Order 13132: Federalism
Executive Order 13132, entitled ``Federalism'' (64 FR 43255, August
10, 1999), requires EPA to develop an accountable process to ensure
``meaningful and timely input by State and local officials in the
development of regulatory policies that have federalism implications.''
``Policies that have federalism implications'' is defined in the
Executive Order to include regulations that have ``substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.''
Under section 6 of Executive Order 13132, EPA may not issue a
regulation that has federalism implications, that imposes substantial
direct compliance costs, and that is not required by statute, unless
the Federal government provides the funds necessary to pay the direct
compliance costs incurred by State and local governments, or EPA
consults with State and local officials early in the process of
developing the proposed regulation. EPA also may not issue a regulation
that has federalism implications and that preempts State law, unless
the Agency consults with
[[Page 28248]]
State and local officials early in the process of developing the
proposed regulation.
Section 4 of the Executive Order contains additional requirements
for rules that preempt State or local law, even if those rules do not
have federalism implications (i.e., the rules will not have substantial
direct effects on the States, on the relationship between the national
government and the states, or on the distribution of power and
responsibilities among the various levels of government). Those
requirements include providing all affected State and local officials
notice and an opportunity for appropriate participation in the
development of the regulation. If the preemption is not based on
express or implied statutory authority, EPA also must consult, to the
extent practicable, with appropriate State and local officials
regarding the conflict between State law and Federally protected
interests within the agency's area of regulatory responsibility.
This proposed rule does have federalism implications. It does not
propose any significant revisions from current statutory and regulatory
requirements, but it proposes to codify existing statutory
requirements. Prior to the passage of Public Law 108-199, the various
states could adopt and enforce nonroad emission control standards
previously adopted by the state of California under section 209(e) of
the Clean Air Act, once California had received authorization from EPA
to enforce such standards. As part of directing EPA to undertake this
rulemaking, section 428 of Public Law 108-199 has taken away the
authority of states to adopt California standards for any nonroad
spark-ignition engine under 50 horsepower that they had not already
adopted by September 1, 2003. No state had done so by that date. No
current state law is affected by the provisions of Public Law 108-199
mentioned above. Today's action proposes to codify the statutory
provision prohibiting other states from adopting California standards
for nonroad spark-ignition engines under 50 horsepower. It does not
affect the independent authority of California.
EPA did consult with representatives of various State and local
governments in developing this rule. EPA has also consulted
representatives from the National Association of Clean Air Agencies
(NACAA), which represents state and local air pollution officials.
These officials participated in two EPA workshops regarding the Small
SI safety study in which they expressed concern about the language of
section 428 of Public Law 108-199 limiting the states ability to adopt
the California standards for nonroad spark-ignition engines under 50
horsepower and urged EPA to move expeditiously in adopting new Federal
emission standards for this category.
In the spirit of Executive Order 13132, and consistent with EPA
policy to promote communications between EPA and State and local
governments, EPA specifically solicits comment on this proposed rule
from State and local officials.
F. Executive Order 13175: Consultation and Coordination With Indian
Tribal Governments
Executive Order 13175, entitled ``Consultation and Coordination
with Indian Tribal Governments'' (59 FR 22951, November 9, 2000),
requires EPA to develop an accountable process to ensure ``meaningful
and timely input by tribal officials in the development of regulatory
policies that have tribal implications.''
This proposed rule does not have tribal implications as specified
in Executive Order 13175. This rule will be implemented at the Federal
level and impose compliance costs only on engine and equipment
manufacturers. Tribal governments will be affected only to the extent
they purchase and use equipment with regulated engines. Thus, Executive
Order 13175 does not apply to this rule. EPA specifically solicits
additional comment on this proposed rule from tribal officials.
G. Executive Order 13045: Protection of Children From Environmental
Health and Safety Risks
Executive Order 13045, ``Protection of Children from Environmental
Health Risks and Safety Risks'' (62 FR 19885, April 23, 1997) applies
to any rule that (1) Is determined to be ``economically significant''
as defined under Executive Order 12866, and (2) concerns an
environmental health or safety risk that EPA has reason to believe may
have a disproportionate effect on children. If the regulatory action
meets both criteria, section 5-501 of the Order directs the Agency to
evaluate the environmental health or safety effects of the planned rule
on children, and explain why the planned regulation is preferable to
other potentially effective and reasonably feasible alternatives
considered by the Agency.
This proposed rule is not subject to the Executive Order because it
does not involve decisions on environmental health or safety risks that
may disproportionately affect children.
The effects of ozone on children's health were addressed in detail
in EPA's rulemaking to establish the NAAQS for these pollutants, and
EPA is not revisiting those issues here. EPA believes, however, that
the emission reductions from the strategies proposed in this rulemaking
will further reduce air toxic emissions and the related adverse impacts
on children's health.
H. Executive Order 12898: Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations.
Executive Order (EO) 12898 (59 FR 7629 (Feb. 16, 1994)) establishes
federal executive policy on environmental justice. Its main provision
directs federal agencies, to the greatest extent practicable and
permitted by law, to make environmental justice part of their mission
by identifying and addressing, as appropriate, disproportionately high
and adverse human health or environmental effects of their programs,
policies, and activities on minority populations and low-income
populations in the United States.
EPA has determined that this proposed rule will not have
disproportionately high and adverse human health or environmental
effects on minority or low-income populations because it increases the
level of environmental protection for all affected populations without
having any disproportionately high and adverse human health or
environmental effects on any population, including any minority or low-
income population. This proposed rule will reduce air pollution from
mobile sources in general and thus decrease the amount of such
emissions to which all affected populations are exposed.
I. Executive Order 13211: Actions That Significantly Affect Energy
Supply, Distribution, or Use
This rule is not a ``significant energy action'' as defined in
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use'' (66 FR
28355, May 22, 2001), because it is not likely to have a significant
adverse effect on the supply, distribution, or use of energy. If
promulgated, this proposed rule is expected to result in the use of
emission control technologies that are estimated to reduce nationwide
fuel consumption by around 100 million gallons per year by 2020.
J. National Technology Transfer Advancement Act
Section 12(d) of the National Technology Transfer and Advancement
[[Page 28249]]
Act of 1995 (``NTTAA''), Public Law 104-113, section 12(d) (15 U.S.C.
272 note) directs EPA to use voluntary consensus standards in its
regulatory activities unless doing so would be inconsistent with
applicable law or otherwise impractical. Voluntary consensus standards
are technical standards (e.g., materials specifications, test methods,
sampling procedures, and business practices) that are developed or
adopted by voluntary consensus standards bodies. NTTAA directs EPA to
provide Congress, through OMB, explanations when the Agency decides not
to use available and applicable voluntary consensus standards.
This proposed rulemaking involves technical standards. EPA proposes
to use the test procedures specified in 40 CFR part 1065, as described
in Section IX. While the Agency identified the test procedures
specified by the International Organization for Standardization (ISO
8178) as being potentially applicable, we do not propose to use it in
this rulemaking. The use of this voluntary consensus standard would be
impractical because we have been working with engine manufacturers and
other interested parties in comprehensive improvements to test
procedures for measuring engine emissions, as reflected by the
provisions in part 1065. We expect these procedures to form the basis
for internationally harmonized test procedures that will be adopted by
ISO, other testing organizations, and other national governments.
EPA welcomes comments on this aspect of the proposed rulemaking
and, specifically, invites the public to identify potentially
applicable voluntary consensus standards and to explain why such
standards should be used in this regulation.
List of Subjects
40 CFR Part 60
Administrative practice and procedure, Air pollution control,
Incorporation by reference, Intergovernmental relations, Reporting and
recordkeeping requirements.
40 CFR Part 63
Administrative practice and procedure, Air pollution control,
Hazardous substances, Incorporation by reference, Intergovernmental
relations, Reporting and recordkeeping requirements.
40 CFR Part 85
Confidential business information, Imports, Labeling, Motor vehicle
pollution, Reporting and recordkeeping requirements, Research, Warranties.
40 CFR Part 89
Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Labeling, Motor vehicle
pollution, Reporting and recordkeeping requirements, Research, Vessels,
Warranty.
40 CFR Part 90
Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Labeling, Reporting and
recordkeeping requirements, Research, Warranty.
40 CFR Part 91
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Labeling, Penalties, Reporting and recordkeeping requirements, Warranties.
40 CFR Part 1027
Environmental protection, Administrative practice and procedure,
Air pollution control, Imports, Reporting and recordkeeping requirements.
40 CFR Parts 1045, 1048, 1051, 1054, and 1060
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by Reference, Labeling, Penalties, Reporting and
recordkeeping requirements, Warranties.
40 CFR Part 1065
Environmental protection, Administrative practice and procedure,
Incorporation by reference, Reporting and recordkeeping requirements,
Research.
40 CFR Part 1068
Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Motor vehicle pollution,
Penalties, Reporting and recordkeeping requirements, Warranties.
40 CFR Part 1074
Environmental protection, Administrative practice and procedure,
Motor vehicle pollution.
Dated: April 17, 2007.
Stephen L. Johnson,
Administrator.
For the reasons set out in the preamble, title 40, chapter I of the
Code of Federal Regulations is proposed to be amended as set forth below.
PART 60--STANDARDS OF PERFORMANCE FOR NEW STATIONARY SOURCES
1. The authority citation for part 60 continues to read as follows:
Authority: 42 U.S.C. 7401, et seq.
Subpart JJJJ--[Amended]
2. Section 60.4231 as proposed on June 12, 2006 (71 FR 33804) is
proposed to be further amended by revising the section heading and
paragraphs (a), (b), and (c) and adding paragraph (e) to read as follows:
Sec. 60.4231 What emission standards must I meet if I am a
manufacturer of stationary SI internal combustion engines or equipment
containing such engines?
(a) Stationary SI internal combustion engine manufacturers must
certify their stationary SI ICE with a maximum engine power less than
or equal to 19 KW (25 HP) manufactured on or after January 1, 2008 to
the certification emission standards and other requirements for new
nonroad SI engines in 40 CFR part 90 or 1054, as follows:
------------------------------------------------------------------------
the engine must
meet emission
standards and
and manufacturing related
If engine displacement is . . . dates are . . . requirements for
nonhandheld
engines under . .
.
------------------------------------------------------------------------
(1) below 225 cc................ January 1, 2008 to 40 CFR part 90.
December 31, 2011.
(2) below 225 cc................ January 1, 2012 or 40 CFR part 1054.
later.
(3) at or above 225 cc.......... January 1, 2008 to 40 CFR part 90.
December 31, 2010.
(4) at or above 225 cc.......... January 1, 2011 or 40 CFR part 1054.
later.
------------------------------------------------------------------------
[[Page 28250]]
(b) Stationary SI internal combustion engine manufacturers must
certify their stationary SI ICE with a maximum engine power greater
than 19 KW (25 HP) that use gasoline and that are manufactured on or
after the applicable date in Sec. 60.4230(a)(2) to the certification
emission standards and other requirements for new nonroad SI engines in
40 CFR part 1048. Stationary SI internal combustion engine
manufacturers may certify their stationary SI ICE with a maximum engine
power less than or equal to 30 KW (40 HP) with a total displacement
less than or equal to 1,000 cubic centimeters (cc) to the certification
emission standards and other requirements for new nonroad SI engines in
40 CFR part 90 or 1054, as appropriate.
(c) Stationary SI internal combustion engine manufacturers must
certify their stationary SI ICE with a maximum engine power greater
than 19 KW (25 HP) that are rich burn engines that use LPG and that are
manufactured on or after the applicable date in Sec. 60.4230(a)(2) to
the certification emission standards and other requirements for new
nonroad SI engines in 40 CFR part 1048. Stationary SI internal
combustion engine manufacturers may certify their stationary SI ICE
with a maximum engine power less than or equal to 30 KW (40 HP) with a
total displacement less than or equal to 1,000 cc to the certification
emission standards and other requirements for new nonroad SI engines in
40 CFR part 90 or 1054, as appropriate.
* * * * *
(e) Manufacturers of equipment containing stationary SI internal
combustion engines meeting the provisions of 40 CFR part 1054 must meet
the provisions of 40 CFR part 1060, to the extent they apply to
equipment manufacturers.
3. Section 60.4238 as proposed on June 12, 2006 (71 FR 33804) is
revised to read as follows:
Sec. 60.4238 What are my compliance requirements if I am a
manufacturer of stationary SI internal combustion engines < =19 KW (25
HP) or a manufacturer of equipment containing such engines?
Stationary SI internal combustion engine manufacturers who are
subject to the emission standards specified in Sec. 60.4231(a) must
certify their stationary SI ICE using the certification procedures
required in 40 CFR part 90, subpart B, or 40 CFR part 1054, subpart C,
as applicable, and must test their engines as specified in those parts.
Manufacturers of equipment containing stationary SI internal combustion
engines meeting the provisions of 40 CFR part 1054 must meet the
provisions of 40 CFR part 1060, subpart C, to the extent they apply to
equipment manufacturers.
4. Section 60.4239 as proposed on June 12, 2006 (71 FR 33804) is
revised to read as follows:
Sec. 60.4239 What are my compliance requirements if I am a
manufacturer of stationary SI internal combustion engines >19 KW (25
HP) that use gasoline or a manufacturer of equipment containing such
engines?
Stationary SI internal combustion engine manufacturers who are
subject to the emission standards specified in Sec. 60.4231(b) must
certify their stationary SI ICE using the certification procedures
required in 40 CFR part 1048, subpart C, and must test their engines as
specified in that part. Stationary SI internal combustion engine
manufacturers who certify their stationary SI ICE with a maximum engine
power less than or equal to 30 KW (40 HP) with a total displacement
less than or equal to 1,000 cc to the certification emission standards
and other requirements for new nonroad SI engines in 40 CFR part 90 or
40 CFR part 1054 must certify their stationary SI ICE using the
certification procedures required in 40 CFR part 90, subpart B, or 40
CFR part 1054, subpart C, as applicable, and must test their engines as
specified in those parts. Manufacturers of equipment containing
stationary SI internal combustion engines meeting the provisions of 40
CFR part 1054 must meet the provisions of 40 CFR part 1060, subpart C,
to the extent they apply to equipment manufacturers.
5. Section 60.4240 as proposed on June 12, 2006 (71 FR 33804) is
revised to read as follows:
Sec. 60.4240 What are my compliance requirements if I am a
manufacturer of stationary SI internal combustion engines >19 KW (25
HP) that are rich burn engines that use LPG?
Stationary SI internal combustion engine manufacturers who are
subject to the emission standards specified in Sec. 60.4231(c) must
certify their stationary SI ICE using the certification procedures
required in 40 CFR part 1048, subpart C, and must test their engines as
specified in that part. Stationary SI internal combustion engine
manufacturers who certify their stationary SI ICE with a maximum engine
power less than or equal to 30 KW (40 HP) with a total displacement
less than or equal to 1,000 cc to the certification emission standards
and other requirements for new nonroad SI engines in 40 CFR part 90 or
40 CFR part 1054 must certify their stationary SI ICE using the
certification procedures required in 40 CFR part 90, subpart B, or 40
CFR part 1054, subpart C, as applicable, and must test their engines as
specified in those parts. Manufacturers of equipment containing
stationary SI internal combustion engines meeting the provisions of 40
CFR part 1054 must meet the provisions of 40 CFR part 1060, subpart C,
to the extent they apply to equipment manufacturers.
6. Section 60.4242 as proposed on June 12, 2006 (71 FR 33804) is
amended by revising paragraphs (a) and (b) to read as follows:
Sec. 60.4242 What other requirements must I meet if I am a
manufacturer of stationary SI internal combustion engines or equipment
containing stationary SI internal combustion engines or a manufacturer
of equipment containing such engines?
(a) Stationary SI internal combustion engine manufacturers must
meet the provisions of 40 CFR part 90, 40 CFR part 1048, or 40 CFR part
1054, as applicable, as well as 40 CFR part 1068 for engines that are
certified to the emission standards in 40 CFR part 1048 or 1054, except
that engines certified pursuant to the voluntary certification
procedures in Sec. 60.4241 are permitted to provide instructions to
owners and operators allowing for deviations from certified
configurations, if such deviations are consistent with the provisions
of paragraphs Sec. 60.4241(c) through (f). Manufacturers of equipment
containing stationary SI internal combustion engines meeting the
provisions of 40 CFR part 1054 must meet the provisions of 40 CFR part
1060, as applicable. Labels on engines certified to 40 CFR part 1048
must refer to stationary engines, rather than or in addition to nonroad
engines, as appropriate.
(b) An engine manufacturer certifying an engine family or families
to standards under this subpart that are identical to standards
applicable under 40 CFR part 90, 40 CFR part 1048, or 40 CFR part 1054
for that model year may certify any such family that contains both
nonroad and stationary engines as a single engine family and/or may
include any such family containing stationary engines in the averaging,
banking and trading provisions applicable for such engines under those
parts. This provision also applies to equipment or component
manufacturers certifying to standards under 40 CFR part 1060.
* * * * *
7. Section 60.4243 as proposed on June 12, 2006 (71 FR 33804) is
amended
[[Page 28251]]
by revising paragraph (a) to read as follows:
Sec. 60.4243 What are my compliance requirements if I am an owner or
operator of a stationary SI internal combustion engine?
(a) If you are an owner or operator, you must operate and maintain
the stationary SI internal combustion engine and control device
according to the manufacturer's written instructions or procedures
developed by the owner or operator that are approved by the engine
manufacturer. In addition, owners and operators of certified engines
may only change those settings that are allowed by the manufacturer to
ensure compliance with the applicable emission standards. If you own or
operate a stationary SI internal combustion engine that is certified to
40 CFR part 90, 1048, 1054, or 1060, you must also meet the
requirements of 40 CFR parts 90, 1048, 1054, 1060, and/or part 1068, as
they apply to you.
* * * * *
8. Section 60.4245 as proposed on June 12, 2006 (71 FR 33804) is
amended by revising the introductory text and paragraph (a) to read as
follows:
Sec. 60.4245 What are my notification, reporting, and recordkeeping
requirements if I am an owner or operator of a stationary SI internal
combustion engine?
Owners or operators of stationary SI ICE must meet the following
notification, reporting and recordkeeping requirements.
(a) Owners and operators of all stationary SI ICE must keep records
of the information in paragraphs (a)(1) through (4) of this section.
(1) All notifications submitted to comply with this subpart and all
documentation supporting any notification.
(2) Maintenance conducted on the engine.
(3) If the stationary SI internal combustion engine is a certified
engine, documentation from the manufacturer that the engine is
certified to meet the emission standards and information as required in
40 CFR parts 90, 1048, 1054, and 1060, as applicable.
(4) If the stationary SI internal combustion engine is not a
certified engine, documentation that the engine meets the emission
standards.
* * * * *
9. Section 60.4246 as proposed on June 12, 2006 (71 FR 33804) is
amended by revising the definitions for ``Certified stationary internal
combustion engine'' and ``Useful life'' to read as follows:
Sec. 60.4246 What definitions apply to this subpart?
* * * * *
Certified stationary internal combustion engine means an engine
that belongs to an engine family that has a certificate of conformity
that complies with the emission standards and requirements in this
part, or of 40 CFR part 90, 40 CFR part 1048, or 40 CFR part 1054, as
appropriate.
* * * * *
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. The values for useful life for
stationary SI ICE with a maximum engine power less than or equal to 19
KW (25 HP) are given in 40 CFR 90.105, 40 CFR 1054.107, and 40 CFR
1060.101, as appropriate. The values for useful life for stationary SI
ICE with a maximum engine power greater than 19 KW (25 HP) certified to
40 CFR part 1048 are given in 40 CFR 1048.101(g). The useful life for
stationary SI ICE with a maximum engine power greater than 19 KW (25
HP) certified under the voluntary manufacturer certification program of
this subpart is 8,000 hours or 10 years, whichever comes first.
* * * * *
10. Table 1 to subpart JJJJ of part 60 as proposed on June 12, 2006
(71 FR 33804) is amended by revising footnote a to read as follows:
Table 1 to Subpart JJJJ of Part 60--NOX, NMHC, and CO
Emission Standards in g/HP-hr for Stationary SI Engines £25
HP (except Gasoline and Rich Burn LPG Engines)
* * * * *
a Stationary SI natural gas and lean burn LPG engines
between 25 and 50 HP may comply with the requirements of 40 CFR part
1048, instead of this table. Stationary SI internal combustion
engine manufacturers may certify their stationary SI ICE with a
maximum engine power less than or equal to 30 KW (40 HP) with a
total displacement less than or equal to 1,000 cc to the
certification emission standards and other requirements for new
nonroad SI engines in 40 CFR part 90 or 1054, as appropriate.
PART 63--NATIONAL EMISSION STANDARDS FOR HAZARDOUS AIR POLLUTANTS
FOR SOURCE CATEGORIES
11. The authority citation for part 63 continues to read as follows:
Authority: 42 U.S.C. 7401 et seq.
Subpart A--[Amended]
12. Section 63.6675 as proposed to be amended on June 12, 2006 (71
FR 33804) is amended by revising the definitions for ``Certified
stationary RICE'' and ``Useful life'' to read as follows:
Sec. 63.6675 What definitions apply to this subpart?
* * * * *
Certified stationary RICE means an engine that belongs to an engine
family that has a certificate of conformity that complies with the
emission standards and requirements in this part, or in 40 CFR parts
89, 90, 1039, 1048, or 1054, as appropriate.
* * * * *
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. The values for useful life for
stationary CI ICE with a displacement of less than 10 liters per
cylinder are given in 40 CFR 1039.101. The values for useful life for
stationary CI ICE with a displacement of greater than or equal to 10
liters per cylinder and less than 30 liters per cylinder are given in
40 CFR 94.9. The values for useful life for stationary SI ICE with a
maximum engine power less than or equal to 25 HP are given in 40 CFR
90.105, 40 CFR 1054.107, or 40 CFR 1060.101, as appropriate. The values
for useful life for stationary SI ICE with a maximum engine power
greater than 25 HP certified to 40 CFR part 1048 are given in 40 CFR
1048.101 and 1048.105. The useful life for stationary SI ICE with a
maximum engine power greater than 25 HP certified under the voluntary
manufacturer certification program 40 CFR part 60, subpart JJJJ, is
8,000 hours or 10 years, whichever comes first.
PART 85--CONTROL OF AIR POLLUTION FROM MOBILE SOURCES
13. The authority citation for part 85 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart Q--[Removed]
14. Subpart Q is removed.
Subpart R--[Amended]
15. Section 85.1713 is amended as follows:
a. By revising the introductory text and paragraphs (a),
(c)(3)(iv), and (d) through (k).
b. By adding paragraph (l).
[[Page 28252]]
c. By removing and reserving paragraph (c)(3)(v).
Sec. 85.1713 Delegated-assembly exemption.
The provisions of this section apply with respect to heavy-duty
highway engines. This section is addressed to engine manufacturers
unless specified otherwise.
(a) Shipping an engine separately from an aftertreatment component
that you have specified as part of its certified configuration will not
be a violation of the prohibitions in Clean Air Act section 203 (42
U.S.C. 7522) if you follow the provisions of paragraph (b), (c), or (d)
of this section.
* * * * *
(c) * * *
(3) * * *
(iv) Audits must involve the assembling companies' facilities,
procedures, and production records to monitor their compliance with
your instructions, must include investigation of some assembled
engines, and must confirm that the number of aftertreatment devices
shipped were sufficient for the number of engines produced.
* * * * *
(d) If you manufacture engines and install them in equipment you
also produce, you must take steps to ensure that your facilities,
procedures, and production records are set up to ensure that equipment
and engines are assembled in their proper certified configurations. You
may demonstrate compliance with the requirements of this section by
maintaining a database showing how you pair aftertreatment components
with the appropriate engines.
(e) The engine's model year does not change based on the date the
vehicle manufacturer adds the aftertreatment device.
(f) Once the vehicle manufacturer takes possession of an engine
exempted under this section and the engine reaches the point of final
vehicle assembly, the exemption expires and the engine is subject to
all the prohibitions in Clean Air Act section 203 (42 U.S.C. 7522).
(g) You must notify us within 15 days if you find from an audit or
another source that a vehicle manufacturer has failed to meet its
obligations under this section.
(h) We may suspend, revoke, or void an exemption under this
section, as follows:
(1) We may suspend or revoke your exemption for the entire engine
family if we determine that any of the engines are not in their
certified configuration after installation in the vehicle, or if you
fail to comply with the requirements of this section. If we suspend or
revoke the exemption for any of your engine families under this
paragraph (g), this exemption will not apply for future certificates
unless you demonstrate that the factors causing the nonconformity do
not apply to the other engine families. We may suspend or revoke the
exemption for shipments to a single facility where final assembly occurs.
(2) We may void your exemption for the entire engine family if you
intentionally submit false or incomplete information or fail to keep
and provide to EPA the records required by this section.
(i) You are liable for the in-use compliance of any engine that is
exempt under this section.
(j) It is a violation of the Act for any person to introduce into
U.S. commerce a previously exempted engine, including as part of a
vehicle, without complying fully with the installation instructions.
(k) [Reserved]
(l) You may ask us to provide a temporary exemption to allow you to
complete production of your engines at different facilities, as long as
you maintain control of the engines until they are in their certified
configuration. We may require you to take specific steps to ensure that
such engines are in their certified configuration before reaching the
ultimate purchaser. You may request an exemption under this paragraph
(l) in your application for certification, or in a separate submission.
16. Subpart Y is revised to read as follows:
Subpart Y--Fees for the Motor Vehicle and Engine Compliance Program
Sec. 85.2401 Assessment of fees.
See 40 CFR part 1027 for the applicable fees associated with
certifying engines, vehicles, and equipment under this chapter.
PART 90--CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES
AT OR BELOW 19 KILOWATTS
17. The authority citation for part 90 continues to read as follows:
Authority: 42 U.S.C. 7401--7671q.
Subpart A--[Amended]
18. Section 90.1 is amended by revising paragraphs (d)(1) and
(d)(5) and adding paragraphs (d)(8) and (h) to read as follows:
Sec. 90.1 Applicability.
* * * * *
(d) * * *
(1) Engines that are certified to meet the requirements of 40 CFR
part 1051, or are otherwise subject to 40 CFR part 1051 (for example,
engines used in snowmobiles and all-terrain vehicles). This part
nevertheless applies to engines used in recreational vehicles if the
manufacturer uses the provisions of 40 CFR 1051.145(a)(3) to exempt
them from the requirements of 40 CFR part 1051. Compliance with the
provisions of this part is a required condition of that exemption.
* * * * *
(5) Engines certified to meet the requirements of 40 CFR part 1048,
or are otherwise subject to 40 CFR part 1048, subject to the provisions
of Sec. 90.913.
* * * * *
(8) Engines that are subject to emission standards under 40 CFR
part 1054. See 40 CFR 1054.1 to determine when part 1054 applies. Note
that certain requirements and prohibitions apply to engines built on or
after January 1, 2009 if they are installed in equipment that will be
used solely for competition, as described in 40 CFR 1054.1 and 40 CFR
1068.1; those provisions apply instead of the provisions of this part 90.
* * * * *
(h) Although the definition of nonroad engine in Sec. 90.3
excludes certain engines used in stationary applications, stationary
engines manufactured after January 1, 2008 are required under 40 CFR
part 60 to comply with this part.
19. Section 90.2 is amended by adding paragraph (d) to read as follows:
Sec. 90.2 Effective dates.
* * * * *
(d) Engines used in emergency and rescue equipment as described in
Sec. 90.1(d)(7) are subject to the provisions of this part through
December 31, 2009. Starting January 1, 2010 the provisions in 40 CFR
1054.660 apply instead of those in Sec. 90.1(d)(7).
20. Section 90.3 is amended by adding a definition for ``Fuel
line'' in alphabetical order to read as follows:
Sec. 90.3 Definitions.
* * * * *
Fuel line has the meaning given in 40 CFR 1054.801.
* * * * *
21. Section 90.7 is amended by adding paragraph (b)(3) to read as
follows:
Sec. 90.7 Reference materials.
* * * * *
[[Page 28253]]
(b) * * *
(3) California Air Resources Board material. The following table
lists material from the California Air Resources Board 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 get copies of these materials from
the California Air Resources Board, 9528 Telstar Ave., El Monte,
California 91731.
------------------------------------------------------------------------
Part 90
Document number and name reference
------------------------------------------------------------------------
``Tier 3 standards for Small Off-Road Engines,'' Mobile Sec. 90.127
Source Division, California Air Resources Board........
------------------------------------------------------------------------
Subpart B--[Amended]
22. Section 90.101 is revised to read as follows:
Sec. 90.101 Applicability.
(a) The requirements of this subpart B are applicable to all
nonroad engines and vehicles subject to the provisions of subpart A of
this part.
(b) In a given model year, you may ask us to approve the use of
procedures for certification, labeling, reporting, and recordkeeping
specified in 40 CFR part 1054 or 1068 instead of the comparable
procedures specified in this part 90. We may approve the request as
long as it does not prevent us from ensuring that you fully comply with
the intent of this part.
23. Section 90.107 is amended by revising paragraph (d)(11)(ii) and
adding paragraphs (d)(12), (d)(13), (d)(14), and (d)(15) to read as
follows:
Sec. 90.107 Application for certification.
* * * * *
(d) * * *
(11) * * *
(ii) Provide the applicable useful life as determined under Sec.
90.105;
(12) Describe in your application for certification how you comply
with the requirements of Sec. Sec. 90.127 and 90.129, if applicable.
(13) A statement indicating whether the engine family contains only
nonroad engines, only stationary engines, or both;
(14) Identification of an agent for service located in the United
States. Service on this agent constitutes service on you or any of your
officers or employees for any action by EPA or otherwise by the United
States related to the requirements of this part; and
(15) For imported engines, identification of the following:
(i) The port(s) at which the manufacturer will import the engines.
(ii) The names and addresses of the agents authorized to import the
engines.
(iii) The location of test facilities in the United States where
the manufacturer can test engines if EPA selects them for testing under
a selective enforcement audit, as specified in subpart F of this part.
* * * * *
24. Section 90.114 is amended by adding paragraph (g) to read as
follows:
Sec. 90.114 Requirement of certification--engine information label.
* * * * *
(g) Manufacturers may add appropriate features to prevent
counterfeit labels. For example, manufacturers may include the engine's
unique identification number on the label.
25. Section 90.116 is amended as follows:
a. By revising paragraphs (a) introductory text and (d)(5).
b. By removing and reserving paragraph (e)(1).
c. By adding paragraph (g).
Sec. 90.116 Certification procedure--determining engine displacement,
engine class, and engine families.
(a) Except as specified in paragraph (g) of this section, engine
displacement must be calculated using nominal engine values and rounded
to the nearest whole cubic centimeter in accordance with ASTM E29-93a.
This procedure has been incorporated by reference. See Sec. 90.7.
* * * * *
(d) * * *
(5) The engine class. In addition, engines of different
displacements that are within 15 percent of the largest displacement
may be included within the same engine family as long as all the
engines are in the same class;
* * * * *
(g) Each engine produced under the provisions of Sec. 90.1(b) must
have a total displacement at or below 1000.0 cc after rounding to the
nearest 0.1 cc.
26. Section 90.120 is amended by adding paragraph (b)(3) to read as
follows:
Sec. 90.120 Certification procedure--use of special test procedures.
* * * * *
(b) * * *
(3) A manufacturer may elect to use the test procedures in 40 CFR
part 1065 as an alternate test procedure without getting advance
approval by the Administrator or meeting the other conditions of
paragraph (b)(1) of this section. The manufacturer must identify in its
application for certification that the engines were tested using the
procedures in 40 CFR part 1065. For any EPA testing with Phase 1 or
Phase 2 engines, EPA will use the manufacturer's selected procedures
for mapping engines, generating duty cycles, and applying cycle-
validation criteria. For any other parameters, EPA may conduct testing
using either of the specified procedures.
* * * * *
27. A new Sec. 90.127 is added to subpart B to read as follows:
Sec. 90.127 Fuel line permeation from nonhandheld engines and equipment.
The following permeation standards apply to new nonhandheld engines
and equipment with respect to fuel lines:
(a) Emission standards and related requirements. New nonhandheld
engines and equipment that run on a volatile liquid fuel (such as
gasoline) must meet the emission standards specified in paragraph
(a)(1) or (a)(2) of this section starting in the 2009 model year for
small-volume engine manufacturers and small-volume equipment
manufacturers (as defined in 40 CFR 1054.801), and in the 2008 model
year for all other engines and equipment, as follows:
(1) New nonhandheld engines and equipment must use only fuel lines
that meet a permeation emission standard of 15 g/m\2\/day when measured
according to the test procedure described in 40 CFR 1060.515. This
standard applies to any fuel line that is exposed to liquid fuel during
normal operation.
(2) Alternatively, new nonhandheld engines and equipment must use
only fuel lines that meet standards that apply for these engines in
California for the same model year (the California standards are
incorporated by reference in Sec. 90.7). This may involve SHED-based
measurements for equipment or testing with fuel lines alone. If this
involves SHED-based measurements, all elements of the emission-control
system
[[Page 28254]]
must remain in place for fully assembled engines and equipment.
(3) The emission standards in this section apply with respect to
discrete fuel line segments of any length. Compliance may also be
demonstrated using aggregated systems that include multiple sections of
fuel line with connectors, and fittings. The standard applies with
respect to the total permeation emissions divided by the wetted
internal surface area of the assembly. Where it is not practical to
determine the wetted internal surface area of the assembly, the
internal surface area per unit length of the assembly may be assumed to
be equal to the ratio of internal surface area per unit length of the
hose section of the assembly.
(4) The emission standards in this section apply over a useful life
of five years.
(5) Fuel lines must be labeled in a permanent and legible manner
with one of the following approaches:
(i) By meeting the labeling requirements that apply for these
engines in California.
(ii) By identifying the certificate holder's corporate name or
trademark, or the fuel line manufacturer's corporate name or trademark,
and the fuel line's permeation level. For example, the fuel line may
identify the emission standard from this section, the applicable SAE
classification, or the family number identifying compliance with
California standards. A continuous stripe or other pattern may be added
to help identify the particular type or grade of fuel line.
(6) The requirements of this section do not apply to auxiliary
marine engines.
(b) Certification requirements. To certify that you meet the
standards of this section, you must have emission data from your
testing or from the fuel line manufacturer using the appropriate
procedures that demonstrate compliance with the standard, including any
of the following:
(1) Emission data demonstrating compliance with fuel line
permeation requirements for model year 2008 equipment sold in
California. You may satisfy this requirement by presenting an approved
Executive Order from the California Air Resources Board showing that
the fuel lines meet the applicable standards in California.
(2) Emission data demonstrating a level of permeation control that
meets any of the following industry standards:
(i) R11A specifications in SAE J30 (incorporated by reference in
Sec. 90.7).
(ii) R12 specifications in SAE J30 (incorporated by reference in
Sec. 90.7).
(iii) Category 1 specifications in SAE J2260 (incorporated by
reference in Sec. 90.7).
(iv) Emission data demonstrating compliance with the fuel line
permeation standards in 40 CFR 1051.110.
(c) Prohibitions. (1) Except as specified in paragraph (c)(2) of
this section, introducing engines or equipment into U.S. commerce
without meeting all the requirements of this section violates Sec.
90.1003(a)(1).
(2) It is not a violation to introduce your engines into U.S.
commerce if other companies add fuel lines when installing your engines
in their equipment. However, you must give equipment manufacturers any
appropriate instructions so that fully assembled equipment will meet
all the requirements in this section, as described in Sec. 90.128.
28. A new Sec. 90.128 is added to subpart B to read as follows:
Sec. 90.128 Installation instructions.
(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. In particular, describe the steps needed
to control evaporative emissions, as described in Sec. 90.127. This
may include information related to the delayed requirements for small-
volume equipment manufacturers.
(b) You do not need installation instructions for engines you
install in your own equipment.
(c) 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.
(d) Equipment manufacturers failing to follow the engine
manufacturer's emission-related installation instructions will be
considered in violation of Sec. 90.1003(a)(3).
29. A new Sec. 90.129 is added to subpart B to read as follows:
Sec. 90.129 Fuel tank permeation from handheld engines and equipment.
The following permeation standards apply to certain new handheld
engines and equipment with respect to fuel tanks:
(a) Emission standards and related requirements. (1) New handheld
engines and equipment that run on a volatile liquid fuel (such as
gasoline) and have been certified to meet applicable fuel tank
permeation standards in California must meet one of the following
emission standards starting in the 2009 model year, as follows:
(i) Engines and equipment must use only fuel tanks that meet a
permeation emission standard of 2.0 g/m2/day when measured
according to the applicable test procedure specified by the California
Air Resources Board.
(ii) Engines and equipment must use only fuel tanks that meet the
fuel tank permeation standards in 40 CFR 1060.103.
(iii) Engines and equipment must use only fuel tanks that meet
standards that apply for these engines in California for the same model
year. This may involve SHED-based measurements for equipment or testing
with fuel tanks alone. If this involves SHED-based measurements, all
elements of the emission-control system must remain in place for fully
assembled engines and equipment.
(2) Engine and equipment manufacturers may generate or use emission
credits to show compliance with the requirements of this section under
the averaging program as described in 40 CFR part 1054, subpart H.
(3) The emission standards in this section apply over a useful life
of two years.
(4) Equipment must be labeled in a permanent and legible manner
with one of the following approaches:
(i) By meeting the labeling requirements that apply for equipment
in California.
(ii) By identifying the certificate holder's corporate name or
trademark, or the fuel tank manufacturer's corporate name or trademark.
Also identify the family number identifying compliance with California
standards or state: ``THIS FUEL TANK COMPLIES WITH U.S. EPA
STANDARDS.'' This label may be applied to the fuel tank or it may be
combined with the emission control information label required in Sec.
90.114. If the label information is not on the fuel tank, the label
must include a part identification number that is also permanently
applied to the fuel tank.
(5) The requirements of this section do not apply to engines or
equipment with structurally integrated nylon fuel tanks (as defined in
40 CFR 1054.801).
(b) Certification requirements. To certify that you meet the
standards of this section, you must have emission data from your
testing or from the fuel tank manufacturer using the appropriate
procedures that demonstrate
[[Page 28255]]
compliance with the standard. You may satisfy this requirement by
presenting an approved Executive Order from the California Air
Resources Board showing that the fuel tanks meet the applicable
standards in California.
(c) Prohibitions. Introducing equipment into U.S. commerce without
meeting all the requirements of this section violates Sec.
90.1003(a)(1).
Subpart C--[Amended]
30. Section 90.201 is revised to read as follows:
Sec. 90.201 Applicability.
(a) The requirements of this subpart C are applicable to all Phase
2 spark-ignition engines subject to the provisions of subpart A of this
part except as provided in Sec. 90.103(a). These provisions are not
applicable to any Phase 1 engines. Participation in the averaging,
banking and trading program is voluntary, but if a manufacturer elects
to participate, it must do so in compliance with the regulations set
forth in this subpart. The provisions of this subpart are applicable
for HC+NOX (NMHC+NOX) emissions but not for CO emissions.
(b) See 40 CFR 1054.740 for special provisions for using emission
credits generated under this part 90 from Phase 2 engines to
demonstrate compliance with engines certified under 40 CFR part 1054.
31. Section 90.210 is amended by adding paragraph (i) to read as
follows:
Sec. 90.210 End-of-year and final reports.
* * * * *
(i) For 2007 and later model years, include in your end-of-year and
final reports an accounting to show a separate balance of emission
credits for handheld and nonhandheld engines. Use your best judgment to
differentiate your current balance of banked credits for handheld and
nonhandheld engines. You may exchange handheld and nonhandheld credits
to demonstrate compliance with the requirements of this part 90.
However, emission credits you generate for banking under this part 90
will be restricted for engines subject to the requirements of 40 CFR
part 1054.
Subpart G--[Amended]
32. Section 90.601 is amended by adding paragraph (c) to read as
follows:
Sec. 90.601 Applicability.
* * * * *
(c) Importers must complete the appropriate EPA declaration form
before importing an engine. These forms are available on the Internet
at http://www.epa.gov/OTAQ/imports/ or by phone at 734-214-4100.
Importers must keep the forms for five years and make them available
promptly upon request.
33. A new Sec. 90.616 is added to subpart G to read as follows:
Sec. 90.616 Model year restrictions related to imported engines and
equipment.
The provisions of 40 CFR 1054.695 apply starting January 1, 2009.
These provisions limit the importation of engines or equipment after
new emission standards have started to apply where the engines or
equipment were built before the emission standards took effect.
Subpart J--[Amended]
34. Section 90.910 is amended by adding paragraph (c) to read as
follows:
Sec. 90.910 Granting of exemptions.
* * * * *
(c) Manufacturers may ask EPA to apply the provisions of 40 CFR
1068.201(i) to engines exempted or excluded under this subpart.
Subpart K--[Amended]
35. Section 90.1003 is amended by revising paragraph (b)(3) to read
as follows:
Sec. 90.1003 Prohibited acts.
* * * * *
(b) * * *
(3) The following provisions apply for converting nonroad engine to
use alternative fuels:
(i) Until December 31, 2009, converting an engine to use a clean
alternative fuel (as defined in Title II of the Act) is not considered
a prohibited act under Sec. 90.1003(a) if the vehicle or equipment
complies with the applicable standard when operating on the alternative
fuel, and the device or element is replaced upon completion of the
conversion procedure. Also, in the case of engines converted to dual
fuel or flexible use, the action must result in the proper functioning
of the device or element when the nonroad engine operates on
conventional fuel.
(ii) The provisions of 40 CFR 1054.635 apply starting January 1, 2010.
* * * * *
36. A new Sec. 90.1007 is added to subpart K to read as follows:
Sec. 90.1007 Bonding requirements related to recall and compliance
assurance.
The provisions of 40 CFR 1054. 685 and 1054.690 apply starting with
the 2009 model year. These provisions include measures to ensure that
certifying manufacturers are able to cover any potential compliance,
enforcement, or recall actions under the Clean Air Act.
Subpart L--[Amended]
37. Section 90.1103 is amended by adding paragraph (e) to read as
follows:
Sec. 90.1103 Emission warranty, warranty period.
* * * * *
(e) Starting with the 2009 model year, you must meet the conditions
specified in 40 CFR 1054.120(f) to ensure that owners will be able to
promptly obtain warranty repairs. Describe in your application for
certification how you will meet these conditions.
PART 91-- CONTROL OF EMISSIONS FROM MARINE SPARK-IGNITION ENGINES
38. The authority citation for part 91 continues to read as follows:
Authority: 42 U.S.C. 7401--7671q.
Subpart A--[Amended]
39. Section 91.1 is amended by adding paragraph (d) to read as follows:
Sec. 91.1 Applicability.
* * * * *
(d) This part does not apply to engines that are subject to
emission standards under 40 CFR part 1045. See 40 CFR 1045.1 to
determine when that part 1045 applies. Note that certain requirements
and prohibitions apply to engines built on or after January 1, 2009 if
they are installed in equipment that will be used solely for
competition, as described in 40 CFR 1045.1 and 40 CFR 1068.1; those
provisions apply instead of the provisions of this part 91.
Subpart B--[Amended]
40. Section 91.101 is revised to read as follows:
Sec. 91.101 Applicability.
(a) The requirements of this subpart B are applicable to all
engines subject to the provisions of subpart A of this part.
(b) In a given model year, you may ask us to approve the use of
procedures for certification, labeling, reporting, and recordkeeping
specified in 40 CFR part 1045 or 1068 instead of the comparable
procedures specified in this part 91. We may approve the request as
long as it does not prevent us from ensuring that you fully comply with
the intent of this part.
41. Section 91.107 is amended by adding paragraph (d)(12) to read
as follows:
Sec. 91.107 Application for certification.
* * * * *
[[Page 28256]]
(d) * * *
(12) Identification of an agent for service located in the United
States. Service on this agent constitutes service on you or any of your
officers or employees for any action by EPA or otherwise by the United
States related to the requirements of this part.
* * * * *
42. Section 91.119 is amended by adding paragraph (b)(3) to read as
follows:
Sec. 91.119 Certification procedure--use of special test procedures.
* * * * *
(b) * * *
(3) A manufacturer may elect to use the test procedures in 40 CFR
part 1065 as an alternate test procedure without getting advance
approval by the Administrator or meeting the other conditions of
paragraph (b)(1) of this section. The manufacturer must identify in its
application for certification that the engines were tested using the
procedures in 40 CFR part 1065. For any EPA testing with engines
subject to standards under this part, EPA will use the manufacturer's
selected procedures for mapping engines, generating duty cycles, and
applying cycle-validation criteria. For any other parameters, EPA may
conduct testing using either of the specified procedures.
* * * * *
Subpart K--[Amended]
43. Section 91.1010 is amended by adding paragraph (c) to read as
follows:
Sec. 91.1010 Granting of exemptions.
* * * * *
(c) Manufacturers may ask EPA to apply the provisions of 40 CFR
1068.201(i) to engines exempted or excluded under this subpart.
44. A new Sec. 91.1013 is added to subpart K to read as follows:
Sec. 91.1013 Exemption for certified Small SI engines.
The provisions of 40 CFR 1045.605 apply for engines subject to the
standards of this part 91. This generally allows manufacturers to use
marine engines that have been certified to emission standards for
nonroad spark-ignition engines below 19 kW without recertifying those
engines under this part 91.
45. A new part 1027 is added to subchapter U of chapter I to read
as follows:
PART 1027--FEES FOR ENGINE, VEHICLE, AND EQUIPMENT COMPLIANCE PROGRAMS
Sec.
1027.101 To whom do these requirements apply?
1027.105 How much are the fees?
1027.110 What special provisions apply for certification related to
motor vehicles?
1027.115 What special provisions apply for certification related to
nonroad and stationary engines?
1027.120 Can I qualify for reduced fees?
1027.125 Can I get a refund?
1027.130 How do I make a fee payment?
1027.135 What provisions apply to a deficient filing?
1027.140 What reporting and recordkeeping requirements apply under
this part?
1027.150 What definitions apply to this subpart?
1027.155 What abbreviations apply to this subpart?
Authority: 42 U.S.C. 7401--7671q.
Sec. 1027.101 To whom do these requirements apply?
(a) This part prescribes fees manufacturers must pay for activities
related to EPA's engine, vehicle, and equipment compliance program
(EVECP). This includes activities related to approving certificates of
conformity and performing tests and taking other steps to verify
compliance with emission standards. You must pay fees as described in
this part if you are a manufacturer of any of the following products:
(1) Motor vehicles and motor vehicle engines we regulate under 40
CFR part 86. This includes light-duty vehicles, light-duty trucks,
medium-duty passenger vehicles, highway motorcycles, and heavy-duty
highway engines and vehicles.
(2) The following nonroad engines and equipment:
(i) Locomotives and locomotive engines we regulate under 40 CFR
part 92 or 1033.
(ii) Nonroad compression-ignition engines we regulate under 40 CFR
part 89 or 1039.
(iii) Marine compression-ignition engines we regulate under 40 CFR
part 94 or 1042.
(iv) Marine spark-ignition engines and vessels we regulate under 40
CFR part 91, 1045, or 1060. We refer to these as Marine SI engines.
(v) Nonroad spark-ignition engines above 19 kW we regulate under 40
CFR part 1048. We refer to these as Large SI engines.
(vi) Recreational vehicles we regulate under 40 CFR part 1051.
(vii) Nonroad spark-ignition engines and equipment at or below 19
kW we regulate under 40 CFR part 90, 1054, or 1060. We refer to these
as Small SI engines.
(3) The following stationary internal combustion engines:
(i) Stationary compression-ignition engines we certify under 40 CFR
part 60, subpart IIII.
(ii) Stationary spark-ignition engines we certify under 40 CFR part
60, subpart JJJJ.
(b) This part applies to applications for certification that we
receive on or after [EFFECTIVE DATE FOR FINAL RULE]. Earlier
applications are subject to the provisions of 40 CFR part 85, subpart
Y, as that provision read prior to [EFFECTIVE DATE FOR FINAL RULE].
(c) Nothing in this part limits our authority to conduct testing or
to require you to conduct testing as provided in the Act, including our
authority to require you to conduct in-use testing under section 208 of
the Act (42 U.S.C. 7542).
(d) Paragraph (a) of this section identifies the parts of the CFR
that define emission standards and other requirements for particular
types of engines and vehicles. This part 1027 refers to each of these
other parts generically as the ``standard-setting part.'' For example,
40 CFR part 1051 is always the standard-setting part for recreational
vehicles. For some nonroad engines, we allow for certification related
to evaporative emissions separate from exhaust emissions. In this case,
40 CFR part 1060 is the standard-setting part for the equipment or fuel
system components you produce.
Sec. 1027.105 How much are the fees?
(a) Fees are determined based on the date we receive a complete
application for certification. Each reference to a year in this subpart
refers to the calendar year, unless otherwise specified. Paragraph (b)
of this section specifies baseline fees, which applied for certificates
received in 2005. For engine and vehicles not yet subject to standards
in 2005, these values represent the fees that apply initially based on
available information to characterize what the fees would have been in
2005. See paragraph (c) of this section for provisions describing how
we calculate fees for future years.
(b) The following baseline fees for each application for certification:
(1) Except as specified in paragraph (b)(2) of this section for
Independent Commercial Importers, the following fees apply for motor
vehicles and motor vehicle engines:
[[Page 28257]]
------------------------------------------------------------------------
Category Certificate type Fee
------------------------------------------------------------------------
(i) Light-duty vehicles and trucks Federal............. $33,883
(ii) Light-duty vehicles and California-only..... 16,944
trucks.
(iii) Medium-duty passenger Federal............. 33,883
vehicles.
(iv) Medium-duty passenger California-only..... 16,944
vehicles.
(v) Highway motorcycle............ All................. 2,414
(vi) Heavy-duty highway engine.... Federal............. 21,578
(vii) Heavy-duty highway engine... California-only..... 826
(viii) Complete heavy-duty highway Federal............. 33,883
vehicles.
(ix) Complete heavy-duty highway California-only..... 16,944
vehicles.
(x) Heavy-duty vehicle............ Evap................ 826
------------------------------------------------------------------------
(2) A fee of $8,387 applies for Independent Commercial Importers
with respect to the following motor vehicles:
(i) Light-duty vehicles and light-duty trucks.
(ii) Medium-duty passenger vehicles.
(iii) Complete heavy-duty highway vehicles.
(3) The following fees apply for nonroad and stationary engines,
vehicles, equipment, and components:
------------------------------------------------------------------------
Category Certificate type Fee
------------------------------------------------------------------------
(i) Locomotives and locomotive All................. $826
engines.
(ii) Marine compression-ignition All, including Annex 826
engines and stationary VI.
compression-ignition engines with
per-cylinder displacement at or
above 10 liters.
(iii) Other nonroad compression- All................. 1,822
ignition engines and stationary
compression-ignition engines with
per-cylinder displacement below
10 liters.
(iv) Large SI engines............. All................. 826
(v) Marine SI engines and Small SI Exhaust only........ 826
engines.
(vi) Recreational vehicles........ Exhaust (or combined 826
exhaust and evap).
(vii) Stationary spark-ignition Exhaust (or combined 826
engines. exhaust and evap).
(viii) Equipment and fuel system Evap (where separate 241
components associated with certification is
nonroad and stationary spark- required).
ignition engines.
------------------------------------------------------------------------
(c) We will calculate adjusted fees for later years based on
changes in the Consumer Price Index and the number of certificates. We
will announce adjusted fees for a given year by January 31 of the
preceding year.
(1) We will adjust the values specified in paragraph (b) of this
section for later years as follows:
(i) Use the fee identified in Sec. 1027.105(b)(3) through 2014 for
certification related to evaporative emissions from nonroad and
stationary engines when a separate fee applies for certification to
evaporative emission standards. Use the following equation starting
with 2015:
Certificate FeeCY = [(Op + L) [middot]
(CPICY-2/
CPI2006)]
[middot] 1.169/[(cert#MY-2 +
cert#MY-3) [middot]
0.5]
Where:
Certificate FeeCY = Fee per certificate for a given year.
Op = operating costs are all of EPA's nonlabor costs for each
category's compliance program, including any fixed costs associated
with EPA's testing laboratory, as described in paragraph (d)(1) of
this section.
L = the labor costs, to be adjusted by the Consumer Price Index, as
described in paragraph (d)(1) of this section.
CPICY-2 = the Consumer Price Index for the month of
November two years before the applicable calendar year, as described
in paragraph (d)(2) of this section.
CPI2006 = 201.8. This is based on the October 2006 value
of the Consumer Price Index.
OH = 1.169. This is based on EPA overhead, which is applied to all costs.
cert#MY-2 = the total number of certificates
issued for a fee category in the model year two years before the
calendar year for the applicable fees as described in paragraph
(d)(3) of this section.
cert#MY-3 = the total number of certificates
issued for a fee category in the model year three years before the
calendar year for the applicable fees as described in paragraph
(d)(3) of this section.
(ii) Use the following equation for all other certificates for 2006
and later:
Certificate FeeCY = [Op + L [middot]
(CPICY-2/
CPI2002)]
[middot] 1.169/[(cert#MY-2 +
cert#MY-3) [middot]
0.5]
Where:
CPI2002 = 180.9. This is based on the December 2002 value
of the Consumer Price Index as described in paragraph (d)(2) of this
section.
(2) The fee for any year will remain at the previous year's amount
until the value calculated in paragraph (c)(1) of this section differs
by at least $50 from the amount specified for the previous year.
(d) Except as specified in Sec. 1027.110(a) for motor vehicles and
motor vehicle engines, we will use the following values to determine
adjusted fees using the equation in paragraph (c) of this section:
(1) The following values apply for operating costs and labor costs:
------------------------------------------------------------------------
Engine or vehicle category Op L
------------------------------------------------------------------------
(i) Light-duty, medium-duty passenger, $3,322,039 $2,548,110
and complete heavy-duty highway vehicle
certification..........................
(ii) Light-duty, medium-duty passenger, 2,858,223 2,184,331
and complete heavy-duty highway vehicle
in-use testing.........................
(iii) Independent Commercial Importers 344,824 264,980
identified in Sec. 1027.105(b)(2)....
(iv) Highway motorcycles................ 225,726 172,829
(v) Heavy-duty highway engines.......... 1,106,224 1,625,680
(vi) Nonroad compression-ignition 486,401 545,160
engines................................
(vii) Evaporative certificates related 5,039 236,670
to nonroad and stationary engines......
(viii) All other........................ 177,425 548,081
------------------------------------------------------------------------
[[Page 28258]]
(2) The applicable Consumer Price Index is based on the values
published by the Bureau of Labor Statistics for all U.S. cities using
the ``U.S. city average'' area, ``all items,'' and ``not seasonally
adjusted'' numbers (see ftp://ftp.bls.gov/pub/special.requests/cpi/
cpiai.txt). For example, we calculated the 2006 fees using the Consumer
Price Index for November 2004, which is 191.0.
(3) Fee categories for counting the number of certificates issued
are based on the grouping shown in paragraph (d)(1) of this section.
(e) The following example for calculating the 2006 complete federal
heavy duty highway vehicle fee illustrates the fee adjustment:
Op = $1,106,224
L = $1,625,680
CPI2002 = 180.9
CPI2004 = 191.0
cert#2004 = 131
cert#2003 = 95
Fee06 = [$1,106,224 + $1,625,680 [middot]
(191.0/180.9)]
[middot]
1.169/[(131+95) [middot] 0.5] = $29,200.88
Assessed Fee = $29,201
Sec. 1027.110 What special provisions apply for certification related
to motor vehicles?
(a) We will adjust fees for 2006 and later years for light-duty,
medium-duty passenger, and complete heavy-duty highway vehicles as
follows:
(1) California-only certificates. Calculate adjusted fees for
California-only certificates by applying the light-duty, medium-duty
passenger, and complete heavy-duty highway vehicle certification Op and
L values to the equation in Sec. 1027.105(c). The total number of
certificates issued will be the total number of California-only and
federal light-duty, medium-duty passenger, and complete heavy-duty
highway vehicle certificates issued during the appropriate model years.
(2) Federal certificates. Calculate adjusted fees for federal
certificates with the following three steps:
(i) Apply the light-duty, medium-duty passenger, and complete
heavy-duty highway vehicle certification Op and L values to the
equation in Sec. 1027.105(c) to determine the certification portion of
the light-duty fee. The total number of certificates issued will be the
total number of California-only and federal light-duty, medium-duty
passenger and complete heavy-duty highway vehicle certificates issued
during the appropriate model years.
(ii) Apply the light-duty, medium-duty passenger, and complete
heavy-duty highway vehicle in-use testing Op and L values to the
equation in Sec. 1027.105(c) to determine the in-use testing portion
of the fee. The total number of certificates issued will be the total
number of federal light-duty, medium-duty passenger, and complete
heavy-duty highway vehicle certificates issued during the appropriate
model years.
(iii) Add the certification and in-use testing portions determined
in paragraphs (a)(2)(i) and (ii) of this section to determine the total
light-duty, medium-duty passenger, and complete heavy-duty highway
vehicle fee for each federal certificate.
(b) For light-duty vehicles, light-duty trucks, medium-duty
passenger vehicles, highway motorcycles, and complete heavy-duty
highway vehicles subject to exhaust emission standards, the number of
certificates issued as specified in Sec. 1027.105(d)(3) is based only
on engine families with respect to exhaust emissions. A separate fee
applies for each evaporative family for heavy-duty engines.
(c) If you manufacture a heavy-duty vehicle that another company
has certified as an incomplete vehicle such that you exceed the maximum
fuel tank size specified by the original manufacturer in the applicable
certificate of conformity, you must submit a new application for
certification and certification fee for the vehicle.
Sec. 1027.115 What special provisions apply for certification related
to nonroad and stationary engines?
(a) For nonroad spark-ignition engines above 19 kW that we regulate
under 40 CFR part 1048 and for all compression-ignition engines, the
applicable fee is based only on engine families with respect to exhaust
emissions.
(b) For manufacturers certifying recreational vehicles with respect
to both exhaust and evaporative emission standards, fees are determined
using one of the following approaches:
(1) If your engine family includes demonstration of compliance with
both exhaust and evaporative emission standards, the applicable fee is
based on certification related to the combined family. No separate fee
applies for certification with respect to evaporative emission
standards. These are all considered engine families complying with
exhaust emissions for determining the number of certificates for
calculating fees for later years.
(2) If you have separate families for demonstrating compliance with
exhaust and evaporative emission standards, a separate fee from the
appropriate fee category applies for each unique family. Also, the
number of certificates issued as specified in Sec. 1027.105(d)(3) is
based on a separate count of emission families for exhaust and
evaporative emissions for each respective fee category.
(c) For manufacturers certifying other spark-ignition engines or
equipment with respect to exhaust and evaporative emission standards, a
separate fee from the appropriate fee category applies for each unique
family. A single engine or piece of equipment may involve separate
emission families and certification fees for exhaust and evaporative
emissions. Also, the number of certificates issued as specified in
Sec. 1027.105(d)(3) is based on a separate count of emission families
for exhaust and evaporative emissions for each respective fee category.
(d) For any certification related to evaporative emissions from
engines, equipment, or components not covered by paragraph (a) through
(c) of this section, the fee applies for each certified product
independent of certification for exhaust emissions, as illustrated in
the following examples:
(1) A fuel tank certified to meet permeation and diurnal emission
standards would count as a single family for assessing the
certification fee and for calculating fee amounts for future years.
(2) If an equipment manufacturer applies for certification to
generate or use emission credits for fuel, tanks and fuel lines, each
affected fuel-tank and fuel-line family would count as a single family
for assessing the certification fee and for calculating fee amounts for
future years. This fee applies whether or not the equipment
manufacturer is applying for certification to demonstrate compliance
with another emission standard, such as running losses.
(e) If you certify fuel system components under 40 CFR part 1060, a
single fee applies for each emission family even if those components
are used with different types of nonroad or stationary engines.
(f) If your application for certification relates to emission
standards that apply only in California, you must pay the same fee
identified for meeting EPA standards.
(g) For marine compression-ignition engines, if you apply for a
federal certificate and an Annex VI certificate for the same engine
family, a single fee applies for the engine family (see 40 CFR parts 94
and 1042).
(h) If you produce engines for multiple categories in a single
engine family, a single fee applies for the engine family. For example,
40 CFR 60.4210 allows you to produce stationary and nonroad
compression-ignition engines in a single engine family. If the
certification fee for the different types of engines is different,
[[Page 28259]]
the fee that applies for these engines is based on the emission
standards to which you certify the engine family. For example, if you
certify marine diesel engines to the standards that apply to land-based
nonroad diesel engines under 40 CFR 94.912, the certification fee is
based on the rate that applies for land-based nonroad diesel engines.
Sec. 1027.120 Can I qualify for reduced fees?
(a) Eligibility requirements. To be eligible for a reduced fee, the
following conditions must be satisfied:
(1) The certificate is to be used for sale of vehicles or engines
within the United States; and
(2) The full fee for an application for certification for a model
year exceeds 1.0% of the aggregate projected retail sales price of all
vehicles or engines covered by that certificate.
(b) Initial reduced fee calculation. (1) If the requirements of
paragraph (a) of this section are satisfied, the initial fee paid shall
be $750 or 1.0% of the aggregate projected retail sales price of all
the vehicles or engines to be covered by the certification application,
whichever is greater.
(2) For vehicles or engines that are converted to operate on an
alternative fuel, using as the basis for the conversion a vehicle or
engine which is covered by an existing certificate of conformity, the
cost basis used in this section must be the aggregate projected retail
value-added to the vehicle or engine by the conversion rather than the
full cost of the vehicle or engine. To qualify for this provision, the
existing certificate must cover the same sales area and model year as
the requested certificate for the converted vehicle or engine.
(3) For ICI certification applications, the cost basis of this
section shall be the aggregate projected retail cost of the entire
vehicle(s) or engine(s), not just the value added by the conversion. If
the vehicles/engines covered by an ICI certificate are not being
offered for sale, the manufacturer shall use the fair retail market
value of the vehicles/engines as the retail sale price required in this
section. For an ICI application for certification, the retail sales
price (or fair retail market value) must be based on the applicable
National Automobile Dealer's Association (NADA) appraisal guide and/or
other evidence of the actual market value.
(4) The aggregate cost used in this section must be based on the
total projected sales of all vehicles and engines under a certificate,
including vehicles and engines modified under the modification and test
option in 40 CFR 85.1509 and 89.609. The projection of the number of
vehicles or engines to be covered by the certificate and their
projected retail selling price must be based on the latest information
available at the time of the fee payment.
(5) A manufacturer may submit a reduced fee as described in this
section if it is accompanied by a calculation of the fee based on the
number of vehicles covered and the projected aggregate retail sales
price as specified on the fee filing form. The reduced fee calculation
shall be deemed approved unless EPA determines that the criteria of
this section have not been met. The Agency may make such a
determination either before or after EPA issues a certificate of
conformity. If the Agency determines that the requirements of this
section have not been met, EPA may deny future reduced fee applications
and require submission of the full fee payment until such time as the
manufacturer demonstrates to the satisfaction of the Administrator that
its reduced fee submissions are based on accurate data and that final
fee payments are made within 45 days of the end of the model year.
(6) If the reduced fee is denied by the Administrator, the
applicant will have 30 days from the date of notification of the denial
to submit the appropriate fee to EPA.
(c) Revision of the number of vehicles or engines covered by the
certificate. (1) If after the original certificate, including a
certificate under which modification and test vehicles are imported
under 40 CFR 85.1509 and 89.609, is issued, the number of vehicles or
engines to be produced or imported under the certificate exceeds the
number indicated on the certificate, the manufacturer or importer shall--
(i) Request that EPA revise the certificate with a number that
indicates the new projection of the vehicles or engines to be covered
by the certificate. The revised certificate must be applied for,
revised and issued before the vehicles or engines are sold or finally
imported into the United States; and
(ii) Submit payment of 1.0% of the aggregate projected retail sales
price of all the vehicles or engines above the number of vehicles or
engines listed on the certificate to be covered by the application for
certification.
(2) A manufacturer must receive a revised certificate prior to the
sale or final importation of any vehicles or engines, including
modification and test vehicles, that are not originally included in the
certificate issued under paragraph (b) of this section, or as indicated
in a revised certificate issued under paragraph (c)(1) of this section.
In the event that a certificate is not timely revised such additional
vehicles or engines are not covered by a certificate of conformity.
(d) Final reduced fee calculation and adjustment. (1) If the
initial fee payment is less than the final reduced fee, then the
manufacturer shall pay the difference between the initial reduced fee
and the final reduced fee using the provisions of Sec. 1027.130. The
final reduced fee shall be calculated using the procedures of paragraph
(c) of this section but using actual production figures rather than
projections and actual retail sales value rather than projected retail
sales value.
(2) This payment shall be paid within 45 days of the end of the
model year. The total fees paid for a certificate shall not exceed the
applicable full fee of Sec. 1027.105. If a manufacturer fails to make
complete payment with 45 days then the Agency may void ab initio the
applicable certificate. EPA may also refuse to grant reduced fee
requests submitted under paragraph (b)(5) of this section.
(3) If the initial fee payment exceeds the final reduced fee then
the manufacturer may request a refund using the procedures of Sec.
1027.125.
(e) Records retention. Manufacturers are subject to the applicable
maintenance of records requirements of 40 CFR part 86, subpart A. If a
manufacturer fails to maintain the records or provide such records to
EPA as required then EPA may void the certificate for which such
records shall be kept. Manufacturers must retain in their records the
basis used to calculate the projected sales and fair retail market
value and the actual sales and retail price for the vehicles and
engines covered by each certificate that is issued under the reduced
fee provisions of this section. This information must be retained for a
period of at least three years after the issuance of the certificate
and must be provided to the Agency within 30 days of request.
Sec. 1027.125 Can I get a refund?
(a) We will refund the total fee imposed under this part if you ask
for a refund after failing to get a certificate for any reason.
(b) If your actual sales or the actual retail prices in a given
year are less than you projected for calculating a reduced fee under
Sec. 1027.120, we will refund the appropriate portion of the fee. We
will also refund a portion of the initial payment if it exceeds the
final fee for the engines, vehicles, or equipment covered by the
certificate application.
(1) You are eligible for a partial refund related to a certificate
only if you sold
[[Page 28260]]
engines, vehicles, or equipment under that certificate in the United States.
(2) Include all the following in your request for a partial refund
of reduced fee payments:
(i) State that you sold engines, vehicles, or equipment under the
applicable certificate in the United States.
(ii) Identify the number of engines, vehicles, or equipment you
produced or imported under the certificate, and whether the engines,
vehicles, or equipment have been sold.
(iii) Identify the reduced fee that you paid under the applicable
certificate.
(iv) Identify the actual retail sales price for the engines,
vehicles, or equipment produced or imported under the certificate.
(v) Calculate the final value of the reduced fee using actual
production figures and retail prices.
(vi) Calculate the refund amount.
(c) We will approve your request to correct errors in the amount of
the fee.
(d) All refunds must be applied for within six months of the end of
the model year.
(e) Send refund and correction requests to the Fee Program
Specialist, U.S. Environmental Protection Agency, Vehicle Programs and
Compliance Division, 2000 Traverwood Dr., Ann Arbor, MI 48105, online
at http://www.Pay.gov., or as specified in guidance by the Administrator.
(e) You may request to have refund amounts applied to the amount
due on another application for certification.
Sec. 1027.130 How do I make a fee payment?
(a) Pay fees to the order of the Environmental Protection Agency in
U.S. dollars using any of the following methods: money order, bank
draft, certified check, corporate check, electronic funds transfer, any
method available for payment online at http://www.Pay.gov, or as specified in
EPA guidance
(b) Send a completed fee filing form to the address designated on
the form for each fee payment or electronically at http://www.Pay.gov, or as
provided in EPA guidance. These forms are available on the Internet at
http://www.epa.gov/otaq/guidance.htm.
(c) You must pay the fee amount due before we will start to process
an application for certification.
(d) If we deny a reduced fee, you must pay the proper fee within 30
days after we notify you of our decision.
Sec. 1027.135 What provisions apply to a deficient filing?
(a) Any filing under this part is deficient if it is not
accompanied by a completed fee filing form and full payment of the
appropriate fee.
(b) A deficient filing will be rejected unless the completed form
and full payment are submitted within a time limit we specify. We will
not process an application for certification if the associated filing
is deficient.
Sec. 1027.140 What reporting and recordkeeping requirements apply
under this part?
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. The following
items illustrate the kind of reporting and recordkeeping we require for
engines, vehicles, and equipment regulated under this part:
(a) Filling out fee filing forms under Sec. 1027.130.
(b) Retaining fee records, including reduced fee documentation,
under Sec. 1027.120.
Sec. 1027.150 What definitions apply to this subpart?
The definitions in this section apply to this part. As used in this
part, all undefined terms have the meaning the Act or the standard-
setting part gives to them. The definitions follow:
Annex VI means MARPOL Annex VI, which is an annex to the
International Convention on the Prevention of Pollution from Ships,
1973, as modified by the protocol of 1978 relating thereto. This is an
international treaty regulating disposal of waste products from marine
vessels.
Application for Certification means a manufacturer's submission of
an application for certification.
California-only certificate is a certificate of conformity issued
by EPA showing compliance with emission standards established by California.
Federal certificate is a certificate of conformity issued by EPA
showing compliance with EPA emission standards specified in one of the
standard-setting parts specified in Sec. 1027.101(a).
Light-duty means relating to light-duty vehicles and light-duty trucks.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures an engine,
vehicle, vessel, or piece of equipment for sale in the United States or
otherwise introduces a new engine, vehicle, vessel, or piece of
equipment into commerce in the United States. This includes importers
who import such products for resale, but not dealers.
Total number of certificates issued means the number of
certificates for which fees have been paid. This term is not intended
to represent multiple certificates that are issued within a single
family or test group.
Void has the meaning given in 40 CFR 1068.30.
We (us, our) means the Administrator of the Environmental
Protection Agency and any authorized representatives.
Sec. 1027.155 What abbreviations apply to this subpart?
The following symbols, acronyms, and abbreviations apply to this part:
CFR Code of Federal Regulations
EPA U.S. Environmental Protection Agency
Evap Evaporative Emissions
ICI Independent Commercial Importer
46. A new part 1045 is added to subchapter U of chapter I to read
as follows:
PART 1045 CONTROL OF EMISSIONS FROM SPARK-IGNITION PROPULSION
MARINE ENGINES
Subpart A Overview and Applicability
Sec.
1045.1 Does this part apply for my products?
1045.2 Who is responsible for compliance?
1045.5 Which engines are excluded from this part's requirements?
1045.10 How is this part organized?
1045.15 Do any other regulation parts apply to me?
1045.20 What requirements apply to my vessels?
1045.25 How do the requirements related to evaporative emissions
apply to engines and their fuel systems?
Subpart B Emission Standards and Related Requirements
1045.101 What exhaust emission standards and requirements must my
engines meet?
1045.103 What exhaust emission standards must my outboard and
personal watercraft engines meet?
1045.105 What exhaust emission standards must my sterndrive/inboard
engines meet?
1045.107 What are the standards for evaporative emissions?
1045.110 How must my engines diagnose malfunctions?
1045.115 What other requirements apply?
1045.120 What emission-related warranty requirements apply to me?
1045.125 What maintenance instructions must I give to buyers?
1045.130 What installation instructions must I give to vessel manufacturers?
1045.135 How must I label and identify the engines I produce?
1045.140 What is my engine's maximum engine power?
1045.145 Are there interim provisions that apply only for a limited time?
Subpart C--Certifying Engine Families
1045.201 What are the general requirements for obtaining a
certificate of conformity?
[[Page 28261]]
1045.205 What must I include in my application?
1045.210 May I get preliminary approval before I complete my application?
1045.220 How do I amend the maintenance instructions in my application?
1045.225 How do I amend my application for certification to include
new or modified engines or change an FEL?
1045.230 How do I select engine families?
1045.235 What emission testing must I perform for my application for
a certificate of conformity?
1045.240 How do I demonstrate that my engine family complies with
exhaust emission standards?
1045.245 How do I determine deterioration factors from exhaust
durability testing?
1045.250 What records must I keep and what reports must I send to EPA?
1045.255 What decisions may EPA make regarding my certificate of
conformity?
Subpart D--Testing Production-line Engines
1045.301 When must I test my production-line engines?
1045.305 How must I prepare and test my production-line engines?
1045.310 How must I select engines for production-line testing?
1045.315 How do I know when my engine family fails the production-
line testing requirements?
1045.320 What happens if one of my production-line engines fails to
meet emission standards?
1045.325 What happens if an engine family fails the production-line
testing requirements?
1045.330 May I sell engines from an engine family with a suspended
certificate of conformity?
1045.335 How do I ask EPA to reinstate my suspended certificate?
1045.340 When may EPA revoke my certificate under this subpart and
how may I sell these engines again?
1045.345 What production-line testing records must I send to EPA?
1045.350 What records must I keep?
Subpart E--In-use Testing
1045.401 What testing requirements apply to my engines that have
gone into service?
1045.405 How does this program work?
1045.410 How must I select, prepare, and test my in-use engines?
1045.415 What happens if in-use engines do not meet requirements?
1045.420 What in-use testing information must I report to EPA?
1045.425 What records must I keep?
Subpart F--Test Procedures
1045.501 How do I run a valid emission test?
1045.505 How do I test engines using discrete-mode or ramped-modal
duty cycles?
1045.515 What are the test procedures related to not-to-exceed standards?
1045.520 What testing must I perform to establish deterioration factors?
Subpart G--Special Compliance Provisions
1045.601 What compliance provisions apply to these engines?
1045.605 What provisions apply to engines already certified under
the motor-vehicle program or other nonroad spark-ignition engine programs?
1045.620 What are the provisions for exempting engines used solely
for competition?
1045.630 What is the personal-use exemption?
1045.635 What special provisions apply for small-volume engine manufacturers?
1045.640 What special provisions apply to branded engines?
1045.645 What special provisions apply for converting an engine to
use an alternate fuel?
1045.650 Do the provisions of 40 CFR 1068.260 apply for marine engines?
1045.660 How do I certify outboard or personal watercraft engines
for use in jet boats?
Subpart H--Averaging, Banking, and Trading for Certification
1045.701 General provisions.
1045.705 How do I generate and calculate exhaust emission credits?
1045.706 How do I generate and calculate evaporative emission credits?
1045.710 How do I average emission credits?
1045.715 How do I bank emission credits?
1045.720 How do I trade emission credits?
1045.725 What must I include in my application for certification?
1045.730 What ABT reports must I send to EPA?
1045.735 What records must I keep?
1045.745 What can happen if I do not comply with the provisions of
this subpart?
Subpart I--Definitions and Other Reference Information
1045.801 What definitions apply to this part?
1045.805 What symbols, acronyms, and abbreviations does this part use?
1045.810 What materials does this part reference?
1045.815 What provisions apply to confidential information?
1045.820 How do I request a hearing?
1045.825 What reporting and recordkeeping requirements apply under
this part?
Appendix I to Part 1045--Summary of Previous Emission Standards
Appendix II to Part 1045--Duty Cycles for Propulsion Marine Engines
Authority: 42 U.S.C. 7401--7671q.
Subpart A--Overview and Applicability
Sec. 1045.1 Does this part apply for my products?
(a) Except as provided in Sec. 1045.5, the regulations in this
part 1045 apply as follows:
(1) The requirements of this part related to exhaust emissions
apply to new, spark-ignition propulsion marine engines beginning with
the 2009 model year.
(2) The requirements of this part related to evaporative emissions
apply to fuel lines and fuel tanks used with marine engines that use a
volatile liquid fuel (such as gasoline) beginning with the 2009 model
year as specified in 40 CFR part 1045.107. This includes fuel lines and
fuel tanks used with auxiliary marine engines. This also includes
portable marine fuel tanks and associated fuel lines.
(b) We specify optional standards for certifying sterndrive/inboard
engines before the 2009 model year in Sec. 1045.145(a). Engines
certified to these standards are subject to all the requirements of
this part as if these optional standards were mandatory.
(c) See 40 CFR part 91 for requirements that apply to outboard and
personal watercraft engines not yet subject to the requirements of this
part 1045.
(d) The provisions of Sec. Sec. 1045.620 and 1045.801 apply for
new engines used solely for competition beginning January 1, 2009.
Sec. 1045.2 Who is responsible for compliance?
The requirements and prohibitions of this part apply to
manufacturers of engines and fuel-system components as described in
Sec. 1045.1. The requirements of this part are generally addressed to
manufacturers subject to this part's requirements. The term ``you''
generally means the certifying manufacturer. For provisions related to
exhaust emissions, this generally means the engine manufacturer,
especially for issues related to certification (including production-
line testing, reporting, etc.). For provisions related to certification
with respect to evaporative emissions, this generally means the
manufacturer of fuel-system components. Vessel manufacturers must meet
applicable requirements as described in Sec. 1045.20.
Sec. 1045.5 Which engines are excluded from this part's requirements?
(a) Auxiliary engines. The exhaust emission standards of this part
do not apply to auxiliary marine engines. See 40 CFR part 90, 1048, or
1054 for the exhaust emission standards that apply.
(b) Hobby engines and vessels. This part does not apply with
respect to reduced-scale models of vessels that are not capable of
transporting a person.
Sec. 1045.10 How is this part organized?
This part 1045 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of this part
1045 and gives an overview of regulatory requirements.
[[Page 28262]]
(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. 1045.145 discusses certain interim requirements and
compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part describes general provisions for testing
production-line engines.
(e) Subpart E of this part describes general provisions for testing
in-use engines.
(f) Subpart F of this part describes how to test your engines
(including references to other parts of the Code of Federal Regulations).
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, vessel manufacturers, owners, operators, rebuilders, and
all others.
(h) Subpart H of this part describes how you may generate and use
exhaust and evaporative emission credits to certify your engines and
vessels.
(i) Subpart I of this part contains definitions and other reference
information.
Sec. 1045.15 Do any other regulation parts apply to me?
(a) Part 1060 of this chapter describes standards and procedures
that apply for evaporative emissions from engines fueled by gasoline or
other volatile liquid fuels and the associated fuel systems. See Sec.
1045.107 for information about how that part applies.
(b) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines. Subpart F of this part 1045
describes how to apply the provisions of part 1065 of this chapter to
determine whether engines meet the emission standards in this part.
(c) The requirements and prohibitions of part 1068 of this chapter
apply to everyone, including anyone who manufactures, imports,
installs, owns, operates, or rebuilds any of the engines subject to
this part 1045, or vessels powered by these engines. Part 1068 of this
chapter describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers, vessel
manufacturers, and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain engines.
(4) Importing engines.
(5) Selective enforcement audits of your production.
(6) Defect reporting and recall.
(7) Procedures for hearings.
(d) Other parts of this chapter apply if referenced in this part.
Sec. 1045.20 What requirements apply to my vessels?
(a) If you manufacture vessels with engines certified to the
exhaust emission standards in this part, your vessels must meet all
emission standards with the engine and fuel system installed.
(b) You may need to certify your vessels or fuel systems as
described in 40 CFR 1060.1 and 1060.601. If you produce vessels subject
to this part without obtaining a certificate, you must still meet the
requirements of 40 CFR 1060.101(e) and (f) and keep records as
described in 40 CFR 1060.210.
(c) You must identify and label vessels you produce under this
section consistent with the requirements of Sec. 1045.135 and 40 CFR
part 1060.
(d) You must follow all emission-related installation instructions
from the certifying manufacturers as described in Sec. 1045.130 and 40
CFR 1068.105. If you do not follow the installation instructions, we
may consider your vessel to be not covered by the certificates of
conformity. Introduction of such vessels into U.S. commerce violates 40
CFR 1068.101.
Sec. 1045.25 How do the requirements related to evaporative emissions
apply to engines and their fuel systems?
(a) Engine manufacturers must provide the installation instructions
required by Sec. 1045.130 to the ultimate purchasers of the engine.
These instructions may be combined with the maintenance instructions
required by Sec. 1045.125.
(b) Engines sold with attached fuel lines or installed fuel tanks
must be covered by the appropriate certificates of conformity issued
under 40 CFR part 1060.
(c) Fuel lines intended to be used with new engines and new
portable fuel tanks must be certified to the applicable requirements of
40 CFR part 1060.
(d) All persons installing engines certified under this part 1045
must follow the certifying manufacturer's emission-related installation
instructions (see Sec. 1045.130 and 40 CFR 1068.105).
Subpart B--Emission Standards and Related Requirements
Sec. 1045.101 What exhaust emission standards and requirements must
my engines meet?
(a) You must show that your engines meet the following
requirements:
(1) Outboard and personal watercraft engines must meet the exhaust
emission standards in Sec. 1045.103.
(2) Sterndrive/inboard engines must meet the exhaust emission
standards in Sec. 1045.105. Sterndrive/inboard engines may also meet
the optional standards in Sec. 1045.145.
(3) Sterndrive/inboard engines must meet the engine-diagnostic
requirements in Sec. 1045.110.
(4) All engines must meet the requirements in Sec. 1045.115.
(b) It is important that you read Sec. 1045.145 to determine if
there are other interim requirements or interim compliance provisions
that apply for a limited time.
Sec. 1045.103 What exhaust emission standards must my outboard and
personal watercraft engines meet?
(a) Emission standards. Starting in the 2009 model year, exhaust
emissions from your outboard and personal watercraft engines may not
exceed emission standards as follows:
(1) Measure emissions using the applicable steady-state test
procedures described in subpart F of this part.
(2) The exhaust emission standards from the following table apply:
Table 1 to Sec. 1045.103--Emission Standards for Outboard and Personal
Watercraft Engines (g/kW-hr)
------------------------------------------------------------------------
Maximum Engine Power (P) HC+NOX CO
------------------------------------------------------------------------
P < = 40 kW.................. 28 - 0.3 x P........ 500 - 5.0 x P
P > 40 kW................... 16.0................ 300
------------------------------------------------------------------------
[[Page 28263]]
(3) For engines with maximum engine power at or below 40 kW, round
the calculated HC+NOX emission standard to the nearest 0.1
g/kW-hr; round the calculated CO emission standard to the nearest g/kW-hr.
(b) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program described in subpart H of this part for demonstrating
compliance with HC+NOX emission standards. For CO emissions,
you may generate or use emission credits for averaging as described in
subpart H of this part, but not for banking or trading. To generate or
use emission credits, you must 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
meets the emission standards using emission credits and the engines
within the family meet the family emission limit. The following are the
maximum values you may specify for family emission limits:
(1) For engines with maximum engine power at or below 4.3 kW, the
maximum value of the family emission limit for HC+NOX is
81.0 g/kW-hr. For all other engines, the maximum value of the family
emission limit for HC+NOX is defined by the following
formula, with results rounded to the nearest 0.1 g/kW-hr:
FELmax,HC+NOX= 0.25(151 + 557/P0.9) + 6.0.
(2) For engines with maximum engine power above 40 kW, the maximum
value of the family emission limit for CO is 450 g/kW-hr. For all other
engines, the maximum value is defined by the following formula, with
results rounded to the nearest g/kW-hr:
FELmax,CO = 650 - 5.0 x P
(c) Not-to-exceed standards. Exhaust emissions may not exceed the
not-to-exceed standards, as follows:
(1) Measure emissions using the not-to-exceed procedures in subpart
F of this part:
(2) Determine the not-to-exceed standard, rounded to the same
number of decimal places as the emission standard in Table 1 of this
section, from the following equation:
Not-to-exceed standard = (STD) x (M)
Where:
STD = The standard specified in paragraph (a) of this section if you
certify without using ABT for that pollutant; or the FEL for that
pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant, as defined in paragraph
(c)(3) of this section.
(3) Use one of the two sets of NTE multipliers from the following
table across the applicable zone specified in Sec. 1045.515:
Table 2 to Sec. 1045.103--NTE Multipliers for Outboard and Personal Watercraft Engines
----------------------------------------------------------------------------------------------------------------
Approach Pollutant Subzone 1 Subzone 2 Subzone 3 Subzone 4
----------------------------------------------------------------------------------------------------------------
Primary......................... HC+NOX 1.20 1.20 1.20 1.60
CO 1.50 1.50 1.50 1.50
Alternative 1................... HC+NOX 2.00 0.80 0.80 2.00
CO 3.00 1.50 1.00 1.00
Alternative 2................... HC+NOX 1.00 1.00 1.00 3.00
CO 1.50 1.00 1.00 2.00
----------------------------------------------------------------------------------------------------------------
(d) Fuel types. The exhaust emission standards in this section
apply for engines using the fuel type on which the engines in the
engine family 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 engines powered by the
following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Other engines: THC emissions.
(e) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (c) of this section over the full
useful life as follows:
(1) For outboard engines, the minimum useful life is 350 hours of
engine operation or 10 years, whichever comes first.
(2) For personal watercraft engines, the minimum useful life is 350
hours of engine operation or 5 years, whichever comes first.
(3) You must specify a longer useful life in terms of hours for the
engine family if the average service life of your vehicles is longer
than the minimum value, as follows:
(i) Except as allowed by paragraph (e)(3)(ii) of this section, your
useful life (in hours) may not be less than either of the following:
(A) Your projected operating life from advertisements or other
marketing materials for any engines in the engine family.
(B) Your basic mechanical warranty for any engines in the engine family.
(ii) Your useful life may be based on the average service life of
vehicles in the engine family if you show that the average service life
is less than the useful life required by paragraph (e)(3)(i) of this
section, but more than the minimum useful life (350 hours of engine
operation). In determining the actual average service life of vehicles
in an engine family, we will consider all available information and
analyses. Survey data is allowed but not required to make this showing.
(f) Applicability for testing. The duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec. 1045.505, including certification, production-line, and in-use
testing. The not-to-exceed standards apply for all testing performed
according to the procedures of subpart F of this part.
Sec. 1045.105 What exhaust emission standards must my sterndrive/
inboard engines meet?
(a) Emission standards. Starting in the 2009 model year, exhaust
emissions from your sterndrive/inboard engines may not exceed emission
standards as follows:
(1) Measure emissions using the applicable steady-state test
procedures described in subpart F of this part.
(2) The exhaust emission standards from the following table apply:
[[Page 28264]]
Table 1 to Sec. 1045.105--Emission Standards for Sterndrive/Inboard
Engines (g/kW-hr)
------------------------------------------------------------------------
Engine type HC+NOX CO
------------------------------------------------------------------------
Primary standard for sterndrive/inboard 5.0 75.0
engines................................
Alternate standards for high-performance 5.0 350
engines................................
------------------------------------------------------------------------
(b) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program described in subpart H of this part for demonstrating
compliance with HC+NOX and CO emission standards. To
generate or use emission credits, you must 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 meets the emission standards using emission
credits and the engines within the family meet the family emission
limit. The following are the maximum values you may specify for family
emission limits:
(1) For high-performance engines, 30.0 g/kW-hr for
HC+NOX and 350 g/kW-hr for CO.
(2) For other engines, 16.0 g/kW-hr for HC+NOX and 150
g/kW-hr for CO.
(c) Not-to-exceed standards. Exhaust emissions may not exceed the
not-to-exceed standards for all sterndrive/inboard engines except high-
performance engines, as follows:
(1) Measure emissions using the not-to-exceed procedures in subpart
F of this part:
(2) Determine the not-to-exceed standard, rounded to the same
number of decimal places as the emission standard in Table 1 of this
section from the following equation:
Not-to-exceed standard = (STD) (M)
Where:
STD = The standard specified in paragraph (a) of this section if you
certify without using ABT for that pollutant; or the FEL for that
pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant, as defined in paragraph
(c)(3) of this section.
(3) Use the NTE multipliers from the following table across the
applicable zone specified in Sec. 1045.515:
Table 2 to Sec. 1045.105--NTE Multipliers for Sterndrive/Inboard Engines
----------------------------------------------------------------------------------------------------------------
Pollutant Subzone 1 Subzone 2 Subzone 3 Subzone 4
----------------------------------------------------------------------------------------------------------------
HC+NOX.......................................... 1.50 1.00 1.00 1.50
CO.............................................. 3.50 1.00 1.00 1.00
----------------------------------------------------------------------------------------------------------------
(d) Fuel types. The exhaust emission standards in this section
apply for engines using the fuel type on which the engines in the
engine family 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 engines powered by the
following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Other engines: THC emissions.
(e) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (c) of this section over their full
useful life, as follows:
(1) For high-performance engines with maximum engine power above
485 kW, the minimum useful life is 50 hours of operation or 1 year,
whichever comes first. For high-performance engines with maximum engine
power at or below 485 kW, the minimum useful life is 150 hours of
operation or 3 years, whichever comes first.
(2) For all other engines, the minimum useful life is 480 hours of
operation or ten years, whichever comes first. However, you may request
in your application for certification that we approve a shorter useful
life for an engine family. We may approve a shorter useful life, in
hours of engine operation but not in years, if we determine that these
engines will rarely operate longer than the shorter useful life. If
engines identical to those in the engine family have already been
produced and are in use, your demonstration must include documentation
from such in-use engines. In other cases, your demonstration must
include an engineering analysis of information equivalent to such in-
use data, such as data from research engines or similar engine models
that are already in production. Your demonstration must also include
any overhaul interval that you recommend, any mechanical warranty that
you offer for the engine or its components, and any relevant customer
design specifications. Your demonstration may include any other
relevant information. The useful life value may not be shorter than any
of the following:
(i) 150 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
(3) You must specify a longer useful life in terms of hours for the
engine family if the average service life of your vehicles is longer
than the minimum value, as follows:
(i) Except as allowed by paragraph (e)(3)(ii) of this section, your
useful life (in hours) may not be less than either of the following:
(A) Your projected operating life from advertisements or other
marketing materials for any engines in the engine family.
(B) Your basic mechanical warranty for any engines in the engine family.
(ii) Your useful life may be based on the average service life of
vehicles in the engine family if you show that the average service life
is less than the useful life required by paragraph (e)(3)(i) of this
section, but more than the minimum useful life (480 hours of engine
operation). In determining the actual average service life of vehicles
in an engine family, we will consider all available information and
analyses. Survey data is allowed but not required to make this showing.
(f) Applicability for testing. The duty-cycle emission standards in
this section
[[Page 28265]]
apply to all testing performed according to the procedures in Sec.
1045.505, including certification, production-line, and in-use testing.
The not-to-exceed standards apply for all testing performed according
to the procedures of subpart F of this part.
Sec. 1045.107 What are the standards for evaporative emissions?
Fuel systems must meet the evaporative emission requirements of 40
CFR part 1060 as specified in this section. The useful life of these
standards is five years for personal watercraft and ten years for all
other vessels.
(a) Fuel line permeation. Nonmetal fuel lines must meet the
permeation requirements specified in 40 CFR 1060.102 for EPA NR fuel
lines starting in the 2009 model year. Metal fuel lines are not subject
to emission standards.
(b) Tank permeation. Fuel tanks must meet the permeation
requirements specified in 40 CFR 1060.103. Portable fuel tanks and fuel
tanks for personal watercraft must meet permeation standards starting
in the 2011 model year. Other installed fuel tanks must meet permeation
standards starting in the 2012 model year. Vessel manufacturers may
generate or use emission credits to show compliance with the
requirements of this paragraph under the averaging, banking, and
trading (ABT) program, as described in subpart H of this part. Starting
in the 2014 model year for personal watercraft and in the 2015 model
year for other installed fuel tanks, family emission limits may not
exceed 5.0 g/m2/day if testing occurs at a nominal
temperature of 28[deg]
C, or 8.3 g/m2/day if testing occurs
at a nominal temperature of 40[deg]C. Portable fuel tank manufacturers
may not generate or use emission credits under subpart H of this part.
See Sec. 1045.145(e) for special provisions related to the timing of
these requirements.
(c) Running loss. The running loss requirements specified in 40 CFR
part 1060 do not apply.
(d) Diurnal emissions. Installed fuel tanks must meet the diurnal
emission requirements specified in 40 CFR 1060.105. Fuel tanks for
personal watercraft must meet diurnal emission standards starting in
the 2009 model year. Other installed fuel tanks must meet diurnal
emission standards starting in the 2010 model year. Fuel tanks meeting
the definition of portable marine fuel tank in Sec. 1045.801 must
comply with the diurnal requirements for portable nonroad fuel tanks in
40 CFR part 1060 starting in the 2009 model year.
(e) Other requirements. The requirements of 40 CFR 1060.101(e) and
(f) apply to vessel manufacturers even if they do not obtain a certificate.
Sec. 1045.110 How must my engines diagnose malfunctions?
The following engine-diagnostic requirements apply to sterndrive/
inboard engines only:
(a) Equip your engines with a diagnostic system. Equip each engine
with a diagnostic system that will detect significant malfunctions in
its emission control system using one of the following protocols:
(1) If your emission control strategy depends on maintaining air-
fuel ratios at stoichiometry, an acceptable diagnostic design would
identify malfunction whenever the air-fuel ratio does not cross
stoichiometry for one minute of intended closed-loop operation. You may
use other diagnostic strategies if we approve them in advance.
(2) If the protocol described in paragraph (a)(1) of this section
does not apply to your engine, you must use an alternative approach
that we approve in advance. Your alternative approach must generally
detect when the emission control system is not functioning properly.
(3) Diagnostic systems approved by the California Air Resources
Board for use with sterndrive/inboard engines fully satisfy the
requirements of this section.
(b) Use a malfunction-indicator light (MIL). The MIL must be
readily visible to the operator; it may be any color except red. When
the MIL goes on, it must display ``Check Engine,'' ``Service Engine
Soon,'' or a similar message that we approve. You may use sound in
addition to the light signal. The MIL must go on under each of these
circumstances:
(1) When a malfunction occurs, as described in paragraph (a) of
this section.
(2) When the diagnostic system cannot send signals to meet the
requirement of paragraph (b)(1) of this section.
(3) When the engine's ignition is in the ``key-on'' position before
starting or cranking. The MIL should go out after engine starting if
the system detects no malfunction.
(c) Control when the MIL can go out. If the MIL goes on to show a
malfunction, it must remain on during all later engine operation until
servicing corrects the malfunction. If the engine is not serviced, but
the malfunction does not recur for three consecutive engine starts
during which the malfunctioning system is evaluated and found to be
working properly, the MIL may stay off during later engine operation.
(d) Store trouble codes in computer memory. Record and store in
computer memory any diagnostic trouble codes showing a malfunction that
should illuminate the MIL. The stored codes must identify the
malfunctioning system or component as uniquely as possible. Make these
codes available through the data link connector as described in
paragraph (g) of this section. You may store codes for conditions that
do not turn on the MIL. The system must store a separate code to show
when the diagnostic system is disabled (from malfunction or tampering).
(e) Make data, access codes, and devices accessible. Make all
required data accessible to us without any access codes or devices that
only you can supply. Ensure that anyone servicing your engine can read
and understand the diagnostic trouble codes stored in the onboard
computer with generic tools and information.
(f) Consider exceptions for certain conditions. Your diagnostic
systems may disregard trouble codes for the first three minutes after
engine starting. You may ask us to approve diagnostic-system designs
that disregard trouble codes under other conditions that would produce
an unreliable reading, damage systems or components, or cause other
safety risks.
(g) Follow standard references for formats, codes, and connections.
Follow conventions defined in the following documents (incorporated by
reference in Sec. 1045.810) or ask us to approve using updated
versions of (or variations from) these documents:
(1) ISO 9141-2 Road vehicles--Diagnostic systems--Part 2: CARB
requirements for interchange of digital information, February 1994.
(2) ISO 14230-4 Road vehicles--Diagnostic systems--Keyword Protocol
2000--Part 4: Requirements for emission-related systems, June 2000.
Sec. 1045.115 What other requirements apply?
The following requirements apply with respect to engines that are
required to meet the emission standards of this part:
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life.
(b) Torque broadcasting. Electronically controlled engines must
broadcast their speed and output shaft torque (in newton-meters).
Engines may alternatively broadcast a surrogate value
[[Page 28266]]
for determining torque. Engines must broadcast engine parameters such
that they can be read with a remote device, or broadcast them directly
to their controller area networks. This information is necessary for
testing engines in the field (see 40 CFR part 1065, subpart J). Small-
volume engine manufacturers may omit this requirement.
(c) EPA access to broadcast information. If we request it, you must
provide us any hardware or tools we would need to readily read,
interpret, and record all information broadcast by an engine's on-board
computers and electronic control modules. If you broadcast a surrogate
parameter for torque values, you must provide us what we need to
convert these into torque units. We will not ask for hardware or tools
if they are readily available commercially.
(d) [Reserved]
(e) Adjustable parameters. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing, including certification testing, production-line testing, or
in-use testing.
(f) Prohibited controls. You may not design your engines with
emission-control devices, systems, or elements of design that cause or
contribute to an unreasonable risk to public health, welfare, or safety
while operating. For example, this would apply if the engine emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
(g) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission control device that
reduces the effectiveness of emission controls under conditions that
the engine may reasonably be expected to encounter during normal
operation and use. This does not apply to auxiliary emission control
devices you identify in your certification application if any of the
following is true:
(1) The conditions of concern were substantially included in the
applicable duty-cycle test procedures described in subpart F of this part.
(2) You show your design is necessary to prevent engine (or vessel)
damage or accidents.
(3) The reduced effectiveness applies only to starting the engine.
Sec. 1045.120 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
during the periods specified in this paragraph (b). You may offer an
emission-related warranty more generous than we require. The emission-
related warranty for the engine may not be shorter than any published
warranty you offer without charge for the engine. Similarly, the
emission-related warranty for any component may not be shorter than any
published warranty you offer without charge for that component. If an
engine has no hour meter, we base the warranty periods in this
paragraph (b) only on the engine's age (in years). The warranty period
begins when the engine is placed into service.
(1) The minimum warranty period for outboard engines is 175 hours
of engine operation or 5 years, whichever comes first. The minimum
warranty period for personal watercraft engines is 175 hours of engine
operation or 30 months, whichever comes first.
(2) The minimum warranty period for sterndrive/inboard engines is
shown in the following table:
Table 1 to Sec. 1045.120--Warranty Periods for Sterndrive/inboard Engines \1\
----------------------------------------------------------------------------------------------------------------
Maximum engine power Electronic components Mechanical components
----------------------------------------------------------------------------------------------------------------
P < 373 kW............................ 3 years/480 hours.................. 3 years/480 hours.
373 < = P < 485 kW..................... 3 years/480 hours.................. 3 years/150 hours.
P >= 485 kW........................... 3 years/480 hours.................. 1 year/50 hours.
----------------------------------------------------------------------------------------------------------------
\1\ The warranty period expires after the specified time period or number of operating hours, whichever comes
first.
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
pollutant, including those listed in 40 CFR part 1068, Appendix I, and
those from any other system you develop to control emissions. The
emission-related warranty covers these components even if another
company produces the component. Your emission-related warranty does not
cover components whose failure would not increase an engine's emissions
of any pollutant.
(d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.
Sec. 1045.125 What maintenance instructions must I give to buyers?
Give the ultimate purchaser of each new engine written instructions
for properly maintaining and using the engine, including the emission
control system as described in this section. The maintenance
instructions also apply to service accumulation on your emission-data
engines as described in Sec. 1045.245 and in 40 CFR part 1065.
(a) Critical emission-related maintenance. Critical emission-
related maintenance includes any adjustment, cleaning, repair, or
replacement of critical emission-related components. This may also
include additional emission-related maintenance that you determine is
critical if we approve it in advance. You may schedule critical
emission-related maintenance on these components if you meet the
following conditions:
(1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use engines. We will accept
scheduled maintenance as reasonably likely to occur if you satisfy any
of the following conditions:
(i) You present data showing that any lack of maintenance that increases
[[Page 28267]]
emissions also unacceptably degrades the engine's performance.
(ii) You present survey data showing that at least 80 percent of
engines in the field get the maintenance you specify at the recommended
intervals.
(iii) You provide the maintenance free of charge and clearly say so
in maintenance instructions for the customer.
(iv) You otherwise show us that the maintenance is reasonably
likely to be done at the recommended intervals.
(2) You may not schedule critical emission-related maintenance
within the useful life period for aftertreatment devices, pulse-air
valves, fuel injectors, oxygen sensors, electronic control units,
superchargers, or turbochargers, except as specified in paragraph (b)
or (c) of this section.
(b) Recommended additional maintenance. You may recommend any
additional amount of maintenance on the components listed in paragraph
(a) of this section, as long as you state clearly that these
maintenance steps are not necessary to keep the emission-related
warranty valid. If operators do the maintenance specified in paragraph
(a) of this section, but not the recommended additional maintenance,
this does not allow you to disqualify those engines from in-use testing
or deny a warranty claim. Do not take these maintenance steps during
service accumulation on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are addressing.
(d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (i.e., maintenance that is neither
explicitly identified as critical emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-related maintenance generally includes changing spark plugs,
re-seating valves, or any other emission-related maintenance on the
components we specify in 40 CFR part 1068, Appendix I. You must state
in the owners manual that these steps are not necessary to keep the
emission-related warranty valid. If operators fail to do this
maintenance, this does not allow you to disqualify those engines from
in-use testing or deny a warranty claim. Do not take these inspection
or maintenance steps during service accumulation on your emission-data
engines.
(e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also take these inspection or
maintenance steps during service accumulation on your emission-data
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems, and adjusting idle speed,
governor, engine bolt torque, valve lash, or injector lash. You may
perform this nonemission-related maintenance on emission-data engines
at the least frequent intervals that you recommend to the ultimate
purchaser (but not the intervals recommended for severe service).
(f) Source of parts and repairs. State clearly on the first page of
your written maintenance instructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission control
devices and systems. Your instructions may not require components or
service identified by brand, trade, or corporate name. Also, do not
directly or indirectly condition your warranty on a requirement that
the engine be serviced by your franchised dealers or any other service
establishments with which you have a commercial relationship. You may
disregard the requirements in this paragraph (f) if you do one of two things:
(1) Provide a component or service without charge under the
purchase agreement.
(2) Get us to waive this prohibition in the public's interest by
convincing us the engine will work properly only with the identified
component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following criteria:
(1) Each affected component was not in general use on similar
engines before the applicable dates shown in paragraph (5) of the
definition of new propulsion marine engine in Sec. 1045.801.
(2) The primary function of each affected component is to reduce
emissions.
(3) The cost of the scheduled maintenance is more than 2 percent of
the price of the engine.
(4) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the engine's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.
Sec. 1045.130 What installation instructions must I give to vessel
manufacturers?
(a) If you sell an engine for someone else to install in a vessel,
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 vessel 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. 1045.205(t).
(4) Describe the steps needed to control evaporative emissions as
described in Sec. 1045.107. This will generally require notification
that the installer and/or vessel manufacturer must meet the
requirements of Sec. 1045.107 and 40 CFR part 1060.
(5) Describe any necessary steps for installing the diagnostic
system described in Sec. 1045.110.
(6) 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 for
personal watercraft, tell vessel manufacturers not to install the
engines in vessels longer than 4.0 meters.
(7) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. For example, this may include specified
limits for catalyst systems, such as exhaust backpressure, catalyst
location, and temperature profiles during engine operation.
(8) 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 vessel, as
described in 40 CFR 1068.105.''.
(c) You do not need installation instructions for engines you
install in your own vessels.
[[Page 28268]]
(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.
Sec. 1045.135 How must I label and identify the engines I produce?
The provisions of this section apply to engine manufacturers.
(a) Assign each engine a unique identification number and
permanently affix, engrave, or stamp it on the engine in a legible way.
(b) At the time of manufacture, affix a permanent and legible label
identifying each engine. The label must be--
(1) Attached in one piece so it is not removable without being
destroyed or defaced. However, you may use two-piece labels for engines
below 19 kW if there is not enough space on the engine to apply a one-
piece label.
(2) Secured to a part of the engine needed for normal operation and
not normally requiring replacement.
(3) Durable and readable for the engine's entire life.
(4) Written in English.
(c) The label must--
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the provisions of Sec. 1045.640.
(3) Include EPA's standardized designation for the engine family
(and subfamily, where applicable).
(4) State the engine's displacement (in liters) and maximum engine
power; however, you may omit the displacement from the label if all the
engines in the engine family have the same per-cylinder displacement
and total displacement.
(5) State the date of manufacture [MONTH and YEAR]; however, you
may omit this from the label if you stamp or engrave it on the engine.
(6) State the FELs to which the engines are certified (in g/kW-hr)
if certification depends on the ABT provisions of subpart H of this part.
(7) Identify the emission control system. Use terms and
abbreviations consistent with SAE J1930 (incorporated by reference in
Sec. 1045.810). 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.
(8) List specifications and adjustments for engine tuneups;
however, 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) Identify the fuel type and any requirements for fuel and
lubricants; however, you may omit this information from the label if
there is not enough room for it and you put it in the owners manual instead.
(10) State: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[MODEL YEAR]
SPARK-IGNITION MARINE ENGINES.''.
(11) If your durability demonstration for sterndrive/inboard
engines is limited to fresh water, state: ``THIS ENGINE IS NOT INTENDED
FOR USE IN SALTWATER.''.
(d) You may add information to the emission control information
label to identify other emission standards that the engine meets or
does not meet (such as California standards). You may also add other
information to ensure that the engine will be properly maintained and used.
(e) You may ask us to approve modified labeling requirements in
this part 1045 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 vessel such that the label cannot be read during normal
maintenance, you must place a duplicate label on the vessel. If others
install your engine in their vessels in a way that obscures the engine
label, we require them to add a duplicate label on the vessel (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 vessel manufacturer.
(2) The number of duplicate labels you send for each engine family
and the date you sent them.
Sec. 1045.140 What is my engine's maximum engine power?
(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest whole kilowatt.
(b) The nominal power curve of an engine configuration is the
relationship between maximum available engine brake power and engine
speed for an engine, using the mapping procedures of 40 CFR part 1065,
based on the manufacturer's design and production specifications for
the engine. This information may also be expressed by a torque curve
that relates maximum available engine torque with engine speed.
(c) The nominal power curve must be within the range of the actual
power curves of production engines considering normal production
variability. If after production begins it is determined that your
nominal power curve does not represent production engines, we may
require you to amend your application for certification under Sec. 1045.225.
Sec. 1045.145 Are there interim provisions that apply only for a
limited time?
The provisions in this section apply instead of other provisions in
this part. This section describes when these interim provisions apply.
(a) Small-volume engine manufacturers. Special provisions apply to
you for sterndrive/inboard engines if you are a small-volume engine
manufacturer subject to the requirements of this part. Contact us
before 2009 if you intend to use any of the following provisions:
(1) You may delay complying with otherwise emission standards and
other requirements that would otherwise apply until the 2013 model year
for high-performance engines and until the 2011 model year for other
sterndrive/inboard engines. Add a permanent label to a readily visible
part of each engine exempted under this paragraph (a)(1). This label
must include at least the following items:
(i) The label heading ``EMISSION CONTROL INFORMATION''.
(ii) Your corporate name and trademark.
(iii) Engine displacement (in liters), rated power, and model year
of the engine or whom to contact for further information.
(iv) The following statement: ``THIS ENGINE IS EXEMPT UNDER 40 CFR
1045.145(a)(1) FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.
(2) You may use the provisions of 40 CFR 1068.250 to further delay
compliance with emission standards; however, you must use a base engine
that has been certified if such an engine is available.
(b) Early banking. You may generate emission credits for
sterndrive/inboard engines before the 2009 model year (or before the
2011 model year for small-volume engine manufacturers), as follows:
(1) You must begin actual production of early-compliant engines by
September 1, 2008 (or before September
[[Page 28269]]
1, 2010 for small-volume engine manufacturers).
(2) You may not generate emission credits under this paragraph (b)
with engines you produce after December 31, 2008 (or December 31, 2010
for small-volume engine manufacturers).
(3) Early-compliant engines must be certified to the standards and
requirements for sterndrive/inboard engines under this part 1045, with
family emission limits at or below the emission standards in Sec. 1045.105.
(4) You must calculate emission credits by comparing the engine's
family emission limits with assigned baseline levels of 16 g/kW-hr for
HC+NOX and 150 g/kW-hr for CO.
(5) Calculate emission credits using a multiplier based on the
number of model years before the standards start to apply. The
multipliers are 1.25 for one year early, 1.5 for two years early, and
2.0 for three or more years early. For example, multiply your
calculated emission credits generated from compliant 2008 model year
engines by 1.25 or, if emission standards are delayed for your engines
until 2011 under paragraph (a)(1) of this section, multiply those
calculated emission credits by 2.0.
(6) You may not use the provisions of this paragraph (b) to
generate emission credits for engines whose point of first retail sale
is in California.
(7) HC+NOX or CO credits you generate under this
paragraph (b) may be banked for up to three model years after the model
year in which the emission standards start to apply.
(c) Early compliance with evaporative emission standards. You may
fuel tanks that do not meet the otherwise applicable permeation
standards without violating the prohibition in 40 CFR 1068.101(a)(1) if
you earn evaporative allowances, as follows:
(1) You may earn an evaporative allowance from one fuel tank
certified to EPA's evaporative emission standards by producing it
before EPA's evaporative emission standards start to apply. You may use
this evaporative allowance by selling one fuel tank that does not meet
the permeation emission standards that would otherwise apply. For
example, you can earn an evaporative allowance by selling a low-
permeation fuel tank for personal watercraft before the 2011 model
year, in which case you could sell a high-permeation fuel tank for a
personal watercraft in 2011. You must meet all the other requirements
related to evaporative emissions that apply.
(2) You must add a label to exempted fuel tanks you produce under
this paragraph (c) with the following statement: ``EXEMPT FROM EMISSION
STANDARDS UNDER 40 CFR 1045.145(c)''.
(3) Evaporative allowances you earn under this paragraph (c) from
portable fuel tanks may be used only for other portable fuel tanks.
Similarly, evaporative allowances from personal watercraft fuel tanks
may be used only for personal watercraft fuel tanks and evaporative
allowances from other installed fuel tanks may be used only for other
installed fuel tanks.
(4) You may not use the allowances you generate under this
paragraph (c) for portable fuel tanks and personal watercraft fuel
tanks in 2014 or later model years. Similarly, you may not use the
allowances you generate under this paragraph (c) for other installed
fuel tanks in 2015 or later model years.
(d) Useful life for evaporative emission standards. A useful life
period of two years applies for fuel tanks certified to meet the
permeation emission standards in Sec. 1045.110(b) in 2013 and earlier
model years. However, for fuel tanks with a family emission limit above
or below the otherwise applicable standard, calculate emission credits
under Sec. 1054.706 based on the useful life values specified in Sec.
1045.107.
Subpart C--Certifying Engine Families
Sec. 1045.201 What are the general requirements for obtaining a
certificate of conformity?
Engine manufacturers must certify their engines with respect to the
exhaust emission standards in this part. Manufacturers of engines,
equipment, or fuel-system components may need to certify their products
with respect to evaporative emission standards as described in 40 CFR
1060.1 and 1060.601. The following general requirements apply 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
starting with the indicated effective date, but it is not valid for any
production after December 31 of the model year for which it is issued.
No certificate will be issued after December 31 of the model year.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1045.255).
(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. 1045.250.
(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. 1045.255 for provisions describing how we will
process your application.
(g) We may require you to deliver your test engines to a facility
we designate for our testing (see Sec. 1045.235(c)).
Sec. 1045.205 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.
1045.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, all-
season gasoline). List each distinguishable engine configuration in the
engine family. For each engine configuration, list the maximum engine
power and the range of values for maximum engine power resulting from
production tolerances, as described in Sec. 1045.140.
(b) Explain how the emission control systems operate. Describe in
detail all system components for controlling exhaust emissions,
including all auxiliary emission control devices (AECDs) and all fuel-
system components you will install on any production or test engine.
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 sufficient detail to
allow us to evaluate whether the AECDs are consistent with the defeat
device prohibition of Sec. 1045.115.
(c) For sterndrive/inboard engines, explain how the engine
diagnostic system works, describing especially the engine conditions
(with the corresponding diagnostic trouble codes) that cause the
malfunction-indicator light to go on. Propose what you consider to be
extreme conditions under which the diagnostic system should disregard
trouble codes, as described in Sec. 1045.110.
(d) Describe the engines you selected for testing and the reasons
for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used.
[[Page 28270]]
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you did.
(g) List the specifications of 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 and warranty instructions you will give
to the ultimate purchaser of each new engine (see Sec. Sec. 1045.120
and 1045.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a vessel (see Sec.
1045.130).
(k) Describe your emission control information label (see Sec.
1045.135).
(l) Identify the 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. 1045.245). Present any emission test
data you used for this.
(n) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.
(o) Present emission data to show that you meet emission standards,
as follows:
(1) Present emission data by mode for hydrocarbons (such as THC or
THCE, as applicable), NOX, and CO on an emission-data engine
to show your engines meet the duty-cycle emission standards we specify
in Sec. 1045.101. Show emission figures before and after applying
deterioration factors for each engine. If we specify more than one
grade of any fuel type (for example, low-temperature and all-season
gasoline), you need to submit test data only for one grade, unless the
regulations of this part specify otherwise for your engine.
(2) Note that Sec. Sec. 1045.235 and 1045.245 allow you to submit
an application in certain cases without new emission data.
(p) State that all the engines in the engine family comply with the
not-to-exceed emission standards we specify in subpart B of this part
for all normal operation and use when tested as specified in Sec.
1045.515. Describe any relevant testing, engineering analysis, or other
information in sufficient detail to support your statement.
(q) Report all test results, including those from invalid 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 parts 1060 and 1065.
(r) Describe all adjustable operating parameters (see Sec.
1045.115(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.
(s) Provide the information to read, record, and interpret all the
information broadcast by an engine's onboard computers and electronic
control units. State that, upon request, you will give us any hardware,
software, or tools we would need to do this. If you broadcast a
surrogate parameter for torque values, you must provide us what we need
to convert these into torque units. You may reference any appropriate
publicly released standards that define conventions for these messages
and parameters. Format your information consistent with publicly
released standards.
(t) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines are installed in vessels and placed in service.
Show how to sample exhaust emissions in a way that prevents diluting
the exhaust sample with ambient air.
(u) Unconditionally certify that all the engines in the engine
family comply with the requirements of this part, other referenced
parts of the CFR, and the Clean Air Act.
(v) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes
if they are substantially different than actual production volumes in
earlier years for similar models.
(w) Include the information required by other subparts of this
part. For example, include the information required by Sec. 1045.725
if you participate in the ABT program.
(x) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(y) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.
(z) For imported engines, identify the following:
(1) The port(s) at which you will import your engines.
(2) The names and addresses of the agents you have authorized to
import your engines.
(3) The location of test facilities in the United States where you
can test your engines if we select them for testing under a selective
enforcement audit, as specified in 40 CFR part 1068, subpart E.
Sec. 1045.210 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, maintenance, and compliance with not-to-exceed standards.
Decisions made under this section are considered to be preliminary
approval, subject to final review and approval. We will generally not
reverse a decision where we have given you preliminary approval, unless
we find new information supporting a different decision. If you request
preliminary approval related to the upcoming model year or the model
year after that, we will make best-efforts to make the appropriate
determinations as soon as practicable. We will generally not provide
preliminary approval related to a future model year more than two years
ahead of time.
Sec. 1045.220 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. 1045.125.
You must send the Designated Compliance Officer a written 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
[[Page 28271]]
proposed changes to the maintenance instructions. We will disapprove
your request if we determine that the amended instructions are
inconsistent with maintenance you performed on emission-data engines.
If operators follow the original maintenance instructions rather than
the newly specified maintenance, this does not allow you to disqualify
those engines from in-use testing or deny a warranty claim.
(a) If you are changing the specified maintenance in a way that
could affect emissions, you may distribute the new maintenance
instructions to your customers only after we approve your request.
(b) 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.
Sec. 1045.225 How do I amend my application for certification to
include new or modified engines or change an FEL?
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 any of the
following actions:
(1) Add an engine configuration to an engine family. In this case,
the engine configuration added must be consistent with other engine
configurations in the engine family with respect to the criteria listed
in Sec. 1045.230.
(2) Change an engine configuration 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 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 for showing that the amended family complies 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 engine
configuration, include new test data showing that the new or modified
engine configuration 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 newly added or modified engine. You may ask for
a hearing if we deny your request (see Sec. 1045.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime after you send us your amended application and
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 engines.
(f) You may ask us to approve a change to your FEL in certain cases
after the start of production. The changed FEL may not apply to engines
you have already introduced into U.S. commerce, except as described in
this paragraph (f). If we approve a changed FEL after the start of
production, you must include the new FEL on the emission control
information label for all engines produced after the change. You may
ask us to approve a change to your FEL in the following cases:
(1) You may ask to raise your FEL for your engine family at any
time. In your request, you must show that you will still be able to
meet the emission standards as specified in subparts B and H of this
part. If you amend your application by submitting new test data to
include a newly added or modified engine, as described in paragraph
(b)(3) of this section, use the appropriate FELs with corresponding
production volumes to calculate your production-weighted average FEL
for the model year, as described in subpart H of this part. If you
amend your application without submitting new test data, you must use
the higher FEL for the entire family to calculate your production-
weighted average FEL under subpart H of this part.
(2) You may ask to lower the FEL for your engine family only if you
have test data from production engines showing that emissions are below
the proposed lower FEL. The lower FEL applies only to engines you
produce after we approve the new FEL. Use the appropriate FELs with
corresponding production volumes to calculate your production-weighted
average FEL for the model year, as described in subpart H of this part.
Sec. 1045.230 How do I select engine families?
(a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout the useful life as described in this
section. 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 the following aspects:
(1) The combustion cycle and fuel.
(2) The cooling system (for example, raw-water vs. separate-circuit
cooling).
(3) Method of air aspiration (for example, turbocharged vs.
naturally aspirated).
(4) The number, location, volume, and composition of catalytic
converters.
(5) The number, arrangement, and approximate bore diameter of cylinders.
(6) Method of control for engine operation, other than governing
(i.e., mechanical or electronic).
(7) The numerical level of the emission standards that apply to the
engine.
(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, as follows:
(1) In unusual circumstances, you may group such engines in the same
[[Page 28272]]
engine family if you show that their emission characteristics during
the useful life will be similar.
(2) If you are a small-volume engine manufacturer, you may group
all your high-performance engines into a single engine family.
(3) The provisions of this paragraph (e) do not exempt any engines
from meeting all the emission standards and requirements in subpart B
of this part.
Sec. 1045.235 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. 1045.101(a). See
Sec. 1045.205(p) regarding emission testing related to the not-to-
exceed standards. See Sec. Sec. 1045.240 and 1045.245 and 40 CFR part
1065, subpart E, regarding service accumulation before emission testing.
(a) Select an emission-data engine from each engine family for
testing as described in 40 CFR 1065.401. Select the 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 vessel.
(b) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part.
(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) We may set the adjustable parameters of your emission-data
engine to any point within the physically adjustable ranges (see Sec.
1045.115(e)).
(4) We may calibrate your emission-data engine 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 or other
characteristics unrelated to emissions.
(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. For engines originally tested under the provisions
of 40 CFR part 91, you may consider those test procedures to be
equivalent to the procedures we specify in subpart F of this part.
(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.
Sec. 1045.240 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 emission standards in Sec. 1045.103 or Sec.
1045.105 if all emission-data engines representing that family have
test results showing deteriorated emission levels at or below these
standards. Note that your FELs are considered to be the applicable
emission standards with which you must comply if you participate in the
ABT program in subpart H of this part.
(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.
1045.101 for any pollutant.
(c) Determine a deterioration factor to compare emission levels
from the emission-data engine with the applicable emission standards.
Section 1045.245 specifies how to test engines to develop deterioration
factors that represent the expected deterioration in emissions over
your engines' full useful life. Your deterioration factors must take
into account any available data from in-use testing with similar
engines. Small-volume engine manufacturers may use assigned deterioration
factors that we establish. Apply deterioration factors as follows:
(1) Additive deterioration factor for exhaust emissions. 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
deterioration factor is less than zero, use zero. Additive
deterioration factors must be specified to one more decimal place than
the emission standard.
(2) Multiplicative deterioration factor for exhaust emissions. 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 deterioration factor is
less than one, use one. Multiplicative deterioration factors must be
specified to one more significant figure than the emission standard.
(d) Adjust the official emission results for each tested engine at
the selected test point by multiplying the measured emissions by the
deterioration factor, then rounding 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+NOX standards, add the emission results
and apply the deterioration factor to the sum of the pollutants before
rounding. However, if your deterioration factors are based on emission
measurements that do not cover the vehicle's full useful life, apply
the deterioration factor to each pollutant and then add the results
before rounding.
(e) Small-volume engine manufacturers may establish emission levels
for certification without testing, as follows:
(1) For high-performance engines, you may use a family emission
limit of 30.0 g/kW-hr for HC+NOX emissions and 350 g/kW-hr
for CO emissions.
(2) For other four-stroke sterndrive/inboard engines, you may use a
family emission limit of 22.0 g/kW-hr for
[[Page 28273]]
HC+NOX emissions and 150 g/kW-hr for CO emissions.
(3) Note that you must use emission credits under the provisions of
subpart H of this part to show that you meet applicable requirements if
you use family emission limits as specified in this paragraph (e).
Also, if you use these family emission limits, you must use them for
both HC+NOX and CO emissions.
Sec. 1045.245 How do I determine deterioration factors from exhaust
durability testing?
Establish deterioration factors to determine whether your engines
will meet the exhaust emission standards for each pollutant throughout
the useful life, as described in subpart B of this part and Sec.
1045.240. 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 engines if you have
already given us these data for certifying the other engines in the
same or earlier model years. Use good engineering judgment to decide
whether the two engines are similar.
(b) If you are unable to determine deterioration factors for an
engine family under paragraph (a) of this section, select engines,
subsystems, or components for testing. Determine deterioration factors
based on service accumulation and related testing. Include
consideration of wear and other causes of deterioration expected under
typical consumer use. Determine deterioration factors as follows:
(1) You must measure emissions from the emission-data engine at a
low-hour test point and the end of the useful life. You may also test
at evenly spaced intermediate points. Collect emission data using
measurements to one more decimal place than the emission standard.
(2) Operate the engine over a representative duty cycle for a
period at least as long as the useful life (in hours). You may operate
the engine continuously. You may also use an engine installed in a
vessel to accumulate service hours instead of running the engine only
in the laboratory.
(3) You may perform maintenance on emission-data engines as
described in Sec. 1045.125 and 40 CFR part 1065, subpart E.
(4) If you measure emissions at only two points to calculate your
deterioration factor, base your calculations on a linear relationship
connecting these two data points for each pollutant. If you measure
emissions at three or more points, use a linear least-squares fit of
your test data for each pollutant to calculate your deterioration factor.
(5) If you test more than one engine to establish deterioration
factors, average the deterioration factors from all the engines before
rounding.
(6) Use good engineering judgment for all aspects of the effort to
establish deterioration factors under this paragraph (b).
(7) You may use other testing methods to determine deterioration
factors, consistent with good engineering judgment, as long as we
approve those methods in advance.
(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 the method you
use to accumulate hours.
Sec. 1045.250 What records must I keep and what reports must I send
to EPA?
(a) If you produce engines under any provisions of this part that
are related to production volumes, send the Designated Compliance
Officer a report within 30 days after the end of the model year
describing the total number of engines you produced in each engine
family. For example, if you use special provisions intended for small-
volume engine manufacturers, report your production volumes to show
that you do not exceed the applicable limits.
(b) 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. 1045.205 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) 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.
(d) 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.
(e) Send us copies of any engine maintenance instructions or
explanations if we ask for them.
Sec. 1045.255 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.
(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 (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
[[Page 28274]]
(5) Produce engines for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
(6) Fail to supply requested information or amend your application
to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the
Act or this part.
(d) We may void your certificate if you do not keep the records we
require or do not give us information as required under this part or
the Act.
(e) We may void your certificate if we find that you intentionally
submitted false or incomplete information.
(f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec. 1045.820).
Subpart D--Testing Production-line Engines
Sec. 1045.301 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, except as
follows:
(1) Small-volume engine manufacturers may omit testing under this
subpart.
(2) We may exempt engine families with a projected U.S.-directed
production volume below 150 units from routine testing under this
subpart. Request this exemption in the application for certification
and include your basis for projecting a production volume below 150
units. You must promptly notify us if your actual production exceeds
150 units during the model year. If you exceed the production limit or
if there is evidence of a nonconformity, we may require you to test
production-line engines under this subpart, or under 40 CFR part 1068,
subpart E, even if we have approved an exemption under this paragraph
(a)(2).
(b) We may suspend or revoke your certificate of conformity for
certain engine families if your production-line engines do not meet the
requirements of this part or you do not fulfill your obligations under
this subpart (see Sec. Sec. 1045.325 and 1045.340).
(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not
affect our ability to do selective enforcement audits, as described in
40 CFR part 1068. Individual engines in families that pass these
production-line testing requirements must also conform to all
applicable regulations of this part and 40 CFR part 1068.
(d) You may ask to use an alternate program for testing production-
line engines. In your request, you must show us that the alternate
program gives equal assurance that your products meet the requirements
of this part. We may waive some or all of this subpart's requirements
if we approve your alternate program.
(e) If you certify an engine family with carryover emission data,
as described in Sec. 1045.235(c), and these equivalent engine families
consistently pass the production-line testing requirements over the
preceding two-year period, you may ask for a reduced testing rate for
further production-line testing for that family. The minimum testing
rate is one engine per engine family. If we reduce your testing rate,
we may limit our approval to any number of model years. In determining
whether to approve your request, we may consider the number of engines
that have failed the emission tests.
(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.
Sec. 1045.305 How must I prepare and test my production-line engines?
This section describes how to prepare and test production-line
engines. You must assemble the test engine in a way that represents the
assembly procedures for other engines in the engine family. You must
ask us to approve any deviations from your normal assembly procedures
for other production engines in the engine family.
(a) Test procedures. Test your production-line engines using the
applicable testing procedures in subpart F of this part to show you
meet the duty-cycle emission standards in subpart B of this part. The
not-to-exceed standards apply for this testing, but you need not do
additional testing to show that production-line engines meet the not-
to-exceed standards.
(b) Modifying a test engine. Once an engine is selected for testing
(see Sec. 1045.310), you may adjust, repair, prepare, or modify it or
check its emissions only if one of the following is true:
(1) You document the need for doing so in your procedures for
assembling and inspecting all your production engines and make the
action routine for all the engines in the engine family.
(2) This subpart otherwise specifically allows your action.
(3) We approve your action in advance.
(c) Engine malfunction. If an engine malfunction prevents further
emission testing, ask us to approve your decision to either repair the
engine or delete it from the test sequence.
(d) Setting adjustable parameters. Before any test, we may require
you to adjust any adjustable parameter to any setting within its
physically adjustable range.
(1) We may require you to adjust idle speed outside the physically
adjustable range as needed, but 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.
(2) We may specify adjustments within the physically adjustable
range by considering their effect on emission levels, as well as how
likely it is someone will make such an adjustment with in-use engines.
(e) Stabilizing emission levels. You may operate the engine to
stabilize the emission levels before you test production-line engines.
Using good engineering judgment, operate your engines in a way that
represents the way production engines will be used. You may operate
each engine for no more than the greater of two periods:
(1) 12 hours.
(2) The number of hours you operated your emission-data engine for
certifying the engine family (see 40 CFR part 1065, subpart E, or the
applicable regulations governing how you should prepare your test engine).
(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. 1045.345 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, 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.
[[Page 28275]]
Sec. 1045.310 How must I select engines for production-line testing?
(a) Test engines from each engine family as described in this
section based on test periods, as follows:
(1) For engine families with projected U.S.-directed production
volume of at least 1,600, the test periods are consecutive quarters (3
months). However, if your annual production period is less than 12
months long, you may take the following alternative approach to define
quarterly test periods:
(i) If your annual production period is 120 days or less, the whole
model year constitutes a single test period.
(ii) If your annual production period is 121 to 210 days, divide
the annual production period evenly into two test periods.
(iii) If your annual production period is 211 to 300 days, divide
the annual production period evenly into three test periods.
(iv) If your annual production period is 301 days or longer, divide
the annual production period evenly into four test periods.
(2) For engine families with projected U.S.-directed production
volume below 1,600, the whole model year constitutes a single test period.
(b) Early in each test period, randomly select and test an engine
from the end of the assembly line for each engine family.
(1) In the first test period for newly certified engines, randomly
select and test one more engine. Then, calculate the required sample
size for the model year as described in paragraph (c) of this section.
(2) In later test periods of the same model year, combine the new
test result with all previous testing in the model year. Then,
calculate the required sample size for the model year as described in
paragraph (c) of this section.
(3) In the first test period for engine families relying on
previously submitted test data, combine the new test result with the
last test result from the previous model year. Then, calculate the
required sample size for the model year as described in paragraph (c)
of this section. Use the last test result from the previous model year
only for this first calculation. For all subsequent calculations, use
only results from the current model year.
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC+NOX and CO. The
required sample size is the greater of these calculated values. Use the
following equation:
N = [(t95 x [sigma])/(x - STD)]2 + 1
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).
(1) Determine the 95% confidence coefficient, t95, from
the following table:
----------------------------------------------------------------------------------------------------------------
n t95 n t95 n t95
----------------------------------------------------------------------------------------------------------------
2 6.31 12 1.80 22 1.72
3 2.92 13 1.78 23 1.72
4 2.35 14 1.77 24 1.71
5 2.13 15 1.76 25 1.71
6 2.02 16 1.75 26 1.71
7 1.94 17 1.75 27 1.71
8 1.90 18 1.74 28 1.70
9 1.86 19 1.73 29 1.70
10 1.83 20 1.73 30+ 1.70
11 1.81 21 1.72 ................. .................
----------------------------------------------------------------------------------------------------------------
(2) Calculate the standard deviation, [sigma], for the test sample
using the following formula:
[sigma]
= [[Sigma](Xi - x)2/(n - 1)]1/2
Where:
Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.
(d) Use final deteriorated test results to calculate the variables
in the equations in paragraph (c) of this section (see Sec. 1045.315(a)).
(e) After each new test, recalculate the required sample size using
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
(f) Distribute the remaining engine tests evenly throughout the
rest of the year. You may need to adjust your schedule for selecting
engines if the required sample size changes. If your scheduled
quarterly testing for the remainder of the model year is sufficient to
meet the calculated sample size, you may wait until the next quarter to
do additional testing. Continue to randomly select engines from each
engine family.
(g) Continue testing until one of the following things happens:
(1) After completing the minimum number of tests required in
paragraph (b) of this section, 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 = 5.1 after the fifth test, the sample-size calculation
does not allow you to stop testing.
(2) The engine family does not comply according to Sec. 1045.315.
(3) You test 30 engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number. Do not count an engine under this paragraph (g)(4) if it fails
to meet an applicable emission standard.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for
one pollutant but not another, you must continue measuring emission
levels of all pollutants for any additional tests required under this
section. However, you need not continue making the calculations
specified in this section for the pollutant for which testing is not
required. This paragraph (h) does not affect the number of tests
required under this section or the remedial steps required under Sec.
1045.320.
(i) You may elect to test more randomly chosen engines than we
require under this section. Include these engines in the sample-size
calculations.
[[Page 28276]]
Sec. 1045.315 How do I know when my engine family fails the
production-line testing requirements?
This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family
basis. See Sec. 1045.320 for the requirements that apply to individual
engines that fail a production-line test.
(a) Calculate your test results as follows:
(1) Initial and final test results. Calculate and round the test
results for each engine. If you do several tests on an engine,
calculate the initial test results, then add them together and divide
by the number of tests and round for the final test results on that engine.
(2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec. 1045.240(c)).
(3) Round deteriorated test results. Round the results to the
number of decimal places in the emission standard expressed to one more
decimal place.
(b) Construct the following CumSum Equation for each engine family
for HC+NOX and CO emissions:
Ci = Max [0 or Ci-1 + Xi - (STD + 0.25
x [sigma])]
Where:
Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test,
the CumSum statistic is 0 (i.e. C1 = 0).
Xi = The current emission test result for an individual engine.
STD = Emission standard (or family emission limit, if applicable).
(c) Use final deteriorated test results to calculate the variables
in the equation in paragraph (b) of this section (see Sec. 1045.315(a)).
(d) After each new test, recalculate the CumSum statistic.
(e) If you test more than the required number of engines, include
the results from these additional tests in the CumSum Equation.
(f) After each test, compare the current CumSum statistic,
Ci, to the recalculated Action Limit, H, defined as H = 5.0
x [sigma].
(g) If the CumSum statistic exceeds the Action Limit in two
consecutive tests, the engine family fails the production-line testing
requirements of this subpart. Tell us within ten working days if this
happens. You may request to amend the application for certification to
raise the FEL of the entire engine family as described in Sec. 1045.225(f).
(h) If you amend the application for certification for an engine
family under Sec. 1045.225, do not change any previous calculations of
sample size or CumSum statistics for the model year.
Sec. 1045.320 What happens if one of my production-line engines fails
to meet emission standards?
(a) If you have a production-line engine with final deteriorated
test results exceeding one or more emission standards (see Sec.
1045.315(a)), the certificate of conformity is automatically suspended
for that failing engine. You must take the following actions before
your certificate of conformity can cover that engine:
(1) Correct the problem and retest the engine to show it complies
with all emission standards.
(2) Include in your written report a description of the test
results and the remedy for each engine (see Sec. 1045.345).
(b) You may request to amend the application for certification to
raise the FEL of the entire engine family at this point (see Sec.
1045.225).
Sec. 1045.325 What happens if an engine family fails the production-
line testing requirements?
(a) We may suspend your certificate of conformity for an engine
family if it fails under Sec. 1045.315. The suspension may apply to
all facilities producing engines from an engine family, even if you
find noncompliant engines only at one facility.
(b) We will tell you in writing if we suspend your certificate in
whole or in part. We will not suspend a certificate until at least 15
days after the engine family fails. The suspension is effective when
you receive our notice.
(c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec. 1045.820). If we agree
before a hearing occurs that we used erroneous information in deciding
to suspend the certificate, we will reinstate the certificate.
(d) Section 1045.335 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.
(e) You may request to amend the application for certification to
raise the FEL of the engine family before or after we suspend your
certificate if you meet the requirements of Sec. 1045.225(f). We will
approve your request if the failure is not caused by a defect and it is
clear that you used good engineering judgment in establishing the
original FEL.
Sec. 1045.330 May I sell engines from an engine family with a
suspended certificate of conformity?
You may sell engines that you produce after we suspend the engine
family's certificate of conformity under Sec. 1045.315 only if one of
the following occurs:
(a) You test each engine you produce and show it complies with
emission standards that apply.
(b) We conditionally reinstate the certificate for the engine
family. We may do so if you agree to recall all the affected engines
and remedy any noncompliance at no expense to the owner if later
testing shows that the engine family still does not comply.
Sec. 1045.335 How do I ask EPA to reinstate my suspended certificate?
(a) Send us a written report asking us to reinstate your suspended
certificate. In your report, identify the reason for noncompliance,
propose a remedy for the engine family, and commit to a date for
carrying it out. In your proposed remedy include any quality control
measures you propose to keep the problem from happening again.
(b) Give us data from production-line testing that shows the
remedied engine family complies with all the emission standards that apply.
Sec. 1045.340 When may EPA revoke my certificate under this subpart
and how may I sell these engines again?
(a) We may revoke your certificate for an engine family in the
following cases:
(1) You do not meet the reporting requirements.
(2) Your engine family fails to comply with the requirements of
this subpart and your proposed remedy to address a suspended
certificate under Sec. 1045.325 is inadequate to solve the problem or
requires you to change the engine's design or emission control system.
(b) To sell engines from an engine family with a revoked
certificate of conformity, you must modify the engine family and then
show it complies with the requirements of this part.
(1) If we determine your proposed design change may not control
emissions for the engine's full useful life, we will tell you within
five working days after receiving your report. In this case we will
decide whether production-line testing will be enough for us to
evaluate the change or whether you need to do more testing.
(2) Unless we require more testing, you may show compliance by
testing production-line engines as described in this subpart.
[[Page 28277]]
(3) We will issue a new or updated certificate of conformity when
you have met these requirements.
Sec. 1045.345 What production-line testing records must I send to EPA?
Do all the following things unless we ask you to send us less
information:
(a) Within 30 calendar days of the end of each test period, send us
a report with the following information:
(1) Describe any facility used to test production-line engines and
state its location.
(2) State the total U.S.-directed production volume and number of
tests for each engine family.
(3) Describe how you randomly selected engines.
(4) Describe each test engine, including the engine family's
identification and the engine's model year, build date, model number,
identification number, and number of hours of operation before testing.
(5) Identify how you accumulated hours of operation on the engines
and describe the procedure and schedule you used.
(6) Provide the test number; the date, time and duration of
testing; test procedure; initial test results before and after
rounding; final test results; and final deteriorated test results for
all tests. Provide the emission results for all measured pollutants.
Include information for both valid and invalid tests and the reason for
any invalidation.
(7) Describe completely and justify any nonroutine adjustment,
modification, repair, preparation, maintenance, or test for the test
engine if you did not report it separately under this subpart. Include
the results of any emission measurements, regardless of the procedure
or type of engine.
(8) Provide the CumSum analysis required in Sec. 1045.315 and the
sample-size calculation required in Sec. 1045.310 for each engine family.
(9) Report on each failed engine as described in Sec. 1045.320.
(10) State the date the test period ended for each engine family.
(b) We may ask you to add information to your written report so we
can determine whether your new engines conform with the requirements of
this subpart.
(c) An authorized representative of your company must sign the
following statement:
We submit this report under sections 208 and 213 of the Clean Air
Act. Our production-line testing conformed completely with the
requirements of 40 CFR part 1045. We have not changed production
processes or quality-control procedures for test engines in a way that
might affect emission controls. All the information in this report is
true and accurate to the best of my knowledge. I know of the penalties
for violating the Clean Air Act and the regulations. (Authorized
Company Representative)
(d) Send electronic reports of production-line testing to the
Designated Compliance Officer using an approved information format. If
you want to use a different format, send us a written request with
justification for a waiver.
(e) We will send copies of your reports to anyone from the public
who asks for them. Section 1045.815 describes how we treat information
you consider confidential.
Sec. 1045.350 What records must I keep?
(a) Organize and maintain your records as described in this
section. We may review your records at any time.
(b) Keep paper records of your production-line testing for eight
years after you complete all the testing required for an engine family
in a model year. You may use any additional storage formats or media if
you like.
(c) Keep a copy of the written reports described in Sec. 1045.345.
(d) Keep the following additional records:
(1) A description of all test equipment for each test cell that you
can use to test production-line engines.
(2) The names of supervisors involved in each test.
(3) The name of anyone who authorizes adjusting, repairing,
preparing, or modifying a test engine and the names of all supervisors
who oversee this work.
(4) If you shipped the engine for testing, the date you shipped it,
the associated storage or port facility, and the date the engine
arrived at the testing facility.
(5) Any records related to your production-line tests that are not
in the written report.
(6) A brief description of any significant events during testing
not otherwise described in the written report or in this section.
(7) Any information specified in Sec. 1045.345 that you do not
include in your written reports.
(e) If we ask, you must give us a more detailed description of
projected or actual production figures for an engine family. We may ask
you to divide your production figures by maximum engine power,
displacement, fuel type, or assembly plant (if you produce engines at
more than one plant).
(f) Keep a list of engine identification numbers for all the
engines you produce under each certificate of conformity. Give us this
list within 30 days if we ask for it.
(g) We may ask you to keep or send other information necessary to
implement this subpart.
Subpart E--In-use Testing
Sec. 1045.401 What testing requirements apply to my engines that have
gone into service?
(a) We may perform in-use testing of any engine subject to the
standards of this part. If you produce outboard or personal watercraft
engines that are subject to the requirements of this part, you must
test them as described in this subpart. The testing requirements
described in this subpart do not apply to sterndrive/inboard engines.
This generally involves testing engines in the field or removing them
for measurement in a laboratory.
(b) We may approve an alternate plan for showing that in-use
engines comply with the requirements of this part if one of the
following is true:
(1) You produce 200 or fewer engines per year in the selected
engine family.
(2) You identify a unique aspect of your engine applications that
keeps you from doing the required in-use testing.
(c) We may void your certificate of conformity for an engine family
if you do not meet your obligations under this part.
(d) Independent of your responsibility to test in-use engines, we
may choose at any time to do our own testing of your in-use engines.
(e) If in-use testing shows that engines fail to meet emission
standards or other requirements of this part, we may pursue a recall or
other remedy as allowed by the Act (see Sec. 1045.415).
Sec. 1045.405 How does this program work?
(a) You must test in-use engines for exhaust emissions from the
families we select. We may select up to 25 percent of your engine
families in any model year or one engine family if you have three or
fewer families. When we select an engine family for testing, we may
specify that you preferentially test engines based on the type of
vessel. In addition, we may identify specific modes of operation or
sampling times. You may choose to test additional engine families that
we do not select.
(b) The provisions of this paragraph (b) describe how test families
are selected, depending on when we receive the application for
certification.
(1) If we receive the application by December 31 of a given
calendar year for the following model year (for example, by December
31, 2009 for model year
[[Page 28278]]
2010), we would expect to select engine families for testing by
February 28 of the model year. If we have not completed the selection
of engine families by February 28, you may select your own engine
families for in-use testing. In this case, you must make your
selections and notify us which engine families you have selected by
March 31. You should consider the following factors in selecting engine
families, in priority order:
(i) Select an engine family that has not recently been tested in an
in-use testing regimen (and passed) under the provisions of this
subpart. This should generally involve engine families that have not
been selected in the previous two model years. If design changes have
required new testing for certification, we would consider that this
engine family has not been selected for in-use testing.
(ii) Select an engine family if we have approved an alternative
approach to establishing a deterioration factor under Sec.
1045.245(b)(7).
(iii) Select the engine family with the highest projected U.S.-
directed production volume.
(2) If we receive an application for a given model year after
December 31 of the previous calendar year, you must conduct in-use
testing with that engine family without regard to the limitations
specified in paragraph (a) of this section, unless we waive this
requirement. We will generally waive testing under this paragraph
(b)(2) only for small-volume engine manufacturers or in the case where
similar testing was recently completed for a related engine family.
(c) Send us an in-use testing plan for engine families selected for
testing. Complete the testing within 24 calendar months after we
approve your plan. Send us the in-use testing plan according to the
following deadlines:
(1) Within 12 calendar months after we direct you to test a
particular engine family.
(2) By February 28 of the following year if you select engine
families for testing under paragraph (b)(1) of this section.
(3) Within 12 calendar months after we approve certification for
engine families subject to the requirements of paragraph (b)(2) of this
section.
(d) You may need to test engines from more than one model year at a
given time.
Sec. 1045.410 How must I select, prepare, and test my in-use engines?
(a) You may make arrangements to select representative test engines
from your own fleet or from other independent sources.
(b) For the selected engine families, select engines that you or
your customers have--
(1) Operated for at least 50 percent of the engine family's useful
life (see Sec. 1045.103(e));
(2) Not maintained or used in an abnormal way; and
(3) Documented in terms of total hours of operation, maintenance,
operating conditions, and storage.
(c) Use the following methods to determine the number of engines
you must test in each engine family:
(1) Test at least two engines if you produce 2,000 or fewer engines
in the model year from all engine families, or if you produce 500 or
fewer engines from the selected engine family. Otherwise, test at least
four engines.
(2) If you successfully complete an in-use test program on an
engine family and later certify an equivalent engine family with
carryover emission data, as described in Sec. 1045.235(d)(1), then
test at least one engine instead of the testing rates in paragraph
(c)(1) of this section.
(3) If you test the minimum required number of engines and all
comply fully with emission standards, you may stop testing.
(4) For each engine that fails any applicable standard, test two
more. Regardless of measured emission levels, you do not have to test
more than ten engines in an engine family. You may do more tests than
we require.
(5) You may concede that the engine family does not comply before
testing a total of ten engines.
(d) You may do minimal maintenance to set components of a test
engine to specifications for anything we do not consider an adjustable
parameter (see Sec. 1045.205(r)). Limit maintenance to what is in the
owner's instructions for engines with that amount of service and age.
Document all maintenance and adjustments.
(e) You may do repeat measurements with a test engine; however, you
must conduct the same number of tests on each engine.
(f) For a test program on an engine family, choose one of the
following methods to test your engines:
(1) Remove the selected engines for testing in a laboratory. Use
the applicable steady-state and transient procedures in subpart F of
this part to show compliance with the duty-cycle standards in Sec.
1045.103(a) or Sec. 1045.105(a). We may direct you to measure
emissions on the dynamometer using the test procedures in Sec.
1045.515 to show compliance with the not-to-exceed standards in Sec.
1045.103(c) or Sec. 1045.105(c).
(2) Test the selected engines while they remain installed in the
vessel. Use the procedures in Sec. 1045.515. Measure emissions during
normal operation of the vessel to show compliance with the not-to-
exceed standards in Sec. 1045.103(c) or Sec. 1045.105(c). We may
direct you to include specific areas of normal operation.
(g) You may ask us to waive parts of the prescribed test procedures
if they are not necessary to determine in-use compliance.
(h) Calculate the average emission levels for an engine family from
the results for the set of tested engines. Round them to the number of
decimal places in the emission standards expressed to one more decimal
place.
Sec. 1045.415 What happens if in-use engines do not meet requirements?
(a) Determine the reason each in-use engine exceeds the emission
standards.
(b) If the average emission levels calculated in Sec. 1045.410(h)
exceed any of the emission standards that apply, notify us within
fifteen days of completing testing on this family. Otherwise follow the
reporting instructions in Sec. 1045.420.
(c) We will consider failure rates, average emission levels, and
any defects--among other things--to decide on taking remedial action
under this subpart (see 40 CFR 1068.505). We may consider the results
from any voluntary additional testing you perform. We may also consider
information related to testing from other engine families showing that
you designed them to exceed the minimum requirements for controlling
emissions. We may order a recall before or after you complete testing
of an engine family if we determine a substantial number of engines do
not conform to section 213 of the Act or to this part. The scope of the
recall may include other engine families in the same or different model
years if the cause of the problem identified in paragraph (a) of this
section applies more broadly than the tested engine family, as allowed
by the Act.
(d) If in-use testing reveals a design or manufacturing defect that
prevents engines from meeting the requirements of this part, you must
correct the defect as soon as possible for any future production for
engines in every family affected by the defect. See 40 CFR 1068.501 for
additional requirements related to defect reporting.
(e) You may voluntarily recall an engine family for emission
failures, as described in 40 CFR 1068.535, unless
[[Page 28279]]
we have ordered a recall for that family under 40 CFR 1068.505.
(f) You have the right to a hearing before we order you to recall
your engines or implement an alternative remedy (see Sec. 1045.820).
Sec. 1045.420 What in-use testing information must I report to EPA?
(a) In a report to us within three months after you finish testing
an engine family, do all the following:
(1) Identify the engine family, model, serial number, and date of
manufacture.
(2) [Reserved]
(3) Describe the specific reasons for disqualifying any engines for
not being properly maintained or used.
(4) For each engine selected for testing, include the following
information:
(i) Estimate the hours each engine was used before testing.
(ii) Describe all maintenance, adjustments, modifications, and
repairs to each test engine.
(5) State the date and time of each test attempt.
(6) Include the results of all emission testing, including
incomplete or invalidated tests, if any.
(b) Send electronic reports of in-use testing to the Designated
Compliance Officer using an approved information format. If you want to
use a different format, send us a written request with justification
for a waiver.
(c) We will send copies of your reports to anyone from the public
who asks for them. See Sec. 1045.815 for information on how we treat
information you consider confidential.
(d) We may ask for more information.
Sec. 1045.425 What records must I keep?
(a) Organize and maintain your records as described in this
section. We may review your records at any time, so it is important to
keep required information readily available.
(b) Keep paper records of your in-use testing for one full year
after you complete all the testing required for an engine family in a
model year. You may use any additional storage formats or media if you
like.
(c) Keep a copy of the written reports described in Sec. 1045.420.
(d) Keep any additional records related to the procurement process.
Subpart F--Test Procedures
Sec. 1045.501 How do I run a valid emission test?
(a) Applicability. 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.
(b) General requirements. 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. Sec. 1045.103 and
1045.105. Measure the emissions of all regulated pollutants as
specified in 40 CFR part 1065. Use the applicable duty cycles specified
in Sec. 1045.505. Section 1045.515 describes the supplemental
procedures for evaluating whether engines meet the not-to-exceed
emission standards in Sec. Sec. 1045.103(c) and 1045.105(c).
(c) Fuels. Use the fuels and lubricants specified in 40 CFR part
1065, subpart H, for all the testing we require in this part, except as
specified in Sec. 1045.515. 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) Laboratory conditions. Ambient conditions for duty-cycle
testing must be within the ranges specified in 40 CFR 1065.520, except
that atmospheric pressure must be between 94.0 and 103.325 kPa.
Humidity levels must represent actual in-use humidity levels. Emissions
may not be corrected for the effects of test temperature, pressure, or
humidity.
(e) Special and alternate procedures. If you are unable to run the
test cycle specified in this part for your engine (such as with
constant-speed engines), use an alternate test cycle that will result
in a cycle-weighted emission measurement equivalent to the expected
average in-use emissions. This cycle must be approved under 40 CFR
1065.10. You may use other special or alternate procedures to the
extent we allow them under 40 CFR 1065.10.
(f) Laboratory testing with portable analyzers. You may use
portable emission measurement systems for any laboratory testing with
high-performance engines, as specified in 40 CFR 1065.901(b), without
requesting approval.
Sec. 1045.505 How do I test engines using discrete-mode or ramped-
modal duty cycles?
(a) This section describes how to test engines under steady-state
conditions. We allow you to perform tests with either discrete-mode or
ramped-modal sampling. You must use the modal testing method for
certification and all other testing you perform for an engine family.
If we test your engines to confirm that they meet emission standards,
we will use the modal testing method you select for your own testing.
We may also perform other testing as allowed by the Clean Air Act.
Conduct duty-cycle testing as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle
using the weighting factors specified for each mode. In each mode,
operate the engine for at least 5 minutes, then sample emissions for at
least 1 minute. Calculate cycle statistics for each mode and compare
with the specified values in 40 CFR 1065.514 to confirm that the test
is valid.
(2) For ramped-modal testing, start sampling at the beginning of
the first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient
testing as specified in 40 CFR part 1065, subpart G.
(b) Measure emissions by testing the engine on a dynamometer to
determine whether it meets the emission standards in Sec. 1045.101(a).
Use the 5-mode duty cycle or the corresponding ramped-modal cycle
described in Appendix I of this part.
(c) During idle mode, operate the engine with the following parameters:
(1) Hold the speed within your specifications.
(2) Set the engine to operate at its minimum fueling rate.
(3) Keep engine torque under 5 percent of maximum torque at maximum
test speed.
(d) For full-load operating modes, operate the engine at wide-open
throttle.
(e) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.
Sec. 1045.515 What are the test procedures related to not-to-exceed
standards?
(a) This section describes the procedures to determine whether your
engines meet the not-to-exceed emission standards in Sec. Sec.
1045.103(c) and 1045.105(c). These procedures may include any normal
engine operation and ambient conditions that the engines may experience
in use. Paragraphs (b) and (c) of this section define the limits of
what we will consider normal engine operation and ambient conditions.
Use the test procedures we specify in Sec. 1045.501, except for the
provisions we specify in this section. Measure emissions with one of
the following procedures:
(1) For laboratory testing of installed engines, remove the
selected engines from the vessel. You may use an engine dynamometer to
simulate normal operation, as described in this section.
(2) For laboratory testing of outboard engines, you may use an
engine dynamometer to simulate normal operation, as described in this
section, or you may test it using the procedures
[[Page 28280]]
specified in paragraph (3) of this paragraph (a).
(3) Test selected sterndrive/inboard engines and personal
watercraft engines while they remain installed in the vessel. Test
selected outboard engines in their in-use configuration while mounted
appropriately on a vessel. 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.
(b) Engine testing may occur under a range of ambient conditions as
follows:
(1) Engine testing may occur under the following ranges of ambient
conditions without correcting measured emission levels:
(i) Barometric pressure must be between 94.0 and 103.325 kPa.
(ii) Ambient air temperature must be between 13 and 35 [deg]C.
(iii) Ambient water temperature must be between 5 and 27 [deg]C.
(iv) Any ambient humidity level.
(2) Engine testing may occur outside the conditions described in
paragraph (b)(1) of this section, as long as measured values are
corrected to be equivalent to the nearest end of the specified range
using good engineering practice.
(c) An engine's emissions may not exceed the NTE standards in Sec.
1045.103(c) or Sec. 1045.105(c) for any continuous sampling period of
at least 30 seconds under the following ranges of engine operation:
(1) Engine operation during the emission sampling period may
include any nominally steady-state combination of speeds and loads
within the applicable zone defined by segments on an engine's power vs.
speed map specified in paragraph (c)(2) of this section, except as
follows:
(i) You may request that we specify a narrower zone, as long as the
modified zone includes all points where your engines are expected to
normally operate in use, but not including any points at which engine
speed is below 40 percent of maximum test speed or engine load is below
25.3 percent of maximum torque at maximum test speed.
(ii) You must notify us if you design your engines for normal in-
use operation outside the specified zone. If we learn that normal in-
use operation for your engines includes other speeds and loads, we may
specify a broader zone, as long as the modified zone is limited to
normal in-use operation for speeds greater than 40 percent of maximum
test speed and loads greater than 25.3 percent of maximum torque at
maximum test speed.
(2) The NTE zone for testing engines under this section is defined
by the following segments on an engine's torque vs. speed map, as
illustrated in Figure 1 of this section:
(i) Speed at or above 40 percent of maximum test speed.
(ii) Speeds and torques below the line defined by the following
equation:
Normalized torque = 1.5 x normalized speed - 0.16
(iii) Speeds and torques at or below the engine's mapped torque values.
(iv) Speeds at or below 100 percent of maximum test speed.
(v) Speeds and torques above the line defined by the following equation:
Normalized torque = (normalized speed)\1.5\ - 0.08
(vi) Torques at or above 25.3 percent of maximum torque at maximum
test speed.
(3) The NTE zone described in paragraph (c)(2) of this section is
divided into the following subzones for determining the applicable NTE
standards, as illustrated in Figure 1 of this section:
(i) Subzone 1 includes all operation in the NTE zone characterized
by speeds above 90 percent of maximum test speed or loads above 100
percent of maximum torque at maximum test speed.
(ii) Subzone 2 includes all operation in the NTE zone characterized
by speeds above 70 percent of maximum test speed or loads above 80
percent of maximum torque at maximum test speed, but excluding Subzone 1.
(iii) Subzone 3 includes all operation in the NTE zone
characterized by speeds above 50 percent of maximum test speed, but
excluding Subzones 1 and 2.
(iv) Subzone 4 includes all operation in the NTE zone excluding
Subzones 1, 2, and 3.
(4) The sampling period may not begin until the engine has reached
stable operating temperatures. For example, this would exclude engine
operation after starting until the thermostat starts modulating coolant
temperature. The sampling period may also not include engine starting.
Figure 1 to Sec. 1045.515--NTE Zone and Subzones
[[Page 28281]]
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Sec. 1045.520 What testing must I perform to establish deterioration
factors?
Sections 1045.240 and 1045.245 describe the required methods for
testing to establish deterioration factors for an engine family.
Subpart G--Special Compliance Provisions
Sec. 1045.601 What compliance provisions apply to these engines?
Engine and vessel 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.
Sec. 1045.605 What provisions apply to engines already certified
under the motor-vehicle program or other nonroad spark-ignition engine
programs?
(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce new propulsion marine engines into U.S.
commerce if they are already certified to the requirements that apply
to spark-ignition engines under 40 CFR parts 85 and 86 or part 1048 for
the appropriate model year. For outboard or personal watercraft
engines, you may also introduce the engines into U.S. commerce if they
are already certified to the requirements that apply to engines under
40 CFR part 1054 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, 1048, or 1054 for each engine to also be a valid
certificate of conformity under this part 1045 for its model year,
without a separate application for certification under the requirements
of this part 1045.
(b) Vessel-manufacturer provisions. If you are not an engine
manufacturer, you may produce vessels using motor-vehicle engines or
nonroad spark-ignition engines under this section as long as you meet
all the requirements and conditions specified in paragraph (d) of this
section. If you modify the engine in any of the ways described in
paragraph (d)(2) of this section, we will consider you a manufacturer
of a new propulsion marine engine. Such engine modifications prevent
you from using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted
under this section must meet all the applicable requirements from 40
CFR parts 85 and 86, or part 1048, or part 1054. This applies to engine
manufacturers, vessel manufacturers who use these engines, and all
other persons as if these engines were used in applications other than
for installation as propulsion marine engines. The prohibited acts of
40 CFR 1068.101(a)(1) apply to these new engines and vessels; however,
we consider the certificate issued under 40 CFR part 86, 1048, or 1054
for each engine to also be a valid certificate of conformity under this
part 1045 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 1068.
(d) Specific requirements. If you are an engine or vessel
manufacturer and meet all the following criteria and
[[Page 28282]]
requirements regarding your new propulsion marine 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, 1048, or 1054.
(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 marine engine cooling system so that
temperatures or heat rejection rates are outside the original engine
manufacturer's specified ranges.
(3) You must show that less than 5 percent of the engine family's
total sales in the United States are used in marine applications. This
includes engines used in any application without regard to which
company manufactures the vessel or equipment. Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(4) You must ensure that the engine has the label we require under
40 CFR part 86, 1048, or 1054.
(5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
vessel. In the supplemental label, do the following:
(i) Include the heading: ``MARINE 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 MARINE USE WITHOUT
AFFECTING ITS EMISSION CONTROLS.''.
(iv) If the modified engine is certified as a motor-vehicle engine,
also state: ``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.''.
(v) 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 vessel or, if the vessel obscures
the engine's emission control information label, the vessel manufacturer
must attach duplicate labels, as described in 40 CFR 1068.105.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone number.
(ii) List the engine or vessel models you expect to produce under
this exemption in the coming year and describe your basis for meeting
the sales restrictions of paragraph (d)(3) of this section.
(iii) State: ``We produce each listed [engine or vessel]
model
without making any changes that could increase its certified emission
levels, as described in 40 CFR 1045.605.''.
(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 1045 and the
certificate issued under 40 CFR part 86, 1048, or 1054 will not be
deemed to also be a certificate issued under this part 1045.
Introducing these engines into U.S. 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 one of the duty cycles specified in subpart F of this part.
(g) Participation in averaging, banking and trading. Engines
adapted for marine use under this section may not generate or use
emission credits under this part 1045. These engines may generate
credits under the ABT provisions in 40 CFR part 86 or 1054. These
engines must use emission credits under 40 CFR part 86 or 1054 if they
are certified to an FEL that exceeds a standard that applies under 40
CFR part 86 or 1054.
Sec. 1045.620 What are the provisions for exempting engines used
solely for competition?
The provisions of this section apply for new engines and vessels
built on or after January 1, 2009.
(a) We may grant you an exemption from the standards and
requirements of this part for a new engine on the grounds that it is to
be used solely for competition. The requirements of this part, other
than those in this section, do not apply to engines that we exempt for
use solely for competition.
(b) We will exempt engines that we determine will be used solely
for competition. The basis of our determination is described in
paragraphs (c) and (d) of this section. Exemptions granted under this
section are good for only one model year and you must request renewal
for each subsequent model year. We will not approve your renewal
request if we determine the engine will not be used solely for competition.
(c) Engines meeting all the following criteria are considered to be
used solely for competition:
(1) Neither the engine nor any vessels containing the engine may be
displayed for sale in any public dealership or otherwise offered for
sale to the general public.
(2) Sale of the vessel in which the engine is installed must be
limited to professional racing teams, professional racers, or other
qualified racers.
(3) The engine and the vessel in which it is installed must have
performance characteristics that are substantially superior to
noncompetitive models.
(4) The engines are intended for use only as specified in paragraph
(e) of this section.
(d) You may ask us to approve an exemption for engines not meeting
the criteria listed in paragraph (c) of this section as long as you
have clear and convincing evidence that the engines will be used solely
for competition.
(e) Engines are considered to be used solely for competition only
if their use is limited to competition events sanctioned by the U.S.
Coast Guard or another public organization with authorizing permits for
participating competitors. Operation of such engines may include only
racing events or trials to qualify for racing events. Authorized
attempts to set speed records (and the associated official trials) are
also considered racing events. Engines will not be considered to be
used solely for competition if they are ever used for any recreational
or other noncompetitive purpose. Use of exempt engines in any
recreational events, such as poker runs
[[Page 28283]]
and lobsterboat races, is a violation of 40 CFR 1068.101(b)(4).
(f) You must permanently label engines exempted under this section
to clearly indicate that they are to be used only for competition.
Failure to properly label an engine will void the exemption for that
engine.
(g) If we request it, you must provide us any information we need
to determine whether the engines are used solely for competition. This
would include documentation regarding the number of engines and the
ultimate purchaser of each engine as well as any documentation showing
a vessel manufacturer's request for an exempted engine. Keep these
records for five years.
Sec. 1045.630 What is the personal-use exemption.
This section applies to individuals who manufacture recreational
vessels for personal use. If you and your vessel meet all the
conditions of this section, the vessel and its engine are considered to
be exempt from the standards and requirements of this part that apply
to new engines, including standards and requirements related to
evaporative emissions. For example, you are not required to use
certified fuel system components or otherwise obtain certificates of
conformity showing that the vessel meets evaporative emission
standards, and you do not need to install a certified engine.
(a) The vessel may not be manufactured from a previously certified
vessel, nor may it be manufactured from a partially complete vessel
that is equivalent to a certified vessel. The vessel must be
manufactured primarily from unassembled components, but may incorporate
some preassembled components. For example, fully preassembled steering
assemblies may be used. You may also power the vessel with an engine
that was previously used in a highway or land-based nonroad application.
(b) The vessel may not be sold within five years after the date of
final assembly.
(c) No individual may manufacture more than one vessel in any ten-
year period under this exemption.
(d) You may not use the vessel in any revenue-generating service or
for any other commercial purpose. For example, this exemption does not
apply for vessels used in commercial fishing or charter service.
(e) This exemption may not be used to circumvent the requirements
of this part or the requirements of the Clean Air Act. For example,
this exemption would not cover a case in which a person sells an almost
completely assembled vessel to another person, who would then complete
the assembly. This would be considered equivalent to the sale of the
complete new vessel. This section also does not allow engine
manufacturers to produce new engines that are exempt from emission
standards and it does not provide an exemption from the prohibition
against tampering with certified engines.
Sec. 1045.635 What special provisions apply for small-volume engine
manufacturers?
This section describes how we apply the special provisions in this
part for small-volume engine manufacturers.
(a) If you qualify under paragraph (1) of the definition of small-
volume engine manufacturer in Sec. 1045.801, the small-volume engine
manufacturer provisions apply as specified in this part.
(b) If you are a small business (as defined by the Small Business
Administration at 13 CFR 121.201) that manufactures marine spark-
ignition engines, but you do not qualify under paragraph (1) of the
definition of small-volume engine manufacturer in Sec. 1045.801, you
may ask us to designate you to be a small-volume engine manufacturer.
You may do this whether you began manufacturing engines before, during,
or after 2007. We may set other reasonable conditions that are
consistent with the intent of this section and the Act. For example, we
may refuse to designate a company making outboard engines as a small
business if annual worldwide production of outboard engines exceeded
5,000 units in any calendar year.
(c) If you use any of the provisions of this part that apply
specifically to small-volume engine manufacturers and we find that you
exceed the production limits or otherwise do not qualify as a small-
volume engine manufacturer, we may consider you to be in violation of
the requirements that apply for companies that are not small-volume
engine manufacturers for those engines produced in excess of the
specified production limits.
Sec. 1045.640 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. 1045.135(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.
1045.120. 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.
Sec. 1045.645 What special provisions apply for converting an engine
to use an alternate fuel?
(a) Converting a certified new engine to run on a different fuel
violates 40 CFR 1068.101(a)(1) if the modified engine is not covered by
a certificate of conformity.
(b) Converting a certified engine that is not new to run on a
different fuel violates 40 CFR 1068.101(b)(1) if the modified engine is
not covered by a certificate of conformity. We may specify alternate
certification provisions consistent with the requirements of this part.
Sec. 1045.650 Do the provisions of 40 CFR 1068.260 apply for marine
engines?
The provisions of 40 CFR 1068.260 related to delegated final
assembly do not apply for marine spark-ignition engines certified under
this part 1045. This means that for engines requiring exhaust
aftertreatment (such as catalysts), the engine manufacturers must
either install the aftertreatment on the engine before introducing it
into U.S. commerce or ship the aftertreatment along with the engine.
Sec. 1045.660 How do I certify outboard or personal watercraft
engines for use in jet boats?
(a) This section describes how to certify outboard or personal
watercraft engines for use in jet boats. To be certified under this
section, the jet boat engines must be identical in all physical
respects to the corresponding outboard or personal watercraft engines,
but may differ slightly with respect to engine calibrations.
(b) The outboard or personal watercraft engines must meet all the
applicable requirements for outboard or personal watercraft engines and
must be labeled accordingly. Jet boat engines certified under this
section must meet all the applicable requirements for jet boat engines.
(c) The jet boat engines must be in an engine family separate from
the outboard or personal watercraft engines.
[[Page 28284]]
(d) Jet boat engine families may use emission credits from outboard
or personal watercraft engine families, as described in Sec. 1045.701(d).
Subpart H--Averaging, Banking, and Trading for Certification
Sec. 1045.701 General provisions.
(a) You may average, bank, and trade (ABT) emission credits for
purposes of certification as described in this subpart to show
compliance with the standards of this part. Participation in this
program is voluntary.
(b) 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) Averaging set means a set of engines in which emission credits
may be exchanged only with other engines in the same averaging set.
(3) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
(4) Buyer means the entity that receives emission credits as a
result of a trade.
(5) Family means engine family for exhaust credits or emission
family for evaporative credits.
(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) Standard means the emission standard that applies under subpart
B of this part for engines or fuel-system components not participating
in the ABT program of this subpart.
(9) Trade means to exchange emission credits, either as a buyer or
seller.
(c) You may not average or exchange banked or traded exhaust
credits with evaporative credits, or vice versa. Evaporative credits
generated by any vessels under this part may be used by any vessels
under this part. Exhaust credits may be exchanged only within an
averaging set. Except as specified in paragraph (d) of this section,
the following criteria define the applicable averaging sets:
(1) Sterndrive/inboard engines.
(2) Outboard and personal watercraft engines.
(d) Sterndrive/inboard engines certified under Sec. 1045.660 for
jet boats may use HC+NOX exhaust credits generated from
outboard and personal watercraft engines, as long as the credit-using
engine is the same model as an engine model from an outboard or
personal watercraft family. The HC+NOX FEL cap for such jet
boat families is the HC+NOX standard for outboard and
personal watercraft engines. U.S.-directed sales from a jet boat family
using the provisions of this paragraph (d) may not be greater than the
U.S.-directed sales of the same engine model for outboard or personal
watercraft engines in any model year.
(e) You may not generate evaporative credits based on permeation
measurements from metal fuel tanks or portable marine fuel tanks.
(f) 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 exhaust emissions from an engine exceed an exhaust FEL or
standard (for example, during a selective enforcement audit), you may
use emission credits to recertify the family with a higher FEL that
applies only to future production.
(g) Families that use emission credits for one or more pollutants
may not generate positive emission credits for another pollutant.
(h) Emission credits may be used in the model year they are
generated (averaging) and in future model years (banking), except that
CO emission credits for outboard and personal watercraft engines may
not be banked.
(i) You may increase or decrease an exhaust FEL during the model
year by amending your application for certification under Sec. 1045.225.
Sec. 1045.705 How do I generate and calculate exhaust emission credits?
The provisions of this section apply for calculating exhaust
emission credits for HC+NOX or CO. You may generate exhaust
emission credits only if you are a certifying engine manufacturer.
(a) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission
standard. Calculate positive emission credits for a family that has an
FEL below the standard. Calculate negative emission credits for a
family that has an FEL above the standard. Sum your positive and
negative credits for the model year before rounding. Round calculated
emission credits to the nearest kilogram (kg), using consistent units
throughout the following equation:
Emission credits (kg) = (Std--FEL) x (Volume) x (Power) x (LIFE) x (LF)
x (10-3)
Where:
Std = the emission standard, in g/kW-hr.
FEL = the family emission limit for the family, in g/kW-hr.
Volume = the number of engines eligible to participate in the
averaging, banking, and trading program within the given family
during the model year, as described in paragraph (c) of this section.
Power = the average value of maximum engine power of all the engine
configurations within a family, calculated on a production-weighted
basis, in kilowatts.
LIFE = the estimated engine lifetime for calculating emission
credits, in hours. Use 480 hours for high-performance engines with
maximum engine power at or below 485 kW. Use 250 hours for high-
performance engines with maximum engine power above 485 kW. For
other engines use the useful life for the given family.
LF = load factor. Use 0.207. We may specify a different load factor
if we approve the use of special test procedures for an engine family
under 40 CFR 1065.10(c)(2), consistent with good engineering judgment.
(b) [Reserved]
(c) In your application for certification, base your showing of
compliance on projected production volumes for engines whose point of
first retail sale is in the United States. As described in Sec.
1045.730, compliance with the requirements of this subpart is
determined at the end of the model year based on actual production
volumes for engines whose point of first retail sale is in the United
States. Do not include any of the following engines to calculate
emission credits:
(1) Engines exempted under subpart G of this part or under 40 CFR
part 1068.
(2) Engines intended for export, unless there is reason to believe
that the engines will be later imported into the United States after
installation in equipment.
(3) Engines that are subject to state emission standards for that
model year. However, this restriction does not apply if we determine
that the state standards and requirements are equivalent to those of
this part and that engines sold in such a state will not generate
credits under the state program. For example, you may not include
engines certified for California if it has more stringent emission
standards for these engines or those engines generate or use emission
credits under the California program.
(4) Engines not subject to the requirements of this part, such as
those excluded under Sec. 1045.5.
(5) Any other engines, where we indicate elsewhere in this part
1045 that they are not to be included in the calculations of this subpart.
[[Page 28285]]
Sec. 1045.706 How do I generate and calculate evaporative emission
credits?
The provisions of this section apply for calculating evaporative
emission credits. This applies only for fuel tank permeation. You may
generate credits only if you are a certifying vessel manufacturer.
(a) For each participating vessel, calculate positive or negative
emission credits relative to the otherwise applicable emission
standard. Calculate positive emission credits for a family that has an
FEL below the standard. Calculate negative emission credits for a
family that has an FEL above the standard. Sum your positive and
negative credits for the model year before rounding. Round calculated
emission credits to the nearest kilogram (kg), using consistent units
throughout the following equation:
Emission credits (kg) = (Std-FEL) x (Total Area) x (UL) x (AF) x (365)
x (10-3)
Where:
Std = the emission standard, in g/m2/day.
FEL = the family emission limit for the family, in g/m2/
day, as described in paragraph (b) of this section.
Total Area = The combined internal surface area of all fuel tanks in
the family, in m2.
UL = the useful life for the given family, in years.
AF = adjustment factor. Use 1.0 for fuel tank testing performed at
28 [deg]C and 0.60 for testing performed at 40 [deg]C.
(b) Determine the FEL for calculating credits under paragraph (a)
of this section using any of the following values:
(1) The FEL to which the fuel tank is certified, as long as the FEL
is at or below 3.0 g/m2/day.
(2) 10.4 g/m2/day. However, if you use this value to
establish the FEL for any of your fuel tanks, you must use this value
to establish the FEL for every tank not covered by paragraph (b)(1) of
this section.
(3) The measured permeation rate of the fuel tank or the measured
permeation rate of a thinner-walled tank of the same material. However,
if you use this approach to establish the FEL for any of your fuel
tanks, you must establish an FEL based on emission measurements for
every tank not covered by paragraph (b)(1) of this section.
(c) In your application for certification, base your showing of
compliance on projected production volumes for vessels whose point of
first retail sale is in the United States. As described in Sec.
1045.730, compliance with the requirements of this subpart is
determined at the end of the model year based on actual production
volumes for vessels whose point of first retail sale is in the United
States. Do not include any of the following vessels to calculate
emission credits:
(1) Vessels exempted under subpart G of this part or under 40 CFR
part 1068.
(2) Vessels intended for export.
(3) Vessels that are subject to state emission standards for that
model year. However, this restriction does not apply if we determine
that the state standards and requirements are equivalent to those of
this part and that vessels sold in such a state will not generate
credits under the state program. For example, you may not include
vessels certified for California if it has more stringent emission
standards for these vessels or that vessels generate or use emission
credits under the California program.
(4) Vessels not subject to the requirements of this part, such as
those excluded under Sec. 1045.5.
(5) Any other vessels, where we indicate elsewhere in this part
1045 that they are not to be included in the calculations of this subpart.
Sec. 1045.710 How do I average emission credits?
(a) Averaging is the exchange of emission credits among your
families. You may average emission credits only within the same
averaging set.
(b) You may certify one or more families to an FEL above the
emission standard, subject to the FEL caps and other provisions in
subpart B of this part, if you show in your application for
certification that your projected balance of all emission-credit
transactions in that model year is greater than or equal to zero.
(c) If you certify a family to an FEL that exceeds the otherwise
applicable standard, you must obtain enough emission credits to offset
the family's deficit by the due date for the final report required in
Sec. 1045.730. The emission credits used to address the deficit may
come from your other families that generate emission credits in the
same model year, from emission credits you have banked, or from
emission credits you obtain through trading.
Sec. 1045.715 How do I 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) 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.
(c) 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.
(d) Reserved credits become actual emission credits only when we
verify them in reviewing your final report.
Sec. 1045.720 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 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.
You may trade banked credits to any certifying engine or vessel manufacturer.
(c) 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. 1045.255(e) for cases involving fraud.
We may void the certificates of all families participating in a trade
that results in a manufacturer having a negative balance of emission
credits. See Sec. 1045.745.
Sec. 1045.725 What must I include in my application for certification?
(a) You must declare in your application for certification your
intent to use the provisions of this subpart for each family that will
be certified using the ABT program. You must also declare the FELs you
select for the family for each pollutant for which you are using the
ABT program. 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 emission standard.
(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.
[[Page 28286]]
(2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. If your family will
generate positive emission credits, state specifically where the
emission credits will be applied (for example, to which family they
will be applied in averaging, whether they will be traded, or whether
they will be reserved for banking). If you have projected negative
emission credits for a family, state the source of positive emission
credits to offset the negative emission credits. Describe whether the
emission credits are actual or reserved and whether they will come from
averaging, banking, trading, or a combination of these. Identify from
which of your families or from which manufacturer the emission credits
will come.
Sec. 1045.730 What ABT reports must I send to EPA?
(a) If any of your 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 family participating in the ABT program:
(1) Family designation.
(2) The emission standards that would otherwise apply to the 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 FEL
can be identified for each engine you produced. For example, you might
keep a list of engine or vessel 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, as described in
Sec. Sec. 1045.705(c) and 1045.706(c). For fuel tanks, state the
production volume in terms of total surface area. If you changed an
engine's FEL during the model year, identify the actual production
volume associated with each FEL.
(5) Maximum engine power for each engine configuration, and the
production-weighted average engine power for the family.
(6) Useful life.
(7) Calculated positive or negative emission credits for the whole
family. 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 from all your
participating families 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 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 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.
Sec. 1045.735 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 at least eight
years after the due date for the end-of-year report. You may not use
emission credits for any engines or vessel if you do not keep all the
records required under this section. You must therefore keep these
records to continue to bank valid credits. 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.
(c) Keep a copy of the reports we require in Sec. Sec. 1045.725
and 1045.730.
(d) Keep the following additional records for each engine or vessel
you produce that generates or uses emission credits under the ABT
program:
(1) Family designation.
(2) Engine or vessel identification number.
(3) FEL and useful life.
(4) Maximum engine power or internal surface area of the fuel tank.
(5) Build date and assembly plant.
(e) We may require you to keep additional records or to send us
relevant information not required by this section.
Sec. 1045.745 What can happen if I do not comply with the provisions
of this subpart?
(a) For each 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
a family if you fail to comply with any provisions of this subpart.
(b) You may certify your family to an FEL above an emission
standard based on a projection that you will have enough emission
credits to offset the deficit for the family. 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 a family.
(c) We may void the certificate of conformity for a 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. 1045.820).
[[Page 28287]]
Subpart I--Definitions and Other Reference Information
Sec. 1045.801 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.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
Applicable emission standard or applicable standard means an
emission standard to which an engine is subject; or, where an engine
has been or is being certified another standard or FEL, applicable
emission standards means the FEL and other standards to which the
engine has been or is being certified. This definition does not apply
to subpart H of this part.
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 relating to the process of obtaining a
certificate of conformity for an engine family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from either transient
or steady-state testing.
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, Heavy-Duty and
Nonroad Engine 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. 1045.505.
Emission control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
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 has the meaning given in 40 CFR 1068.30. This includes
complete and partially complete engines.
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. 1045.230.
Engine manufacturer means the manufacturer of the engine. See the
definition of ``manufacturer'' in this section.
Evaporative means relating to fuel emissions controlled by 40 CFR
part 1060. This generally includes emissions that result from
permeation of fuel through the fuel-system materials, 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, according to Sec. 1045.5, is not
subject to this part 1045.
Exempted has the meaning given in 40 CFR 1068.30.
Exhaust-gas recirculation means a technology that reduces emissions
by routing exhaust gases that had been exhausted from the combustion
chamber(s) back into the engine to be mixed with incoming air before or
during combustion. The use of valve timing to increase the amount of
residual exhaust gas in the combustion chamber(s) that is mixed with
incoming air before or during combustion is not considered exhaust-gas
recirculation for the purposes of this part.
Family emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard under the ABT program in subpart H of this part. The family
emission limit must be expressed to the same number of decimal places
as the emission standard it replaces. The family emission limit serves
as the emission standard for the engine family with respect to all
required testing.
Fuel line means all hose, tubing, and primer bulbs containing or
exposed to liquid fuel, including hose or tubing
[[Page 28288]]
that delivers fuel to or from the engine. This includes hose or tubing
for the filler neck if any portion of the filler-neck material
continues to be exposed to liquid fuel after a refueling event in which
an operator fills the fuel tank as full as possible.
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 low-temperature or all-season gasoline.
Good engineering judgment has the meaning given in 40 CFR 1068.30.
See 40 CFR 1068.5 for the administrative process we use to evaluate
good engineering judgment.
High-performance means relating to a sterndrive/inboard engine with
maximum engine power at or above 373 kW that has design features to
enhance power output such that the expected operating time until
rebuild is substantially shorter than 480 hours.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type, as described in subpart B of
this part.
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.
Jet boat means a vessel that uses an installed internal combustion
engine powering a water jet pump as its primary source of propulsion
and is designed with open area for carrying passengers.
Low-hour means relating to an engine that has stabilized emissions
and represents the undeteriorated emission level. This would generally
involve less than 30 hours of operation.
Manufacture means the physical and engineering process of
designing, constructing, and assembling an engine or vessel.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures an engine or
vessel for sale in the United States or otherwise introduces a new
marine engine into U.S. commerce. This includes importers who import
engines or vessels for resale, but not dealers. All manufacturing
entities under the control of the same person are considered to be a
single manufacturer.
Marine engine means a nonroad engine that is installed or intended
to be installed on a vessel. This includes a portable auxiliary marine
engine only if its fueling, cooling, or exhaust system is an integral
part of the vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Maximum engine power has the meaning given in Sec. 1045.140.
Maximum test speed has the meaning given in 40 CFR 1065.1001.
Model year means one of the following things:
(1) For freshly manufactured vessels and engines (see definition of
``new propulsion marine 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. For seasonal production periods not including
January 1, model year means the calendar year in which the production
occurs, unless you choose to certify the applicable engine family with
the following model year. For example, if your production period is
June 1, 2010 through November 30, 2010, your model year would be 2010
unless you choose to certify the engine family for model year 2011.
(2) For an engine that is converted to a propulsion marine 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 propulsion
marine engine,'' paragraph (2)).
(3) For an engine originally produced for use as a nonroad engine
but not as a propulsion marine engine that is later converted to
operate as a propulsion marine engine, model year means the calendar
year in which the engine was originally produced (see definition of
``new propulsion marine engine,'' paragraph (3)).
(4) For engines that are not freshly manufactured but are installed
in new vessels, model year means the calendar year in which the engine
is installed in the new vessel (see definition of ``new propulsion
marine engine,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new propulsion marine engine,'' 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 propulsion marine engine,'' model year means the
calendar year in which the engine is modified.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new nonroad engine,'' model year means the calendar
year in which the importation occurs.
New vessel means either of the following things:
(1) A vessel 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 it is placed into service,
whichever comes first.
(2) An imported vessel that has already been placed into service,
where it has an engine not covered by a certificate of conformity
issued under this part at the time of importation that was manufactured
after the requirements of this part start to apply (see Sec. 1045.1).
New portable fuel tanks and fuel lines means portable fuel tanks
and fuel lines that have not yet been placed into service, or which are
otherwise offered for sales as new products.
New propulsion marine engine or new engine means any of the
following things:
(1) A freshly manufactured propulsion marine 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 is new from the time it is
produced until the ultimate purchaser receives the title or the product
is placed into service, whichever comes first.
(2) An engine intended to be used as a propulsion marine engine
that was originally manufactured as a motor-vehicle engine, a nonroad
engine that is not a propulsion marine engine, or a stationary engine.
In this case, the engine is no longer a motor-vehicle,
[[Page 28289]]
nonpropulsion, or stationary engine and becomes a ``new propulsion
marine engine''. The engine is no longer new when it is placed into
marine service.
(3) A propulsion marine engine that has been previously placed into
service in an application we exclude under Sec. 1045.5, where that
engine is installed in a vessel that is covered by this part 1045. The
engine is no longer new when it is placed into marine service covered
by this part 1045. For example, this would apply to a auxiliary marine
engine that is becomes a propulsion marine engine.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in a new vessel. The engine
is no longer new when the ultimate purchaser receives a title for the
vessel or the product is placed into service, whichever comes first.
This generally includes installation of used engines in new vessels.
(5) An imported marine engine, subject to the following provisions:
(i) An imported marine 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 marine 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 propulsion marine 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 dates
shown in the following table. This addresses uncertified engines and
vessels initially placed into service that someone seeks to import into
the United States. Importation of this kind of engine (or vessel
containing such an engine) is generally prohibited by 40 CFR part 1068.
Applicability of Emission Standards for Propulsion Marine Engines
------------------------------------------------------------------------
Initial model
Engine type year of emission
standards
------------------------------------------------------------------------
Outboard............................................. 1998
Personal watercraft.................................. 1999
Sterndrive/inboard................................... 2009
------------------------------------------------------------------------
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 has the meaning given in 40 CFR 1065.1001.
This generally means the difference between the emitted mass of total
hydrocarbons and the emitted mass of methane.
Nonroad means relating to nonroad engines, or vessels, or equipment
that include nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general,
this means all internal-combustion engines except motor vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft.
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.
Outboard engine means an assembly of a spark-ignition engine and
drive unit used to propel a vessel from a properly mounted position
external to the hull of the vessel. An outboard drive unit is partially
submerged during operation and can be tilted out of the water when not
in use.
Owners manual means a document or collection of documents prepared
by the engine manufacturer for the owner or operator to describe
appropriate engine maintenance, applicable warranties, and any other
information related to operating or keeping the engine. The owners
manual is typically provided to the ultimate purchaser at the time of sale.
Oxides of nitrogen has the meaning given in 40 CFR part 1065.1001.
Personal watercraft means a vessel less than 4.0 meters (13 feet)
in length that uses an installed internal combustion engine powering a
water jet pump as its primary source of propulsion and is designed with
no open load carrying area that would retain water. The vessel is
designed to be operated by a person or persons positioned on, rather
than within the confines of the hull. A vessel using an outboard engine
as its primary source of propulsion is not a personal watercraft.
Personal watercraft engine means a spark-ignition engine used to
propel a personal watercraft.
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.
Portable marine fuel tank has the meaning given in 40 CFR 1060.801.
Ramped-modal means relating to the ramped-modal type of steady-
state test described in Sec. 1045.505.
Revoke has the meaning given in 40 CFR 1068.30. In general this
means to terminate the certificate or an exemption for an engine family.
Round has the meaning given in 40 CFR 1065.1001.
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 engine manufacturer means one of the following:
(1) An engine manufacturer that had U.S.-directed production of
sterndrive/inboard engines in 2007, with annual worldwide production of
no more than 5,000 sterndrive/inboard engines in any calendar year. For
manufacturers owned by a parent company, this production limit applies
to the production of the parent company and all its subsidiaries.
(2) An engine manufacturer that we designate to be a small-volume
engine manufacturer under Sec. 1045.635.
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.
[[Page 28290]]
Sterndrive/inboard engine means a spark-ignition engine that is
used to propel a vessel, but is not an outboard engine or a personal
watercraft engine. This includes engines on propeller-driven vessels,
jet boats, air boats, and hovercraft.
Stoichiometric means relating to the particular ratio of air and
fuel such that if the fuel were fully oxidized, there would be no
remaining fuel or oxygen. For example, stoichiometric combustion in a
gasoline-fueled engine typically occurs at an air-to-fuel mass ratio of
about 14.7:1.
Suspend has the meaning given in 40 CFR 1068.30. In general this
means to temporarily discontinue the certificate or an exemption for an
engine family.
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.
Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This
generally 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 has the meaning given in 40 CFR
1065.1001. This generally 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
locomotives. The hydrogen-to-carbon ratio of the equivalent hydrocarbon
is 1.85:1.
Ultimate purchaser means, with respect to any new vessel or new
marine propulsion engine, the first person who in good faith purchases
such new vessel or new engine for purposes other than resale.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year means for an engine family the model year after
the one currently in production.
U.S.-directed production volume means the number of engine units,
subject to the requirements of this part, produced by a manufacturer
for which the manufacturer has a reasonable assurance that sale was or
will be made to ultimate purchasers in the United States.
Useful life means the period during which a vehicle is required to
comply with all applicable emission standards, specified as a given
number of hours of operation or calendar years, whichever comes first.
See Sec. Sec. 1045.103(e), 1045.105(e), and 1045.107. If an engine has
no hour meter, the specified number of hours does not limit the period
during which an in-use engine is required to comply with emission
standards, unless the degree of service accumulation can be verified
separately.
Variable-speed engine means an engine that is not a constant-speed
engine.
Vessel means marine vessel.
Void has the meaning given in 40 CFR 1068.30. In general this means
to invalidate a certificate or an exemption both retroactively and
prospectively.
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.
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.
Sec. 1045.805 What symbols, acronyms, and abbreviations does this
part use?
The following symbols, acronyms, and abbreviations apply to this part:
ABT Averaging, banking, and trading.
AECD Auxiliary emission control device.
CFR Code of Federal Regulations.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g gram.
HC hydrocarbon.
hr hour.
kPa kilopascals.
kW kilowatt.
m meter.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed.
psig pounds per square inch of gauge pressure.
RPM revolutions per minute.
SAE Society of Automotive Engineers.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
U.S.C. United States Code.
Sec. 1045.810 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) SAE material. Table 1 of this section lists material from the
Society of Automotive Engineers that we have incorporated by reference.
The first column lists the number and name of the material. The second
column lists the sections of this part where we reference it. Anyone
may purchase copies of these materials from the Society of Automotive
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or
http://www.sae.org.
Table 1 follows:
Table 1 to Sec. 1045.810.--SAE Materials
------------------------------------------------------------------------
Part 1045
Document number and name reference
------------------------------------------------------------------------
SAE J1930, Electrical/Electronic Systems Diagnostic 1045.135
Terms, Definitions, Abbreviations, and Acronyms,
revised May 1998....................................
------------------------------------------------------------------------
(b) ISO material. Table 2 of this section lists material from the
International Organization for Standardization that we have
incorporated by reference. The first column lists the number and name
of the material. The second column lists the section of this part where
we reference it. Anyone may purchase copies of these materials from the
International Organization for Standardization, Case Postale 56, CH-
[[Page 28291]]
1211 Geneva 20, Switzerland or http://www.iso.org. Table 2 follows:
Table 2 to Sec. 1045.810.--ISO Materials
------------------------------------------------------------------------
Document number and name Part 1045 reference
------------------------------------------------------------------------
ISO 9141-2 Road vehicles--Diagnostic systems-- 1045.110
Part 2: CARB requirements for interchange of
digital information, February 1994.
ISO 14230-4 Road vehicles--Diagnostic 1045.110
systems--Keyword Protocol 2000--Part 4:
Requirements for emission-related systems,
June 2000.
------------------------------------------------------------------------
Sec. 1045.815 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.
Sec. 1045.820 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.
Sec. 1045.825 What reporting and recordkeeping requirements apply
under this part?
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. The following
items illustrate the kind of reporting and recordkeeping we require for
engines and vessels regulated under this part:
(a) We specify the following requirements related to engine
certification in this part 1045:
(1) In Sec. 1045.20 we require vessel manufacturers to label their
vessels if they are relying on component certification.
(2) In Sec. 1045.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to vessel manufacturers.
(3) In Sec. 1045.145 we include various reporting and
recordkeeping requirements related to interim provisions.
(4) In subpart C of this part we identify a wide range of
information required to certify engines.
(5) In Sec. Sec. 1045.345 and 1045.350 we specify certain records
related to production-line testing.
(6) In Sec. Sec. 1045.420 and 1045.425 we specify certain records
related to in-use testing.
(7) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
(8) In Sec. Sec. 1045.725, 1045.730, and 1045.735 we specify
certain records related to averaging, banking, and trading.
(b) We specify the following requirements related to vessel or
component certification in 40 CFR part 1060:
(1) In 40 CFR 1060.20 we give an overview of principles for
reporting information.
(2) In 40 CFR part 1060, subpart C, we identify a wide range of
information required to certify products.
(3) In 40 CFR 1060.301 we require manufacturers to make engines or
vessels available for our testing if we make such a request.
(4) In 40 CFR 1060.505 we specify information needs for
establishing various changes to published test procedures.
(c) We specify the following requirements related to testing in 40
CFR part 1065:
(1) In 40 CFR 1065.2 we give an overview of principles for
reporting information.
(2) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
(3) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
(4) In 40 CFR 1065.695 we identify data that may be appropriate for
collecting during testing of in-use engines using portable analyzers.
(d) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
(1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
(3) In 40 CFR 1068.27 we require manufacturers to make engines
available for our testing or inspection if we make such a request.
(4) In 40 CFR 1068.105 we require vessel manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
(5) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
(6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
(7) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines.
(8) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines in a selective enforcement audit.
(9) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
(10) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming engines.
[[Page 28292]]
Appendix I to Part 1045--Summary of Previous Emission Standards
(a) The following standard applies to marine spark-ignition
engines produced before the model years specified in Sec. 1045.1,
at the end of the phase-in period specified in 40 CFR 91.104:
(1) For engines below 4.3 kW, the HC+NOX standard is
81.00 g/kW-hr.
(2) For engines at or above 4.3 kW, the following
HC+NOX standard applies:
STD = 6.00 + 0.250 [middot]
(151 + 557/P0.9)
Where:
STD = The HC+NOX emission standard, in g/kW-hr.
P = The average power of an engine family, in kW.
(b) See 40 CFR 91.104 for standards that applied during the
phase-in period.
Appendix II to Part 1045--Duty Cycles for Propulsion Marine Engines
(a) The following duty cycle applies for discrete-mode testing:
----------------------------------------------------------------------------------------------------------------
Torque Weighting
E4 mode no. Engine speed \1\ (percent) \2\ factors
----------------------------------------------------------------------------------------------------------------
1............................................ Maximum Test Speed.............. 100 0.06
2............................................ 80 %............................ 71.6 0.14
3............................................ 60 %............................ 46.5 0.15
4............................................ 40 %............................ 25.3 0.25
5............................................ Idle............................ 0 0.40
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.
\2\ Except as noted in Sec. 1045.505, the percent torque is relative to maximum torque at maximum test speed.
(b) The following duty cycle applies for ramped-modal testing:
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed \1, 2\ Torque (percent) \2, 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state......................... 225 Idle...................... 0.
1b Transition........................... 20 Linear Transition......... Linear Transition.
2a Steady-state......................... 63 Maximum Test Speed........ 100.
2b Transition........................... 20 Linear Transition......... Linear Transition.
*3a Steady-state........................ 271 40%....................... 25.3.
3b Transition........................... 20 Linear Transition......... Linear Transition.
4a Steady-state......................... 151 80%....................... 71.6.
4b Transition........................... 20 Linear Transition......... Linear Transition.
5a Steady-state......................... 161 60%....................... 46.5.
5b Transition........................... 20 Linear Transition......... Linear Transition.
6 Steady-state.......................... 229 Idle...................... 0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent values are relative to maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
linear progressions of speed and torque from the speed setting and torque setting of the current mode to the
speed setting and torque setting of the next mode.
\3\ The percent torque is relative to maximum torque at maximum test speed.
PART 1048--CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD SPARK-
IGNITION ENGINES
47. The authority citation for part 1048 continues to read as
follows:
Authority: 42 U.S.C. 7401--7671q.
Subpart A--[Amended]
48. Section 1048.1 is amended by revising paragraph (d) to read as
follows:
Sec. 1048.1 Does this part apply to me?
* * * * *
(d) In certain cases, the regulations in this part 1048 apply to
engines with maximum engine power at or below 19 kW that would
otherwise be covered by 40 CFR part 90 or 1054. See 40 CFR 90.913 or
1054.615 for provisions related to this allowance.
49. A new Sec. 1048.2 is added to read as follows:
Sec. 1048.2 Who is responsible for compliance?
The regulations in this part 1048 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part are generally addressed to the engine manufacturer. The term
``you'' generally means the engine manufacturer, as defined in Sec.
1048.801, especially for issues related to certification (including
production-line testing, reporting, etc.).
50. Section 1048.5 is amended by revising paragraph (b) and adding
paragraph (c) to read as follows:
Sec. 1048.5 Which engines are excluded from this part's requirements?
* * * * *
(b) Propulsion marine engines. See 40 CFR parts 91 and 1045. This
part applies with respect to auxiliary marine engines.
(c) Engines that are certified to meet the requirements of 40 CFR
parts 92 or 1033 (locomotive engines), or are otherwise subject to 40
CFR parts 92 or 1033.
51. Section 1048.10 is amended by revising the introductory text to
read as follows:
Sec. 1048.10 How is this part organized?
This part 1048 is divided into the following subparts:
* * * * *
52. Section 1048.15 is amended by revising the section heading to
read as follows:
Sec. 1048.15 Do any other regulation parts apply to me?
Subpart B--[Amended]
53. Section 1048.101 is amended by adding paragraph (a)(2)(iv) and
revising paragraphs (f) and (h) to read as follows:
Sec. 1048.101 What exhaust emission standards must my engines meet?
* * * * *
(a) * * *
(2) * * *
[[Page 28293]]
(iv) Constant-speed engines and severe-duty engines.
* * * * *
(f) Small engines. Certain engines with total displacement at or
below 1000 cc may comply with the requirements of 40 CFR part 90 or
1054 instead of complying with the requirements of this part, as
described in Sec. 1048.615.
* * * * *
(h) Applicability for testing. The duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec. Sec. 1048.505 and 1048.510, including certification,
production-line, and in-use testing. The field-testing standards apply
for all testing performed according to the procedures of subpart F of
this part.
54. Section 1048.105 is revised to read as follows:
Sec. 1048.105 What evaporative emission standards and requirements apply?
Starting in the 2007 model year, new engines that run on a volatile
liquid fuel (such as gasoline) must meet the emission standards of this
section over a useful life of five years. Note that Sec. 1048.245
allows you to use design-based certification instead of generating new
emission data. Auxiliary marine engines must meet the evaporative
emission standards in 40 CFR 1045.107 instead of the standards in this
section.
(a) Fuel line permeation. For nonmetallic fuel lines, you must
specify and use products that meet the Category 1 specifications for
permeation in SAE J2260 (incorporated by reference in Sec. 1048.810).
(b) [Reserved]
(c) Diurnal emissions. Evaporative hydrocarbon emissions may not
exceed 0.2 grams per gallon of fuel tank capacity when measured using
the test procedures specified in 40 CFR 1060.525, except that
permeation emissions may not be subtracted from the measured value.
Diurnal emission controls must continue to function during engine operation.
(d) Running loss. Liquid fuel in the fuel tank may not reach
boiling during continuous engine operation in the final installation at
an ambient temperature of 30 [deg]C. Note that gasoline with a Reid
vapor pressure of 62 kPa (9 psi) begins to boil at about 53 [deg]C at
atmospheric pressure, and at about 60 [deg]C for fuel tanks that hold
pressure as described in Sec. 1048.245(e)(1)(i).
(e) Installation. If other companies install your engines in their
equipment, you may introduce your engines into U.S. commerce without
meeting all the requirements in this section. However, you must give
equipment manufacturers any appropriate instructions so that fully
assembled equipment will meet all the requirements in this section, as
described in Sec. 1048.130. Introducing equipment into U.S. commerce
without meeting all the requirements of this section violates 40 CFR
1068.101(a)(1).
55. Section 1048.110 is amended by revising paragraphs (c) and (d)
to read as follows:
Sec. 1048.110 How must my engines diagnose malfunctions?
* * * * *
(c) Control when the MIL can go out. If the MIL goes on to show a
malfunction or system error, it must remain on during all later engine
operation until servicing corrects the malfunction. If the engine is
not serviced, but the malfunction or system error does not recur for
three consecutive engine starts during which the malfunctioning system
is evaluated and found to be working properly, the MIL may stay off
during later engine operation.
(d) Store trouble codes in computer memory. Record and store in
computer memory any diagnostic trouble codes showing a malfunction that
should illuminate the MIL. The stored codes must identify the
malfunctioning system or component as uniquely as possible. Make these
codes available through the data link connector as described in
paragraph (g) of this section. You may store codes for conditions that
do not turn on the MIL. The system must store a separate code to show
when the diagnostic system is disabled.
* * * * *
56. Section 1048.115 is amended by revising the section heading,
introductory text, and paragraph (e) to read as follows:
Sec. 1048.115 What other requirements apply?
Engines that are required to meet the emission standards of this
part must meet the following requirements:
* * * * *
(e) Adjustable parameters. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing, including certification testing, production-line testing, or
in-use testing.
* * * * *
57. Section 1048.120 is amended by revising paragraph (c) to read
as follows:
Sec. 1048.120 What emission-related warranty requirements apply to me?
* * * * *
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
pollutant, including those listed in 40 CFR part 1068, Appendix I, and
those 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.
* * * * *
58. Section 1048.125 is amended by revising paragraph (d) to read
as follows:
Sec. 1048.125 What maintenance instructions must I give to buyers?
* * * * *
(d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (i.e., maintenance that is neither
explicitly identified as critical emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-related maintenance generally includes changing spark plugs,
re-seating valves, or any other emission-related maintenance on the
components we specify in 40 CFR part 1068, Appendix I. You must state
in the owners manual that these steps are not necessary to keep the
emission-related warranty valid. If operators fail to do this
maintenance, this does not allow you to disqualify those engines from
in-use testing or deny a warranty claim. Do not take these inspection
or maintenance steps during service accumulation on your emission-data
engines.
* * * * *
59. Section 1048.135 is amended by revising paragraphs (c)(5),
(c)(11), (c)(17), and (f) to read as follows:
Sec. 1048.135 How must I label and identify the engines I produce?
* * * * *
(c) * * *
(5) State the date of manufacture [MONTH and YEAR]; however, you
may omit this from the label if you stamp or engrave it on the engine.
* * * * *
[[Page 28294]]
(11) Identify the emission standards to which you have certified
the engine (in g/kW-hr).
* * * * *
(17) If your engines are certified to the voluntary standards in
Sec. 1048.140, state: ``BLUE SKY SERIES'' and identify the standard to
which you certify the engines.
* * * * *
(f) If you obscure the engine label while installing the engine in
the equipment such that the label cannot be read during normal
maintenance, you must place a duplicate label on the equipment. If
others install your engine in their equipment in a way that obscures
the engine label, we require them to add a duplicate label on the
equipment (see 40 CFR 1068.105); in that case, give them the number of
duplicate labels they request and keep the following records for at
least five years:
(1) Written documentation of the request from the equipment manufacturer.
(2) The number of duplicate labels you send for each engine family
and the date you sent them.
60. Section 1048.140 is revised to read as follows:
Sec. 1048.140 What are the provisions for certifying Blue Sky Series
engines?
This section defines voluntary standards for a recognized level of
superior emission control for engines designated as ``Blue Sky Series''
engines. If you certify an engine family under this section, it is
subject to all the requirements of this part as if these voluntary
standards were mandatory. To receive a certificate of conformity as
``Blue Sky Series,'' you must certify to one of the sets of exhaust
emission standards in the following table:
Table 1 to Sec. 1048.140.--Standards for Blue Sky Series Engines
(g/kW-hr)
------------------------------------------------------------------------
Standards for steady-state and Standards for field-testing
transient test procedures procedures
------------------------------------------------------------------------
HC+NOX CO HC+NOX CO
------------------------------------------------------------------------
0.80 4.4 1.10 6.6
0.60 4.4 0.84 6.6
0.40 4.4 0.56 6.6
0.20 4.4 0.28 6.6
0.10 4.4 0.14 6.6
------------------------------------------------------------------------
Subpart C--[Amended]
61. Section 1048.201 is amended by revising paragraph (a) to read
as follows:
Sec. 1048.201 What are the general requirements for obtaining a
certificate of conformity?
(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date, but it is not valid for any
production after December 31 of the model year for which it is issued.
No certificate will be issued after December 31 of the model year.
* * * * *
62. Section 1048.205 is amended by revising paragraphs (b), (p)(1),
(q), (r) introductory text, (y), and (aa) to read as follows:
Sec. 1048.205 What must I include in my application?
* * * * *
(b) Explain how the emission control systems operate. 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 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 sufficient detail to allow us to evaluate whether
the AECDs are consistent with the defeat device prohibition of Sec.
1048.115.
* * * * *
(p) * * *
(1) Present exhaust emission data for HC, NOX, and CO on
an emission-data engine to show your engines meet the applicable duty-
cycle emission standards we specify in Sec. 1048.101. Show emission
figures before and after applying deterioration factors for each
engine. Include emission results for each mode if you do discrete-mode
testing under Sec. 1048.505. Include test data for each type of fuel
from 40 CFR part 1065, subpart H, on which you intend for engines in
the engine family to operate (for example, gasoline, liquefied
petroleum gas, methanol, or natural gas). If we specify more than one
grade of any fuel type (for example, a summer grade and winter grade of
gasoline), you need to submit test data only for one grade unless the
regulations of this part specify otherwise for your engine. Note that
Sec. 1048.235 allows you to submit an application in certain cases
without new emission data.
* * * * *
(q) State that all the engines in the engine family comply with the
field-testing emission standards we specify in Sec. 1048.101(c) for
all normal operation and use when tested as specified in Sec.
1048.515. Describe any relevant testing, engineering analysis, or other
information in sufficient detail to support your statement.
(r) For engines not subject to transient testing requirements in
Sec. 148.101(a), include information showing how your emission
controls will function during normal in-use transient operation. For
example, this might include the following:
* * * * *
(y) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes
if they are substantially different than actual production volumes in
earlier years for similar models.
* * * * *
(aa) Name an agent for service located in the United States.
Service on this agent constitutes service on you or any of your
officers or employees for any action by EPA or otherwise by the United
States related to the requirements of this part.
63. Section 1048.220 is amended by revising the introductory text
to read as follows:
Sec. 1048.220 How do I amend the maintenance instructions in my
application?
You may amend your emission-related maintenance instructions after
you submit your application for certification, as long as the amended
instructions remain consistent with the provisions of Sec. 1048.125.
You must send the Designated Compliance Officer a written request to
amend your application for certification for an engine family if you
want to change the emission-related maintenance instructions in a way
that could affect emissions. In your request, describe the proposed
changes to the maintenance instructions. We will disapprove your
request if we determine that the amended instructions are inconsistent
with maintenance you performed on emission-data engines. If operators
follow the original maintenance instructions rather than the newly
specified maintenance, this does not allow you to disqualify those
engines from in-use testing or deny a warranty claim.
* * * * *
64. Section 1048.225 is revised to read as follows:
[[Page 28295]]
Sec. 1048.225 How do I amend my application for certification to
include new or modified engine configurations?
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 any of the
following actions:
(1) Add an engine configuration to an engine family. In this case,
the engine configuration added must be consistent with other engine
configurations in the engine family with respect to the criteria listed
in Sec. 1048.230.
(2) Change an engine configuration 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 for showing that the amended family complies 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 engine
configuration, include new test data showing that the new or modified
engine configuration 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 newly added or modified 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 engine
configuration anytime after you send us your amended application and
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 engines.
65. Section 1048.230 is amended by revising paragraphs (a) and (d)
to read as follows:
Sec. 1048.230 How do I select engine families?
(a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout the useful life as described in this
section. Your engine family is limited to a single model year.
* * * * *
(d) In unusual circumstances, 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.
* * * * *
66. Section 1048.235 is amended by revising paragraph (d)(1) to
read as follows:
Sec. 1048.235 What emission testing must I perform for my application
for a certificate of conformity?
* * * * *
(d) * * *
(1) The emission family from the previous model year differs from
the current emission family only with respect to model year or other
characteristics unrelated to emissions. You may also ask to add a
configuration subject to Sec. 1048.225.
* * * * *
67. Section 1048.240 is amended by revising paragraphs (c)(1) and
(c)(2) to read as follows:
Sec. 1048.240 How do I demonstrate that my engine family complies
with exhaust emission standards?
* * * * *
(c) * * *
(1) Multiplicative deterioration factor. Except as specified in
paragraph (c)(2) of this section, 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. Use an additive deterioration
factor for exhaust emissions if engines do not use aftertreatment
technology. Also, you may use an additive deterioration factor for
exhaust emissions for a particular pollutant if all the emission-data
engines in the engine family have low-hour emission levels below 0.3 g/
kW-hr (for CO or HC+NOX, as appropriate), unless a
multiplicative deterioration factor is more appropriate. For example,
you should use a multiplicative deterioration factor if emission
increases are best represented by the ratio of exhaust emissions at the
end of the useful life to exhaust emissions at the low-hour test point.
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.
* * * * *
68. Section 1048.245 is amended by revising paragraphs (c) and
(e)(1)(i) to read as follows:
Sec. 1048.245 How do I demonstrate that my engine family complies
with evaporative emission standards?
* * * * *
(c) Use good engineering judgment to develop a test plan to
establish deterioration factors to show how much emissions increase at
the end of the useful life.
* * * * *
(e) * * *
(1) * * *
(i) Use a tethered or self-closing gas cap on a fuel tank that
stays sealed up to a positive pressure of 24.5 kPa (3.5 psig); however,
they may contain air inlets that open when there is a vacuum pressure
inside the tank. Nonmetal fuel tanks must also use one of the
[[Page 28296]]
qualifying designs for controlling permeation emissions specified in 40
CFR 1060.240.
* * * * *
69. Section 1048.250 is amended by redesignating paragraphs (a)
through (d) as paragraphs (b) through (e), respectively, and adding a
new paragraph (a) to read as follows:
Sec. 1048.250 What records must I keep and make available to EPA?
(a) If you produce vehicles under any provisions of this part that
are related to production volumes, send the Designated Compliance
Officer a report within 30 days after the end of the model year
describing the total number of vehicles you produced in each engine
family. For example, if you use special provisions intended for small-
volume manufacturers, report your production volumes to show that you
do not exceed the applicable limits.
* * * * *
70. Section 1048.255 is amended by revising the section heading and
paragraph (d) to read as follows:
Sec. 1048.255 What decisions may EPA make regarding my certificate of
conformity?
* * * * *
(d) We may void your certificate if you do not keep the records we
require or do not give us information as required under this part or
the Act.
* * * * *
Subpart D--[Amended]
71. Section 1048.301 is amended by revising paragraphs (a) and (c)
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, except as
follows:
(1) [Reserved]
(2) We may exempt engine families with a projected U.S.-directed
production volume below 150 units from routine testing under this
subpart. Request this exemption in the application for certification
and include your basis for projecting a production volume below 150
units. You must promptly notify us if your actual production exceeds
150 units during the model year. If you exceed the production limit or
if there is evidence of a nonconformity, we may require you to test
production-line engines under this subpart, or under 40 CFR part 1068,
subpart E, even if we have approved an exemption under this paragraph
(a)(2).
* * * * *
(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not
affect our ability to do selective enforcement audits, as described in
part 1068 of this chapter. Individual engines in families that pass
these production-line testing requirements must also conform to all
applicable regulations of this part and part 1068 of this chapter.
* * * * *
72. Section 1048.305 is amended by adding introductory text and
revising paragraphs (a), (d), and (g) to read as follows:
Sec. 1048.305 How must I prepare and test my production-line engines?
This section describes how to prepare and test production-line
engines. You must assemble the test engine in a way that represents the
assembly procedures for other engines in the engine family. You must
ask us to approve any deviations from your normal assembly procedures
for other production engines in the engine family.
(a) Test procedures. Test your production-line engines using either
the steady-state or transient testing procedures specified in subpart F
of this part to show you meet the duty-cycle emission standards in
subpart B of this part. The field-testing standards apply for this
testing, but you need not do additional testing to show that
production-line engines meet the field-testing standards.
* * * * *
(d) Setting adjustable parameters. Before any test, we may require
you to adjust any adjustable parameter to any setting within its
physically adjustable range.
(1) We may require you to adjust idle speed outside the physically
adjustable range as needed, but 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.
(2) We may specify adjustments within the physically adjustable
range by considering their effect on emission levels, as well as how
likely it is someone will make such an adjustment with in-use engines.
* * * * *
(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, 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.
73. Section 1048.310 is amended by revising paragraphs (a), (c)
introductory text, (c)(2), (f), (g), and (h) to read as follows:
Sec. 1048.310 How must I select engines for production-line testing?
(a) Use test results from two engines each quarter to calculate the
required sample size for the model year for each engine family.
* * * * *
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC+NOX and CO. The
required sample size is the greater of these calculated values. Use the
following equation:
N = [(t95 x [sigma])/(x - STD)]2 + 1
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). * * *
(2) Calculate the standard deviation, [sigma], for the test sample
using the following formula:
[sigma]
= [[Sigma](Xi - x)2/(n -
1)]1/2
Where:
Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.
* * * * *
(f) Distribute the remaining tests evenly throughout the rest of
the year. You may need to adjust your schedule for selecting engines if
the required sample size changes. If your scheduled quarterly testing
for the remainder of the model year is sufficient to meet the
calculated sample size, you may wait until the next quarter to do
additional testing. Continue to randomly select engines from each
engine family.
(g) Continue testing until one of the following things happens:
(1) After completing the minimum number of tests required in
paragraph (b) of this section, 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
[[Continued on page 28297]]
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