# Presentation: 502987

## Agenda

**Agenda**

**I.  ****	****Standards, Phase-ins & Flexibility**
**II.  ****	****DFs and Useful Life**
**III. ****	****The Certification Process**
**IV.  ****	****Non-handheld AB&T**
**V.   ****	**** Production Line Testing**
**VI.  ****	**** Voluntary In-Use Testing**
**VII.  ****	**** The New Certification Templates**
**VIII.****	****Questions, Answers, Demo**

## I.  Standards, Phase-Ins & Flexibility

## I.  Standards, Phase-Ins & Flexibility

_**Phase II Emission Standards (g/kW-hr)**_

**Class**
- I

**HC + NOx**
- 16.1

**NMHC+NOx**
- 14.8

**CO**
- 610

**Effective Date**
- 8/1/2007 *or*

- 8/1/2003*

**Class**
- II

**Requirement**
- HC+NOx
- NMHC+NOx
- CO

**2001**
- 18.0
- 16.7
- 610

**2002**
- 16.6
- 15.3
- 610

**2003**
- 15.0
- 14.0
- 610

**2004**
- 13.6
- 11.3
- 610

**2005 **
- 12.1
- 11.3
- 610

*and later*

**  For ****new**** families initially produced on or after this date*

**Effective Date**
- 9/1/2000 or 1/1/2000

**Phase 2 Small SI Workshop  5/26/99**

- Engine families must meet these standards if production starts on 9/1/2000 or later.
- If production period for a family is over 1 year, replace above date with 1/1/2000.

**I.  Standards, Phase-Ins & Flexibility**

## 2-stroke engine used in lawnmowers or other non-handheld equipment can meet Phase I Class III, IV, or V standards through 2002 according to the phase-out.

Engines used exclusively in wintertime products:  Need not certify with HC, NOx, or HC+NOx standards

Small Volume Flexibility:  Optionally certify as Phase I until 2010
Small Volume Mfrs:  produce 10,000 non-handheld engines or less
Small Volume Engine Families:  have 5,000 non-handheld engines or less

The HC + NOx standard for side valved engine families with annual production of 1,000 engines or less is 24.0 g/kW-hr for 2010 and later 

Families using Flexibility are excluded from Phase 2 AB&T program

- Engines used ***exclusively*** in wintertime products:  Need not certify with HC, NOx, or HC+NOx standards
_**Small Volume Flexibility**_:  Optionally certify as Phase I until 2010
- Small Volume Mfrs:  produce 10,000 non-handheld engines or less
- Small Volume Engine Families:  have 5,000 non-handheld engines or less
- The HC + NOx standard for **side valved** engine families with annual production of 1,000 engines or less is 24.0 g/kW-hr for 2010 and later
- Families using Flexibility are excluded from Phase 2 AB&T program

_**Exceptions and Flexibility**_

**Phase 2 Small SI Workshop  5/26/99**

**I.  Standards, Phase-Ins & Flexibility**

## II.  DFs and Useful Life

## II.  DFs and Useful Life

**Phase 2 Small SI Workshop  5/26/99**

**Calculation of DFs   (Always **_**>**_** 1.0)**
- On at least one test engine representing worst case configuration
- worst case = most likely to exceed HC + NOx  emission standard
- Conduct emissions testing on stabilized engine (0 - 12 hrs):  **X****0**
- Age the engine to full useful life, conduct emission testing:  **X****UL**
**DF** =  **X****UL**** / X****0**
- Optionally, additional points can be added ***(Alignment with ARB)***
- In addition to **X****0**** and**** ****X****UL**** **add a midpoint test:  **X****MP**
- Using method of least squares, fit a line through the three points
- Calculate **E****0**** ****and**** ****E****UL**
**DF = ****E****UL ****/ E****0**

**Certification levels  =  Stabilized 0 hour tests X DF**
- All test engines must comply

## II.  DFs and Useful Life  - Additional Testing

**Phase 2 Small SI Workshop  5/26/99**

**Final Cert DF = Avg. of DF****1**** and DF****2**

## II.  DFs and Useful Life  - Adjustable Parameters

- Emission
- Level

- Hours

**Engines with adjustable parameters:**
- 	Requires 2 tests (at extreme range of parameter, ER) per point

**II.  DFs and Useful Life  - Adjustable Parameters**

## II.  DFs and Useful Life  -  Maintenance

- Emission
- Level

**II.  DFs and Useful Life  -  Maintenance**

- Hours

- Assuming yearly (or seasonal) maintenance, divide useful life by the 2 year warranty period as follows:

**Useful Life Period:**	125	250	500	1000
**Maintenance Schedule:****	**62	125	250	500

- Maintenance

- Maintenance

**Requirement**:  	Conduct test before maintenance

## II.  DFs and Useful Life

**Phase 2 Small SI Workshop  5/26/99**

**Appropriate Aging Cycles and Service Accumulation**
- Aging procedure should be designed to appropriately predict the in-use emission deterioration expected over the useful life of the engine.
- EPA will accept ARB’s approved aging cycle (Attachment 1)
- No prior approval is necessary, however EPA may ask to review a mfrs cycle
**Useful life categories**
**Class I:****	****	**125	250	500
**Class II:****	****	**250	500	1000

**Optional assigned DFs for small volume mfrs and engine families**

- Side Valve Engines

- Overhead Valve Engines

- Engines with Aftertreatment

- Class

- _HC + NOx_
- 2.1
- 1.6

- _CO_
- 1.1
- 1.1

- _HC + NOx_
- 1.5
- 1.4

- _CO_
- 1.1
- 1.1

- [(NE*EDF) - (CC*F)]

- (NE - CC)

- I
- II

## III.  The Certification Process

## III.  The Certification Process

**The Corporate Average Plan**
- Sum of positive and negative credits must be greater than or equal to 0
- Negative balances may not be carried over
*EPA will *_*not*_* require submission of corporate plans*
**Determining Engine Families**
- combustion cycle, cooling mechanism, # of cylinders, etc.  (90.116)
**For Each Engine Family**
- Determine FEL (standard if necessary)
- Determine worst case configuration (HC + NOx)
- Determine DF
- Submit “New Submission” to EPA
**Running Changes, FEL Changes, Field Fixes**
- Simply submit only the changes to EPA
- FEL Changes require accounting of credits and effective dates

**Phase 2 Small SI Workshop  5/26/99**

## III.  The Certification Process

**End-of-Year Reports**
- Due 90 days after the end of the model year
**Final Reports**
- EPA will only require the submission of the final report due 270 days after the end of the model year
-  Manufacturers may submit this final report immediately after the end of the model year (ie you do not have to wait 270 days)
**Negative balances **_**CAN NOT**_** be carried over**
- Exceptions only for PLT failures
- For those families for which a manufacturer does not have enough credits, the certificates may be voided *ab initio*

**Phase 2 Small SI Workshop  5/26/99**

## IV.  Non-handheld AB&T

## General Provisions

**Banking- **retention of credits for future years
**Trading- **exchange of credits between manufacturers
**Pollutants-     **HC +NOx                                                                                                                               		NMHC+NOx -Natural gas
**Upper limits-**   HC+NOx      Class  I---32.2 g/kW-hr
-                                                      Class  II--26.8 g/kW-hr
**FEL AVG. Limit- **Class II   2005MY-13.6 g/kW-hr
**                                                    **2006MY-13.1
- 				         2007MY-12.6

_**General Provisions**_

**Phase 2 Small SI Workshop  5/26/99**

**IV.  Non-handheld AB&T**

## Selective Enforcement Audits (SEAs)      

-                     -HC+NOx--FEL _<_ 16.1 g/kW-hr
-                     -credits calculated against a standard of 20.5 g/kW-hr
**Class II- **beginning with MY 99 until the effective date of the regulations
-                    -HC+Nox--FEL _<_  12.1 g/kW-hr
-                    -credits calculated against  a standard of 18.0 g/kW-hr
_**Selective Enforcement Audits (SEAs)**_
- In the event of a SEA failure, credits can be used for _future production._
-      In approved cases, credits can be combined with other remedies to correct past production.

_**Early banking**_

**Phase 2 Small SI Workshop  5/26/99**

**IV.  Non-handheld AB&T**

## Credit Calculation

- Can use credits to cover past and future production due to PLT
-       -if not enough credits are available to cover the FEL change, a negative balance can be carried-over for 3 MYs
- 		-1st  MY credits are used at a rate of 1 to 1
- 		-2nd, 3rd MY credits are used at a rate of 1.2 to 1
_**Credit Calculation**_
- 	Credits=Production x (STD-FEL) x PWR x Useful Life x Load Factor
- Production- annual production minus ineligible engines
- STD-	      applicable standard, except for early banking phase

_**Production Line Testing (PLT)**_

**Phase 2 Small SI Workshop  5/26/99**

**IV.  Non-handheld AB&T**

## Reporting

- End-of-year report -   90 days after the end of the MY
- Final report -              270 days after the end of the MY

_**Reporting**_

**Phase 2 Small SI Workshop  5/26/99**

**IV.  Non-handheld AB&T**

## V.  Production Line Testing

## V.  Production Line Testing

**Phase 2 Small SI Workshop  5/26/99**

**Phase II engine families must be included in the CumSum program**
- Except for:
- those included in the small volume flexibility (mfr has option to include)
- families participating in the voluntary in-use testing program
**SEA program used only as backstop for Phase II engine families**
- including those families not included in CumSum program
**SEA vs CumSum Programs**
- SEA program designed to be a spot check on whether a family is passing or failing
- CumSum designed to monitor production line control
- Mfrs can react to results
- Designed to have similar risks as SEA program

## V.  Production Line Testing  -  Procedures

**Phase 2 Small SI Workshop  5/26/99**

**At the start of the model year, begin randomly sampling engines at a rate of 1% of production**
- To calculate initial sample size
- For new families:  Calculate the sample size after 2 engines are tested
- For carry-over families:  Combine 1st test with last test from previous year
**Sample Size Equation - construct one for each pollutant**
**CumSum Equation - construct one for each pollutant**

**The CumSum Procedure for each engine family:**

**C****i**** = ***max*** [ 0 ***or*** C****i-1**** + X****i**** - (FEL + F)]**

## V.  Production Line Testing  -  Procedures

**The sample size equation will reveal how many tests are required for the rest of the year**
- The remaining tests are spread evenly throughout the rest of the model year
- Mfrs may test additional engines to help “bracket” production
- These extra test points _**MAY NOT**_ be included in the Sample Size or CumSum equations
**Continue sampling, testing and updating the two equations until:**
- A compliance decision is reached
- The calculated sample size, N  _<_  the actual sample size, n ***AND***
- The sample mean, x, is below the standard, OR
- Requires no mfr response
- A non-compliance decision is reached
- The CumSum statistic, Ci , exceeds the Action Limit, H, for 2 consecutive tests
- Requires mfr response
- 30 tests (or 1% of production) is reached
- Stop sampling by default
- If at any time the sample mean, x,  >  the standard of FEL (for any pollutant), the required sample is 30 engines
**Quarterly Reporting Requirements**

**V.  Production Line Testing  -  Procedures**

_**Run Simulator**_

## V.  Production Line Testing  -  Running Changes

**Running Change only**
- Do nothing,  all sample size and CumSum calculations remain unchanged
- Running change submission in the certification process
**FEL Change only (retroactively change entire family)**
- Previous sample size and CumSum equations must be recalculated
- Additional tests may be required
- FEL change submission in the certification process
**Both a Running Change and an FEL Change**
- If FEL is applied retroactively
- Previous sample size and CumSum equations must be recalculated
- If FEL is effective with the running change
- Previous calculations remain unchanged
- This breakpoint must be accounted for in final credit submittal
- Running change in the certification process

**What action is required when changes are made on the production line?**

_**Run Simulator**_

## V.  Production Line Testing  -  Noncompliance

**Phase 2 Small SI Workshop  5/26/99**

**For each non-complying engine**
- By default, certificates of conformity are suspended for non-complying engines
- Can not be introduced into commerce until:
- problem is remedied
- engine is retested with passing results
- Submit a failed engine report to EPA containing a description of the remedy and the new test results
**When the CumSum statistic exceeds the Action Limit for 2 consecutive tests:**
- Contact EPA within 10 working days
- For the non-complying family:
- EPA may suspend or revoke the certificate of conformity
- Test engines until the CumSum statistic is below the Action Limit
- Submit report describing reason for non-compliance, proposed remedies
- To avoid production disruption, EPA may *conditionally* reinstate certificate

## VI.  Voluntary In-Use Testing

## VI.  Voluntary In-Use Testing

**Mfrs may elect to participate in this program by notifying EPA prior to the beginning of the model year.  Simply include a list of engine families.**
**Mfrs may include up to 20% of eligible phase II families**
**Those families included in the voluntary program are exempted from the PLT requirements for 2 model years (current and subsequent).**
**Program Procedure**
- Randomly select a minimum of 3 engines from each included family from:
- consumer or independently owned fleets
- existing manufacturer owned fleets
- the production line (then placed into manufacturer or independently owned fleets)
- Selected engines must be aged in equipment representing the top 50% of production
- Age engines to at least 75% of useful life
- Age engines in actual field conditions
**Complete testing within 3 years form the date EPA was notified**

## VII.  The New Certification Templates

## BACKUP MATERIAL

## VI.  Production Line Testing

**Phase 2 Small SI Workshop  5/26/99**

_**The Sample Size Equation**_**:**

- Where:
- 	t95  	=	95% Confidence Coefficient
- 		=	Sample standard deviation
- 	Xi	=	Emission test result for an individual engine
- 	x	=	Mean of actual sample
- 	FEL	=	Family Emission Limit or emission standard
- 	N	=	Calculated sample size
- 	n	=	Actual number of tests

- CumSum Background

- n	2	3	4	5	6	7	8
- t95 	6.31	2.92	2.35	2.13	2.02	1.94	1.90

## VI.  Production Line Testing

**Phase 2 Small SI Workshop  5/26/99**

**C****i**** = ***max*** [ 0 ***or*** C****i-1**** + X****i**** - (FEL + F)]**

- Where:
- 	Ci  	=	Current CumSum statistic
- 	Ci-1	=	The previous CumSum statistic (C0 =0)
- 	Xi	=	Current emission test result
- 	FEL	=	Family Emission Limit or emission standard
- 	F	=	0.25 x 
- 	 =	Sample standard deviation (recalculated after each test)
- 	H	=	The Action Limit.  5.0 x 

_**The CumSum Equation**_**:**

- CumSum Background

## I.  Standards, Phase-Ins & Flexibility

**Class**
- I
- II
- III
- IV
- V

**HC + NOx**
- 16.1
- 13.4
- --
- --
- --

**HC**
- --
- --
- 295
- 241
- 161

**CO**
- 519
- 519
- 805
- 805
- 603

**NOx**
- --
- --
- 5.36
- 5.36
- 5.36

*Non-Handheld*

*Handheld*

**I.  Standards, Phase-Ins & Flexibility**

_**Phase I Emission Standards (g/kW-hr)**_

**Phase 2 Small SI Workshop  5/26/99**