United States

Environmental Protection

Agency

Air and Radiation EPA420-B-98-002

March 1999

Certification Guidance for

Engines Regulated Under:

40 CFR Part 86 (On-Highway

Heavy-Duty Engines) and

40 CFR Part 89 (Nonroad

CI Engines)

 Printed on Recycled Paper
EPA420-B-98-002

March 1999

CERTIFICATION GUIDANCE FOR

ENGINES REGULATED UNDER:

40 CFR Part 86

On-Highway Heavy-Duty Engines

and

40 CFR Part 89

Nonroad CI Engines

Engine Compliance Programs Group

Office of Transportation and Air Quality

U.S. Environmental Protection Agency
ii

Parts of this information collection related to Nonroad CI has been approved by OMB (Control

Numbers 2060-0011.09, 0095.10, 0282.10, 1684.04,1695.03, and 1826.01). Public reporting

burden for this collection of information is estimated to average 800 hours per engine. Parts of

this information collection related to on highway engines and nonroad compression-ignited

engines above 37 kW are currently under review by OMB (Former Control No. 2060-0104). 

The annual public reporting and recordkeeping burden is estimated to average 1,240.5 hours per

respondent for the on-highway certification program, 333 hours per respondent for the onhighway AB&T program; 515.8 hours per respondent for the nonroad certification program, and

460 hours per respondent for the nonroad AB&T program. This includes the time needed for

reviewing instruction, searching existing data sources, gathering and maintaining the data

needed, and completing and reviewing the collection of information. Send comments regarding

the burden estimate or any other aspect of this collection of information, including suggestions

for reducing this burden, to Ms. Sandy Farmer, U.S. Environmental Protection Agency, OPPE

Regulatory Information Division (2137), 401 M Street, SW, Washington, DC 20460; and Office

of Information and Regulatory Affairs, Office of Management and Budget, Attention:

Desk Officer for EPA 725 17th Street, NW, Washington, DC 20503.

This document serves as the Small Entity Compliance Guide for the final rule, AControl of

Emission of Air Pollution from Nonroad Diesel Engines@ (63 FR 56968, October 23, 1998). 

Prior to proposing this rule, EPA convened a Small Business Advocacy Review Panel under the

Regulatory Flexibility Act to ensure that concerns of small businesses were adequately

considered during the development of the rule. On June 10, 1997, the panel presented its report

to EPA, outlining flexibility provisions for small businesses subject to the rule and

recommending that EPA incorporate them in the rule. In response, EPA proposed and finalized

several provisions to ease the compliance burden of this rule for nonroad equipment

manufacturers. The provisions are designed to be especially useful to equipment manufactures

that are small and that face special obstacles to compliance due to their size. This guide

addresses these flexibility provisions in Sections II.T. and II.U.
iii

Table of Contents

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vi

I. Overview of the Certification Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

 A. Timing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

 B. Initiating Certification ..............................................1

 C. EPA Review Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

 

 D. The Certificate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

II. EPA Guidance on Specific Topics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

A. Engine Family Name . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

B. Confidential Business Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

C. Audits of Manufacturer Records or Facility .............................6

D. Carryover ........................................................6

E. Test Fuel for Nonroad Engines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

F. Test Fuel for On Highway Engines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

G. Special and Alternative Test Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

H. Special Power Features . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

I. Modification by Equipment Manufacturers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

J. Useful life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

K. Amending an Application (Running Changes) ...........................9

L. Certification Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

M. Adjustable Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

N. Evaporative Emission Family Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
iv

O. Averaging, Banking and Trading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

P. Production Part Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Q. Phase-in of Standards for <37 kW Nonroad Engines . . . . . . . . . . . . . . . . . . . . . 15

R. Developing Deterioration Factors for <37 kw Nonroad Engines . . . . . . . . . . . . 16

S. Maintenance Intervals for Nonroad Engines . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

T. Flexibility for Nonroad Equipment Manufacturers . . . . . . . . . . . . . . . . . . . . . . . 19

U. Flexibility for Post Manufacture Marinizers . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

V. Voluntary Low-Emitting Nonroad Engine Program . . . . . . . . . . . . . . . . . . . . . . 20

III. Common Application (EPA and CARB for Heavy Duty) . . . . . . . . . . . . . . . . . . . . . . . . 21

IV. Labeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

V. Additional Requirements for California ARB only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Appendix A - EPA Application Format 

A2. General Instructions

A7. Sample Statement of Compliance for Nonroad

A8. Sample Statement of Compliance for On Highway

A9. Sample Statement of Compliance for On Highway Evaporative Emission

Certification

A10. Instructions for the Engine Family Information Form

A14. Instructions for the Engine Test Information Form

A20. Engine Model Summary

A21. Engine Model Part Number Summary

A21. Technical Description

A26. Sample Diskette Label Format

Appendix B - Confidential Business Information for Certification Application

Appendix C - Certificate of Conformity 

C2. Sample Nonroad Certificate of Conformity without Banking & Trading

C3. Sample Nonroad Certificate of Conformity with Banking & Trading

C4. Sample On Highway Certificate of Conformity without Banking & Trading

C5. Sample On Highway Certificate of Conformity with Banking & Trading

Appendix D - EPA Standard Engine and Evaporative Family Names
v

Appendix E - EPA Evaporative Section (For On Highway Vehicle Certification Only)

E2. Engine Evaporative Information Form and Instructions

E4. Sample Evaporative Statement of Compliance

E5. Sample On Highway Evaporative Certificate

Appendix F - EPA Motor Vehicle and Engine Compliance Program (MVECP) Fees Program

Appendix G - Certification Preview Topics

Appendix H - Executive Order Information (CARB only application)
1

 Engines regulated by 40 CFR Part 86 typically include engines used in on-highway applications such as heavy-duty

gasoline fueled engines (HDGEs), heavy-duty diesel fueled engines (HDDEs), and heavy-duty engines using alternate fuels

(CNG, LPG and LNG). Engines regulated by 40 CFR Part 89 include compression-ignition engines used in nonroad vehicles. 

This guidance also applies to evaporative emission certification required by 40 CFR Part 86 for vehicles employing Heavy Duty

Engines. 

2

 Please contact Mr. David Good at EPA, National Vehicle and Fuel Emission Laboratory, 2565 Plymouth Road, Ann

Arbor, MI 48105, if you want to certify either (1) an Otto cycle heavy-duty engine using the chassis test, or, (2) an evaporative

system installed on a vehicle which was certified using the chassis test and is equipped with a heavy-duty engine. 

vi

 PREFACE

Under the authority of the Clean Air Act and Federal regulations, manufacturers

regulated under these parts must submit applications to obtain a certificate of conformity to EPA. 

This document describes suggested procedures and formats for compiling such applications. 

This guidance is applicable to engines regulated by the Code of Federal Regulations, Title 40,

Parts 86 and 891

 (40 CFR 86 and 40 CFR 89) and in NO WAY supersedes either Part. Examples

of engines covered under this document (jointly referred to as Nonroad Engines) are heavy duty

diesel-cycle and gasoline-cycle engines for on-highway use, and nonroad compression ignition

engines. This guidance also covers evaporative certification for vehicles containing engines

which were certified under heavy duty engine protocol2. Marine engines at or above 37

kilowatts are regulated under 40 CFR Part 91 and are not included in this guidance.

Manufacturers should get copies of the applicable regulations. There are definitions,

procedures and recordkeeping requirements, among others, associated with the certification

process that are not fully addressed in this guidance but with which manufacturers must comply. 

Copies of 40 CFR Parts 86 and 89 can be obtained by (1) writing to:

Superintendent of Documents

Attention: New Orders

PO Box 371954

Pittsburgh, PA 15250-7954,

(2) calling the Government Printing Office Order Desk at (202) 512-1800 (a charge is

applicable), or, (3) downloading them from EPA’s Homepage

(http://www.epa.gov/fedrgstr/EPA-AIR, or http://www.epa.gov/oms/equip-hd.htm. 

This guidance describes the information that will be generally required by EPA in an

application, but this in no way suggests that EPA will not require additional information, testing

or the provision of engines for EPA confirmatory testing prior to issuance of a certificate of

conformity. 

Although the information regularly submitted to EPA is reduced, manufacturers are

reminded that information described in applicable regulations must still be retained at the

manufacturer’s facility and be made available on a timely basis upon request by EPA. In
vii

conjunction with adopting this application format EPA may conduct periodic enhanced reviews

to verify that manufacturers are following regulatory procedures and may at those times ask for

additional information. 

Manufacturers may submit applications by e-mail or on diskette using the EPA

Information Management System database template and the FileMaker Pro 4.0 application

software. The database template is available upon request from EPA. Although EPA encourages

electronic application, manufacturers may submit their applications on paper. Be advised that

paper submittals will require a longer processing time.

EPA has historically provided periodic guidance to manufacturers in the form of “Dear

Manufacturer” letters and “Advisory Circulars” (A/Cs). EPA will continue this practice and will

mail applicable new guidance to manufacturers at the address of the primary contact listed in the

application for certification. Copies of old guidance are available upon request from EPA and

are also available at Office of Mobile Sources Internet home page

(http://www.epa.gov/OMSWWW). 

 This document has been prepared with input from CARB, EMA, AAMA, and other

concerned manufacturers.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 -1-

I. Overview of the Certification Process

 A. Timing

1. When to submit request for certification

Certification is required on a model year basis. EPA asks that

certification applications be submitted no earlier than one year prior to the start of

production. For example, for the 2001 model year, certification could be effective

as early as January 2, 2000. Therefore, EPA would accept applications for 2001

model year certification in January 1999. Bear in mind that the certificate does

not become “effective” until the “effective date” shown on it. Due to resource

limitations, priority will be given to earlier model year applications already

received.

 B. Initiating Certification

1. Obtaining Manufacturer Status (One Time Only):

Before doing anything, notify EPA in writing of your intent to

manufacture engines covered by these regulations. If you have not previously

worked with EPA, EPA will assign you a manufacturer code. If your company

already has a code assigned but has never certified, for example, nonroad engines,

you should notify EPA to amend your current status to include nonroad engines. 

Your manufacturer code will not change. Obtaining manufacturer status does not

obligate you to certify.

2. EPA Contact (One Time Only):

EPA will assign a primary EPA contact person for each manufacturer. 

Information for the EPA primary contact person may be mailed to (express mail

sent to this address will be return to the sender):

Tom Stricker

On Highway and Nonroad CI Team Leader

Engine Compliance Programs Group

U.S. Environmental Protection Agency

Headquarters, Mail Code 6403-J

Washington, DC 20460

Phone: 202-564-9322

FAX: 202-564-2057
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 -2-

For Express Mail Deliveries Only (regular mail delivered to this address will be

returned to sender) and for office visits:

Tom Stricker

On Highway and Nonroad CI Team Leader

Engine Compliance Programs Group

U.S. Environmental Protection Agency

501 3rd St NW, Mail Code 6403-J

Washington DC 20001

3. Manufacturer Contacts

Each manufacturer designates one or two people who are authorized to

discuss certification matters with EPA personnel. This information is submitted

as part of the application. Manufacturers who have not previously certified

nonroad ci or on-highway engines should inform EPA of designated certification

contacts prior to application for certification.

4. Certification Preview (Once Every Model Year):

A manufacturer wishing to certify engines should provide EPA with a

preview of its plans for that model year. The plan should include an estimate of

the number of engine families to be certified that model year, whether any special

testing procedures are anticipated, and any other unusual or special features which

may impact certification. The Certification Preview is the best time to notify

EPA of any issues where advance Administrator approval may be needed. Failure

to obtain needed EPA approvals in a timely manner may result in delays or

potential noncertification. Suggested preview topics are contained in Appendix

G. It is suggested that the first time a manufacturer certifies that this meeting

occur at EPA’s offices in Washington, D.C. After that, the preview topics may be

addressed in a letter.

5. Application for Certification (Every Model Year, Every Engine Family):

Manufacturers must apply for certification on an annual basis. While a

production period greater than one year is permitted, a manufacturer may not use

the production period definition to skip certification of a model year. A

production period may include only the January 1 of the calendar year for which

the model year is named, ends no later than December 31 of the calender year for

which the model year is named, and does not begin sooner that January 2 of the
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

3

Submitted the first year you apply using the new format, and then once every 5 years or when a change occurs or

when certifying an engine with new technology.

MARCH 4, 1999 -3-

previous calendar year. (See section I(A) above for when to submit an

application.) To expedite EPA review of the application for certification, it is

requested that the information be submitted using a consistent format. This

format can be found in Appendix A. Directions for completing the application

are also found in Appendix A. The following elements comprise a complete EPA

application:

< Signed Statement of Compliance (the signed original must be submitted)

< Engine Family Information Form

< Engine Test Information Form

< Engine Model Summary Form

< Engine Part Number Summary Form

< Technical Description3

Manufacturers requesting a certificate of conformity for evaporative

engine families are only required to submit the Statement of Compliance and an

Evaporative Engine Form (EEF).

 C. EPA Review Process

1. The Process

Upon receipt of a complete application, the assigned EPA representative

will make every effort to review it within 30 days. (The first few applications

may take longer as the process is “debugged”). When a review may be delayed

due to unforeseen circumstances, the reviewer will contact you. The reviewer

will call you with any questions arising from the review. If the reviewer cannot

reach you by telephone in a reasonable amount of time, the question will be

submitted in writing. While the reviewer may accommodate an occasional

request to expedite a review, he/she is under no obligation to do so. Chronic

requests for expedited review cannot be honored. Manufacturers should

anticipate and allow at least 30 days for EPA review in their

production/manufacturing plans. Additionally, if EPA decides to conduct

confirmatory testing, certification may be delayed.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 -4-

2. EPA Confirmatory Testing:

EPA plans to conduct confirmatory testing of engines in the near future. 

While reviewing the application, EPA will determine whether it chooses to

perform confirmatory testing. Manufacturers should plan to keep the emission

data engine in its certification test configuration until EPA issues the Certificate. 

Should EPA request to perform such testing, adequate advance notice will be

given to allow time for shipping, etc.

 D. The Certificate of Conformity

Once the review is completed and all questions are answered to the satisfaction of

the reviewer, a certificate of conformity will be issued. (Sample is in Appendix C). 

Certificate language will vary depending on the certification type. Families certified

under Averaging, Banking and Trading require special certificate language. The

“Effective Date” is the date that manufacturers may start to introduce engines into

commerce. If the certificate was issued unusually early, the effective date may be

January 2 of the year prior to the model year. Otherwise, the effective date is usually the

date that the certificate was signed.

The Certificate is signed by the Administrator or a designated authority; currently,

it is the Director of the Vehicle Programs and Compliance Division. A certificate is not

authentic without this signature.

The signed certificate is copied for internal use, and the original will be sent to the

address provided in the application for certification for that engine family. It is very

important that this address is kept current – notify your EPA Representative if

there is an address change.

II. EPA Guidance on Specific Topics

 A. Engine Family Name

1. Naming Convention

EPA has developed a standard engine family naming convention which is

required for inputting data. (The official format can be found in Appendix D). 
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 -5-

This name will appear on the certificate, and must also be on the engine label. 

Although many manufacturers may have separate naming conventions, the EPA

engine family name must be referred to in the application for certification, and

any other documents or correspondence concerning that family. Failure to refer

to the EPA engine family name will cause delays.

2. Engine Family Selection

Engines are grouped into engine families using the criteria found in the

CFR. EPA may approve further division or consolidation of families. Requests

for further division or consolidation will be handled on a case by case basis.

 B. Confidential Business Information

The Freedom of Information Act (FOIA), found at 5 USC §522, is the Federal

statute which governs disclosure of information to the public. EPA codification of this

Act’s requirements can be found in 40 CFR Part 2. Under the FOIA, individuals may

request information contained in certification applications, as well as other documents,

and EPA is required to provide requested information except as described below. Each

Administration since the FOIA was enacted has made clear that the intent of the FOIA

process is to release as much information as practical. 

There are nine exemptions to releasing information under the FOIA process. The

one most applicable to information submitted by engine manufacturers to the Office of

Mobile Sources is Exemption 4, Trade Secrets, Commercial, or Financial Information

(Confidential Business Information). In dealing with this exemption, EPA’s Office of

General Counsel (OGC) has made a number of “Class Determinations” relative to

information routinely submitted to EPA in certification applications. A Class

Determination is a final confidentiality determination issued by the OGC covering certain

identifiable items of information and which may be applied thereafter to information

falling within the class. Although these Class Determinations specifically apply to

information supplied in motor vehicle and motor vehicle engine certification

applications, the staff believes that it is reasonable to apply these principles to nonroad

engine certification applications as well. 

Manufacturers can choose whether or not to classify any information as

Confidential Business Information (CBI). Information items such as projected sales,

catalyst loading, and blueprints have been identified as meeting the criteria for
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 -6-

Exemption 4 by previous Class Determinations. Manufacturers may classify other

information in the certification application as CBI. If EPA receives a FOIA request for

the application, the manufacturer must be prepared to substantiate all claims of CBI it has

made. (A brief description of this process is contained in Appendix B.)

 Please mark all applicable items as confidential on the application forms (you

may do so on the electronic form in the space provided) and specify in your cover letter

the length of time for which confidentiality is required.

Please refer to Appendix B for more information on the topic of CBI in

certification applications. The EPA contact for CBI questions related to certification is

Robert Doyle, (202) 564-9258.

 C. Audits of Manufacturer Records or Facility

EPA will, from time to time, request additional information from manufacturers

on an audit basis. Subjects of possible certification audits include but are not limited to

fuel specifications, test engines, test equipment, test records, maintenance instructions,

durability methods, warranty statements, tamper resistance methods, adjustable

parameters, and averaging, banking and trading. Manufacturers are required to maintain

records listed in the CFR.

 D. Carryover

When no significant changes have been made to an engine family, the

manufacturer may request to use test data from the previous model year to represent the

new model year. To obtain EPA approval, the differences between the previous and

current model year engines must be shown not to cause emission changes that would

result in failure of the standards. 

 E. Test Fuel for Nonroad engines 

Nonroad engine manufacturers must conduct certification testing using test fuel as

described at 40 CFR 89.330. The test fuel meeting the specifications of 89.330 and Table

4 of Appendix A to Subpart D do not require approval prior to conducting certification

testing. Fuels other that those specified above may be used for testing and service

accumulation provided: 1) they are commercially available, 2) information, acceptable to

the Administrator, is provided to show that only the designated fuel would be used in
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 -7-

customer service, 3) use of fuel listed above would have a detrimental effect on emissions

or durability, and 4) written approval from the Administrator of the fuel specifications

must be provided prior to the start of testing.

The fuel used for certification testing must be indicated on the engine family

information form and the test engine information form shown in Appendix A of this

guidance. Manufacturers using other fuels or fuels meeting substantially equivalent

specifications must seek EPA approval for the alternate fuel and must reference that

approval and describe the fuel in the statement of compliance.

 F. Test Fuel for On Highway engines

For certification testing, gasoline having the specifications listed in 40 CFR

86.1313-94 or substantially equivalent specifications approved by the EPA may be used

by the manufacturer, except that the octane specification does not apply. Diesel,

methanol, mixtures of petroleum and methanol, and natural gas fuels having the

specifications listed in 40 CFR 86.1313-94 may also be used for emission testing. Diesel,

methanol, mixtures of petroleum and methanol fuels, and natural gas fuels other than

those specified above may be used for testing and service accumulation provided: 1)

they are commercially available, 2) information, acceptable to the Administrator, is

provided to show that only the designated fuel would be used in customer service, 3) use

of fuel listed above would have a detrimental effect on emissions or durability, and 4)

written approval from the Administrator of the fuel specifications must be provided prior

to the start of testing.

The fuel used for certification testing must be indicated on the engine family

information form and the test engine information form shown in Appendix A of this

guidance. Manufacturers using other fuels or fuels meeting substantially equivalent

specifications must describe, in the statement of compliance, the fuel used and indicate

that EPA approved the fuel for use in certification testing.

 G. Special and Alternate Test Procedures

Special and alternate test procedures may be used instead of prescribed test

procedures in 40 CFR Parts 86 and 89 upon annual EPA approval. In the past, onhighway manufacturers may have requested the use of special and alternate test

procedures, and reported their use differently from the format described here. The

certification format specified in this document should be followed.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 -8-

Special or alternate test procedures may include but are not limited to procedures

such as alternate mapping procedures, or unique test equipment needs. Manufacturers

should propose special and alternate test procedures during the certification preview as

described in section I(B)(3). After an initial indication of approval from EPA,

manufacturers must submit a written request for the special and alternate procedures. If

EPA approves, an approval letter will be sent to the manufacturer. When the

manufacturer submits an application for an engine family which was tested using special

or alternate procedures, a reference to the procedures must be included in the statement

of compliance. The reference should identify the engine families for which the procedure

applies, include a brief explanation of the procedure(s) and provide adequate reference to

more detailed documentation on the procedure and date of EPA approval. 

The requirements to seek EPA approval of special and alternate procedures and to

report the procedures in the compliance statement apply to each applicable engine family

for each model year regardless of carryover status.

 H. Special Power Features

Configurations utilizing such features as “power enrichment”, “power boost”, or

similar options should be rated and tested at the highest power, regardless of either

operation time of these features or the advertised power. 

 I. Modification by Equipment Manufacturers (Nonroad Only)

Questions have been asked about allowable modifications to engines made by the

equipment manufacturers (such as adding governors, resetting fuel and idle specs, etc). 

The potential exists for an equipment manufacturer to become an engine manufacturer

with obligations to certify the new engine configuration or for tampering on the part of

the equipment manufacturer. EPA is now reviewing its tampering policies and may issue

an updated guidance document in the future.

 J. Alternate Useful Life Periods (Nonroad only)

EPA recognizes that it may be appropriate to approve a shorter useful life period

for nonroad engines $37 kW used in a severe-use application. Prior to certification,

manufacturers can petition EPA to approve shorter useful life periods. Engines that may
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 -9-

be approved for a shorter useful life would be those subject to severe service such as

those used in equipment with a short useful life.

EPA has also establish useful life and recall liability periods for <37 kw engines

which are shorter than those for $37 kw engines.

Table 1

Useful life for <37 engines 

engine power useful life

(hours/yrs.)

maximum age for Recall

testing (hours/yrs.)

warranty

(hours/yrs.)

< 19 kw 3000/5 2250/4 1500/2

19-37 kw, constant speed w/ rating

$3000 rpm 3000/5 2250/4 1500/2

all other 19-37 kw engines 5000/7 3750/5 3000/5

 K. Amending an Application (Running Changes)

Manufacturers must notify EPA anytime they want to change an engine family, or

the application we have on file. Submit changes in writing or on 3 1⁄2 “ disk to document

that production engines are built in accordance with the certificate and to monitor

potential changes in emissions from production engines. If the change adds an engine

model or affect emission-related components, the change is known as a “running

change.” Changes that affect the durability of the emission control system are also

running changes and must be reported. Report simple corrections (typos for example) as

“corrections”.

If a certificate of conformity has not been issued yet, the manufacturer should

resubmit the amended record in its entirety (choose “new Submission” if applying

electronically), request that the amended record replace the original submission and

follow the process for new submissions. 

If a certificate of conformity has already been issued, the manufacturer only needs

to submit the following information (in electronic applications, please create a new

record and fill in only this information):
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 -10-

Manufacturer Name on the Engine Family Information Form

Engine Family Name on the Engine Family Information Form

Enter “Running Change” or “Correction” under the “Process Code” on the Engine

Family Information Form.

Enter a description of the running change or correction and the reason for it in the

“Comments” box on the Engine Family Information Form

Enter responses only for those questions for which a change occurred. (Do this

on all forms: Engine Family Information Form, Engine Test Information

Form, Engine Model Summary, etc.)

If the running change adds an engine model to a family, has a potential effect on

emissions (either increase or decrease) or changes test engine selection, the manufacturer

is required to either submit test data showing compliance after incorporating the running

change, or submit an engineering evaluation as to why the engines will remain in

compliance with all applicable regulations. If the change is not expected to increase

emissions, the manufacturer should submit the reason for that conclusion. EPA may

require the manufacturer to perform tests on the changed or added engine. Please refer to

the applicable regulation for details.

Running changes which would result in the need for issuance of a new certificate

of conformity, such as a change in the family emission limit (FEL), cannot be initiated

prior to receipt of a new certificate. A FEL change will be effective on the day the new

certificate is issued.

Many of on-highway applicants have followed a practice of identifying

successive amendments with a number which includes the family designation and

model year of the engines being affected. (For example, the number of the first running

change in the 1998 model year for family VXY145U1G1RA might be 98-145U1G1RA01.) This practice has proved to be quite useful and is highly recommended.

EPA should be notified about changes to an engine family in advance. However,

EPA regulations provide a concurrent notification procedure for amendments to an

existing certificate of conformity. While this procedure does not eliminate EPA review,

it does allow manufacturers to make changes without prior EPA review. However, if

EPA determines that affected engines do not meet applicable requirements, EPA will

notify the manufacturer that the running change is disapproved and to cease production

of the affected engines.

 L. Certification Fees 
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40 CFR PART 86 AND PART 89

4 Submitted every 5 years or when a change occurs.

MARCH 4, 1999 -11-

Under the authority of the CAA Section 217, on highway engine manufacturers

are required to pay a fee when applying for a certificate of conformity. They are required

to be paid prior to any processing of the certification application. EPA will not start the

review process until confirmation is received that all required fees have been paid. The

amount of the fee is determined under 40 CFR 86 Subpart J. This fee is collected by the

Motor Vehicle and Engine Compliance Program in St. Louis, MO. An example of the

fee payment form is included in Appendix F. 

EPA is not at this time charging a fee for nonroad certification, but has the

authority to do so and will do so once program costs can be accurately assessed. 

 M. Adjustable Parameters

If the manufacturer intends to seal adjustable parameters to prevent adjustment,

the methods of sealing must be described in the application. The method of sealing must

provide both a visual and a physical deterrence to tampering. If parameters are

adjustable, the manufacturer is responsible for assuring emission compliance within the

full range of adjustability of those parameters. Manufacturers should report all adjustable

parameters in their application whether sealed or not. At present and until future notice,

EPA will approve tamper proofing methods if they have received California ARB

approval for engines which are both CA and EPA certified.

 N. Evaporative Emission Certification (On highway only)

Evaporative Emission certification is required for all new Gasoline-fueled,

Natural gas-fueled, Liquefied Petroleum gas-fueled, and Methanol-fueled On-Highway

Heavy Duty vehicles. Vehicles similar in evaporative emission control system

characteristics may be grouped in the same evaporative emission family. Evaporative

emission family naming conventions are described in Appendix D.

The Evaporative Certification Application forms are found in Appendix E. The

following elements comprise an evaporative certification application form:

< Statement of Compliance

< Engine Evaporative Emission Form

< Technical Description (Appendix A19)4

 O. Averaging, Banking and Trading
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MARCH 4, 1999 -12-

Manufacturers with engine families participating in averaging, banking and

trading (ABT) programs are subject to additional reporting, record keeping and

compliance requirements as well as additional oversight by EPA. Regulations for ABT

programs are at 40 CFR 86.094-15, 86.094-23 (h) and 40 CFR Part 89 Subpart C. As

part of the precertification process, manufacturers planning to participate in ABT should

be prepared to describe all aspects of how the manufacturer will comply with

requirements of these regulations.

No credits may be generated by engines that are exported or subject to state

engine emission standards (e.g. are regulated by California). Manufacturers are

responsible for tracking engines which are generating credits to the point of first retail

sale. As part of the certification process EPA does not typically require information

related to engine tracking; however, EPA may require such information either during

certification or as part of a follow-up review of records related to ABT. 

This guidance does not require submission to EPA of the projected number of

credits generated/needed, quarterly projected sales, or other information required at 40

CFR 89.209-96 (a)(6) or 86.094-15 (b)(1)(iv) as a part of the application for certification. 

 However, manufacturers are required to generate and retain this information, and EPA

may periodically request submission of this information as part of the review process. 

EPA issues conditional certificates of conformity for engine families participating

in ABT. These certificates specify the applicable family emission limit (FEL). If a

manufacturer desires to change an FEL (via running change), a new certificate must be

issued by EPA. Manufacturers must calculate emission credits based on the FEL on the

certificate that is in effect at the time applicable engines are introduced into commerce. 

Consequently, if an FEL change is made during production, the manufacturer is

responsible for ensuring that upon the effective date of the new certificate, adequate

production information is or will be available to calculate credits with the old and new

FEL. The effective date of the FEL change is the effective date of the applicable

certificate issued for the new FEL.

As noted in the attached example statements of compliance, manufacturers must

state in the application that the engines for which a certificate is requested will not, to the

best of the manufacturer’s belief, when included in any part of the ABT program cause

the applicable standard(s) to be exceeded. 

This guidance in no way changes end-of-year reporting requirements or record

keeping requirements. 
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1. Nonroad Engines 

 EPA is replacing the existing AB&T program for nonroad engines with a

new program. The following is a summary of the new program.. Refer to section

89.203 for a description of the new requirements.

 a. 37 kw and above 

< Credits from Tier 2 and later engines will be [NMHC + NOx]

credits, since the standard combines both pollutants.

< PM will be included in the program.

< If a family participates in AB&T, it can't earn credits for [NMHC

+ NOx] and use credits for PM, or vice versa.

< FELs will have upper limits. See the table in section R below.

< We are replacing the 3 year credit life provision with an unlimited 

credit life provision.

< We are eliminating the "buy high/sell low" power conversion

factor provision and replacing it with a sales-weighted average

power value.

< We are specifying a procedure for calculating and applying NOx

credits earned under Tier1 standards to families certified to Tier 2

standards. 

< You can start banking PM credits from Tier 1 families against the

Tier 2 PM standards. You may use them to certify Tier 2 families.

 b. under 37 kW

< Families can participate for both [NMHC + NOx] and PM.

< If a family participates in AB&T, it can't earn credits for [NMHC

+ NOx] and use credits for PM, or vice versa.

< The amount of any credit earned for a <19 kw engine will be

calculated based on Tier 2 standards, and the amount earned for

19-37 kw engines will be calculated based on the standard

applicable at the time.

< FELs will have upper limits. See section R.

< Any credits earned on <19 kw engines certified to the Tier 1

standards expire at the end of 2007. All other credits earned have

an unlimited life.

< Sales-weighted average power must be used in credit calculations.
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< You can't use credits earned from a <19 kw family to certify a $19

kw family, and you can't use credits earned from a family used in a

land-based application to certify a family

sed in a marine application. You an however use credits from a

marine engine to certify a land-based engine.

< Trading is prohibited (i.e., you can't exchange credits you earned

for credits from another manufacturer) for credits from IDI engines

above 19 kW.

< Under a special program, you can establish and maintain a

negative credit balance for 2 years after Tier 1 standards become

effective for <37 kw engines. Your balance must be 0 or positive

by the end of the fourth year. A ten percent surcharge will be

applied to negative credit balances carried over. This special

program applies separately for 0-19 and 19-37 kW categories, and

no trading is allowed under the program..

 P. Production Part Numbers

Supply a list of all emission control related component part numbers. See

Appendix A for form.

 Q. Phase-in of standards for <37 kW Nonroad Engines

The new standards apply to nine categories (defined by power range) of engines,

and are effective beginning in the 1999 model year. Refer to Table 2 for details. 
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

5 1. You should not use the PM adjustment factor at 40 CFR 89.425-96 to adjust your test results for these engines.

 2. You can average, bank, and trade PM emissions credits beginning with this standard.

MARCH 4, 1999 -15-

Table 2

Phase-in of standards for <37 kW Nonroad Engines

 

engine power [NMHC 

 (g/kw

+NOx]

/hr)

CO

 (g/kw-hr)

 

 (

PM 

g/kw/hr) 

 Smoke 

(%

opacity) Tier model year std is first

effective

std. FEL, max std. FEL, max accel lug peak

0-8 kw 10.5 16.0 8.0 1.0 1.2 20 15 50 1 2000

7.5 10.5 8.0 0.80* 1.0 - - - 2 2005

8-19 kw 9.5 16.0 6.6 0.80 1.2 20 15 50 1 2000

7.5 9.5 6.6 0.80* 0.80 - - - 2 2005

19-37 kw 9.5 16.0 5.5 0.80 1.2 20 15 50 1 1999

7.5 9.5 5.5 0.60* 0.80 - - - 2 2004

37-75 kw 7.5 11.5 5.0 0.40* 1.2 - - - 2 2004

4.7 7.5 5.0 none none - - - 3 2008

75-130 kw 6.6 11.5 5.0 0.30* 1.2 - - - 2 2003

4.0 6.6 5.0 none none - - - 3 2007

130-225 kw 6.6 10.5 3.5 0.2050.54 - - - 2 2003

4.0 6.6 3.5 none none - - - 3 2006

225-450 kw 6.4 10.5 3.5 0.20* 0.54 - - - 2 2001

4.0 6.4 3.5 none none - - - 3 2006

450-560 kw 6.4 10.5 3.5 0.20* 0.54 - - - 2 2002

4.0 6.4 3.5 none none - - - 3 2006

above 560 6.4 10.5 3.5 0.20* 0.54 - - - 2 2006
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40 CFR PART 86 AND PART 89

MARCH 4, 1999 -16-

 R. Developing deterioration factors for <37 kW Nonroad Engines

1. “Carry Over” and “Carry Across”

 

 If significant changes haven't been made to the engine, the carry over 

provision allows a manufacturer to use the same certification data in subsequent

model years. The carry-across provision allows a manufacturer to use DF data

from one engine on a number of engine families. Engine manufacturers who

make on-highway engines may carry across the on-highway DF data to

comparable nonroad engines.

2. Model Years 99 and 2000

For model year 1999 and 2000 engines rated under 37 kW, manufacturers

may determine deterioration factors based on good engineering judgment and

reasonably available information. This data can be carried across to other engine

families with similar technologies model year 1999 and carried over for model

year 2000. A manufacturer may need to provide new data for model year 2001 .

3. Established technology

Engines with established technology, DFs may be done using good

engineering practices. Certification levels above Tier 3 NMHC+NOx standards 

are established technology, unless equipped with EGR or aftertreatment. A

manufacturer may petition to have engines with certification levels below the Tier

3 NOx+NMHC standard to be considered established technology. The petition

must include proof that the technology used is not significantly different than that

used on engines with certification levels above Tier 3 NOx+NMHC.

4. Allowable maintenance

EPA expects good engineering practice to relate emissions data from an

aged engine or components to DFs. This data does not need to follow "Tier 3"

protocol for determining DFs. This data may be carried across to other engines

with similar technology. This is subject to EPA approval.

Maintenance intervals for DF engines are specified in §89.109. These

intervals may be used without EPA approval. The adjustment, cleaning, repair, or

replacement for the following components shall occur at 1,500 hours of use and at

1,500-hour intervals thereafter:
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< Exhaust gas recirculation system-related filters and coolers

< Positive crankcase ventilation valve. 

< Fuel injector tips (cleaning only)

The adjustment, cleaning and repair of the components listed below shall

occur at 3,000 hours of use and at 3,000-hour intervals thereafter for engines rated

under 130 kW, or at 4,500-hour intervals thereafter for engines rated at or above

130 kW. 

< Fuel injectors.

< Turbocharger.

< Electronic engine control unit and its associated sensors and actuators

< Particulate trap or trap-oxidizer system (including related components).

< Exhaust gas recirculation system (including all related control valves and

tubing) except as otherwise provided under 1500 hour maintenance

interval

< Catalytic converter

< Any other add-on emission-related component

The Administrator may allow shorter maintenance intervals for engines 

rated under 19 kW or for constant speed engines rated under 37 kW with a rated

speed of greater than or equal to 3000 rpm. This maintenance must be

technologically necessary.

§89.109(h)(2) requires manufacturers to demonstrate that critical

emissions maintenance has reasonable likelihood of occurring in-use. Critical

emission control components are:

< Catalytic converter.

< Electronic engine control unit and its associated sensors and actuators.

< EGR system (including all related filters, coolers, control valves, and

tubing).

< PCV valve.

< Particulate trap or trap-oxidizer system.

The following methods will be accepted as proving the likelihood of

occurring in-use:
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

6 Add-on emission related components" means components with the sole or primary purpose of reducing emissions, or

components which cause emission control to degrade significantly when they fail, without having a significant affect on engine

performance.

MARCH 4, 1999 -18-

< Data proving that the lack of maintenance will result in unacceptable

performance in typical operation.

< Survey data which demonstrates to an 80 percent confidence level that 80

percent of the engines have the maintenance performed in-use at the

recommended levels.

< A visible signal which alerts the owner to the required maintenance. The

resetting of the signal must be part of the required maintenance.

< The manufacturer may provide the maintenance free of charge. The owner

must be informed of this in the owners manual.

< Another method approved by the Administrator.

 S. Maintenance intervals for Nonroad Engines

Table 3

Maintenance intervals for Nonroad Engines 

Engine Power

Minimum interval for EGRrelated filters and coolers,

PCV valve, and fuel injector

tips (cleaning only)

(first occurrence/interval

thereafter)

Minimum interval for fuel injectors,

turbocharger, ECM and sensors and

actuators, PM trap or trap-oxidizer,

EGR system incl' control valves and

tubing, catalyst, and any other addon emissions-related components6

(first occurrence/interval thereafter)

19 kW and above, exc. 19-37 kW rated at 3000 rpm and above 1500/1500 3000/3000

under 19 kW and constant-speed engines 19-37 kW rated at

3000 and above

discretionary; under 1500

requires EPA approval

discretionary; under 3000 requires

EPA approval

 EPA is defining the following components as "critical emission-related components." 

Manufacturers must demonstrate that maintenance will actually be performed in-use if you

specify scheduled maintenance for these components.

< catalytic converter

< electronic engine control unit and its associated sensors and actuators
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< EGR system (including all related filters, coolers, control valves and tubing)

< Positive crankcase ventilation valve 

< PM trap or trap-oxidizer system

< any other add-on emissions-related component

 T. Flexibility for Original Nonroad Equipment Manufacturers (OEMs)

 Equipment manufacturer that buy engines from somebody else can 

temporarily build and sell a limited amount of equipment using non-complying engines. 

EPA understands that some equipment manufacturers might not have time to redesign

their equipment to accommodate new engine designs. In addition, an equipment

manufacturers can: (1) exceed the limits if the company builds small volumes of

equipment, and, (2) continue to build/sell equipment under a "hardship" exemption if

these provisions aren't sufficient to relieve the pressure on you. 

 Current regulations for >37 kW allow equipment manufacturers to deplete 

supplies of engines which were built prior to the effective date of the standards. This can

still be done according to the new rule. 

 Equipment manufacturers can still use replacement engines in their equipment 

under the new rule. 40 CFR 89.1003 describes the conditions for using replacement

engines. 

 Equipment manufacturers must comply with certain recordkeeping requirements

if 

they want to use the provisions described in this section.

 U. Flexibility for Post Manufacture Marinizers (PMMs)

 

 Post-manufacture marinizers can use the same provisions EPA is offering for 

OEMs who may not have time to redesign their equipment. Alternatively, postmanufacture marinizers can postpone for 1 year their compliance with the Tier 1

standards for <37 kw marine engines, provided they notify EPA in writing prior to the

effective date of the standards.

 V. Voluntary low-emitting Nonroad Engine Program
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MARCH 4, 1999 -20-

 EPA is establishing voluntary standards for manufacturers who may wish to

design 

engines which are cleaner than they are required to be. EPA will designate those engines

"Blue Sky Series" if they are certified to these standards. 89.112(f) describes the

requirements 

 III. Common Application (EPA and CARB for Heavy Duty Engines)

The appendices in this document provide necessary forms and information for a

common application format which will satisfy minimum application requirements for

both EPA and the California Air Resources Board (CARB).

The EPA application for a certificate of conformity and other necessary

information can be found in Appendix A. Upon completion, the application should be

sent to the EPA On Highway and Nonroad CI Team Leader. (Refer section I(B)(2), page

1 for further detail.) Applications for CARB executive orders will require additional

submissions as specified by CARB listed in Appendix H.

EPA will continue using a standardized engine family naming convention. The

engine family name will appear on the engine information label and in the certificate of

conformity. The engine family name should be used in all correspondence to EPA

concerning that family. Information explaining the naming convention is included in

Appendix D. Certificate-related information is required to be maintained by

manufacturers. EPA is not specifying a particular format for the maintenance of that

information; however, as required by regulation it should be adequately organized and

readily accessible to facilitate further review by EPA if requested.

IV. LABELING

The EPA’s streamlined application does not require the submission of sample

labels; however we may request copies of labels as part of the review process. CARB

requires a label durability statement. Details for the CARB application can be found in

Appendix G.
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V. ADDITIONAL REQUIREMENTS FROM CARB (The requirements found in this

section are not required by EPA.)

The documents found in Appendix G are currently required by CARB. EPA

requests that these documents, if optionally submitted to EPA, be placed in a separate

section of the application in order to simplify the EPA review process. EPA may choose

to review these additional documents if submitted. Additionally, EPA may request these

documents should further information on a family be necessary for a review.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 

APPENDIX A

EPA APPLICATION FORMAT

A2. General Instructions

A7. Sample Statement of Compliance for Nonroad

A8. Sample Statement of Compliance for On Highway

A9. Sample Statement of Compliance for On Highway Evaporative Emission

Certification

A10. Instructions for the Engine Family Information Form

A14. Instructions for the Engine Test Information Form

A20. Engine Model Summary

A21. Engine Model Part Number Summary

A21. Technical Description

A26. Sample Diskette Label Format
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

7

Submitted the first time a manufacturer uses this format and then once every 5 years or when a new technology is

introduced.

8 See 59 Fed. Reg. 31306, 31314 (June 17, 1994) for standards expressed in English units.

MARCH 4, 1999 A2

General Instructions

The following elements comprise a complete EPA certification application for engines

regulated under 40 CFR Parts 86 and 89.

1. Signed Statement of Compliance

2. Engine Family Information Form

3. Engine Test Information Form

4. Engine Model Summary Form

5. Engine Part Number Summary Form

6. Technical Description7

However, manufacturers requesting a certificate of conformity for evaporative engine

families are only required to submit the Statement of Compliance and an Evaporative Engine

Form (EEF).

If a representative other than the Primary Contact is to receive the certificate, please put

that information in the Comments field of the Engine Family Information Form.

Manufacturers may submit official correspondence and/or applications through the

electronic mail system. Please send all electronic mail to: deadwyler.richard@epamail.epa.gov. 

Once logged in, the correspondence will be routed to the appropriate EPA person. Please do not

send electronic applications directly to the individual EPA certification representatives. It is

important to understand that any time information is sent via electronic mail, there is no

guarantee of security of the information while in transit to the EPA.

A nonroad engine manufacturer may for convenience report certification information to

the EPA in English units. However, it is important to understand that metric units are the units

used in the nonroad regulations and thus all affected parties must follow these units in complying

with the nonroad standards.8

 In other words, the nonroad manufacturer may use English units

but will be held accountable to the standards expressed in metric units.
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MARCH 4, 1999 A3

Confidential Business Information (CBI)

A Confidential Business Information (CBI) block has been included in the Family

Information Form, the Test Information Form, the Engine Model Summary Form, and the

Technical Description Form. The purpose of the CBI block is to allow the manufacturer to

designate which pieces of information, if any, are to be kept confidential. Once the application

has been received and reviewed by the EPA certification representative, and upon the EPA

certification representative’s consent, the material designated confidential by the manufacturer

will be erased from the public version of the database and the remainder of the application will

be made public.

To use the CBI section, first designate whether or not the information is to be kept

confidential until introduction into commerce or indefinitely. If the material is CBI until

introduction into commerce, type the introduction into commerce date in the blank on the top of

the left hand column and enter the number preceding the question whose response is to remain

confidential in the left-hand CBI column. If the material is to remain confidential indefinitely

enter the number preceding the question whose response is to remain confidential in the righthand CBI column. Remember to mark confidential information in ALL documents submitted to

EPA, including applications, running changes, corrections, etc.

Diagnostic Check

The EPA database contains a built-in diagnostic check. The purpose of the diagnostic

check is to ensure all required information has been entered on the Family Form, the Test Form,

and the Technical Description Form. The diagnostic check also looks for common mistakes such

as incorrect engine family model year designators. The diagnostic check will not take the place

of the certification reviewer. Any errors found on the Family Form, will be listed in a box to the

right of the application labeled Family Form Checkout Box. Errors on the Test Form, will be

listed in a box to the right of the application labeled Test Form Checkout Box.

How to handle New Submissions, New Submissions (Continued), Additional Test Engines,

Running Changes/ FEL changes, Submission of final test results, and Application Corrections

using EPA FileMaker Pro Engine database format

Each of the above instances represents a new record in the EPA FileMaker Pro Engine

database. The records are linked through common fields. Records should not be written over

when updating due to Additional Submissions, Running Changes, FEL changes, or the need to

correct information in the application once the certificate has been issued. Instead, you must

create a new record for those submissions following the instructions below. (Manufacturers
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MARCH 4, 1999 A4

submitting paper versions of the application forms should submit a separate page whenever the

instructions below specify the creation of a new record).

New Submissions: Create a new record. Respond to all applicable questions or enter NA on all of

the forms (Engine Family Information Form, Engine Test Information Form, etc.). Please do not

leave any questions unanswered. This is the only type of record for which the diagnostic check is

activated. Enter “New Submission ” under the “Process Code”.

New Submissions: If there are Additional Test Engines: If there is more than one test engine,

complete the entire application for the first test engine, then create a new record. In this new

record, fill in ONLY the following information:

Manufacturer Name on the Engine Family Information Form

Engine Family Name on the Engine Family Information Form

Enter “New Sub-cont. ” under the “Process Code”on the Engine Family Information

Form

Complete the Engine Test Information Form in its entirety and on that form enter the

previous highest test data set number incremented by one to reflect the new

record: for example, this value would be “2" for the second test engine, “3" for

the third test engine, etc.

New Submission (Continued): You would need to create this record if you have more

information to submit than space provided in the forms. For instance, if you run out of space on

the Engine Part Number Summary, you would need to do this. Create a new record and fill in

ONLY the following information:

Manufacturer Name on the Engine Family Information Form

Engine Family Name on the Engine Family Information Form

Enter “New Sub-cont.” under the “Process Code”on the Engine Family Information Form

Enter responses to only those questions on all the forms (Engine Family Information

Form, Engine Test Information Form, Engine Model Summary, Engine Parts

Summary, etc.) which would not fit in space provided on the New Submission

record. Do not enter information in any other fields.

Running Change: Create a new record and fill in ONLY the following information:

Manufacturer Name on the Engine Family Information Form

Engine Family Name on the Engine Family Information Form

Enter “Running Change” under the “Process Code”on the Engine Family Information

Form

Enter the date the running change was implemented in the blank for “Estimated

Production Start” on the Engine Family Information Form.

Enter in “Comments” box on the Engine Family Information Form a description of the

change and any explanation as to why the manufacturer believes the engine
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40 CFR PART 86 AND PART 89

MARCH 4, 1999 A5

family remains in compliance. Describe changes here even if the running change

does not affect any other information reported in the application.

Enter responses to only those questions which are affected by the running change on all

the forms (Engine Family Information Form, Engine Test Information Form,

Engine Model Summary, Engine Parts Summary, etc.). If new emission test data

is being submitted, complete the Engine Test Information Form in its entirety and

on that form increment the previous highest Test Data Set number by one to

reflect the new record. 

FEL Change: Treated the same as a Running Change, except the effective date is the date the

new FEL is applied to production. EPA will determine that date when the new certificate is

issued: leave this blank. Create a new record and fill in ONLY the following information:

Manufacturer Name on the Engine Family Information Form

Engine Family Name on the Engine Family Information Form

Enter “FEL Change” under the “Process Code” on the Engine Family Information Form

Enter the new FEL

Enter in “Comments” box on the Engine Family Information Form the words “FEL

Change” and describe the basis for the FEL change (for example, result of

internal audits or production line testing, and/or a modification to the engine or its

settings). If the FEL change is the result of an engine family modification, the

date of the FEL change must reflect the date the engine family modification was

implemented on the production line.

Enter responses to only those questions on all the forms (Engine Family Information

Form, Engine Test Information Form, Engine Model Summary, Engine Parts

Summary, etc.) which are affected by the FEL change. If new emission test data is

being submitted, complete the Engine Test Information Form in its entirety and

on that form enter the previous highest Test Data Set number incremented by one

to reflect the new record. 

Application Corrections: Only use this category if a correction is required AFTER you have

received your certificate of conformity from EPA. PRIOR to certification, the manufacturer

should resubmit the corrected record in its entirety, choose “new submission”, request that the

corrected record replace the original submission and follow the process for New Submissions. 

For corrections AFTER certification, create a new record and fill in ONLY the following

information:

Manufacturer Name on the Engine Family Information Form

Engine Family Name on the Engine Family Information Form

Enter “Correction” under the “Process Code”on the Engine Family Information Form

Enter in “Comments” box on the Engine Family Information Form a description of the

correction and the reason for the correction.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A6

Enter responses to only those questions on all the forms (Engine Family Information

Form, Engine Test Information Form, Engine Model Summary, Engine Parts

Summary, etc.) for which a correction is required.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

9 Modify this letter as necessary (i.e., alternative fuels (Subpart P), alternate or special procedures (Subpart B), etc.).

10For families participating in ABT an additional statement is required. See applicable regulations for details.

MARCH 4, 1999 A7

Sample Nonroad Statement of Compliance

Manufacturer Primary Contact

XY Engine Company

4567 Industrial Highway

El Monte, CA 91731

March 1, 1996

On Highway and Nonroad CI Team Leader

Engine Compliance Programs Group

U. S. Environmental Protection Agency

Mail Code 6403-J

Washington, DC 20460

Dear Team Leader:

Please find enclosed the model year 1997 application for engine family WXYXL05.0AAA. On behalf of the XY

Engine Company, I hereby certify that the test engine(s), as described in this application for certification, has been

tested in accordance with the applicable test procedures, utilizing the fuels and equipment required under Subparts

D and E of 40 CFR 89 and subpart I of 40 CFR 86, and that on the basis of such tests the engine(s) conforms to the

requirements of 40 CFR 899

. I further certify that all engines in this engine family are in all material respects as

described in the Application for Certification and comply with all requirements of 40 CFR 89 and the Clean Air

Act.

[OPTIONAL] I hereby assert that certain information in this application is confidential business information, and

request that this information remain confidential until the introduction of these engines into commerce on [DATE]. 

The information which we assert to be confidential business information [is contained in the answers to questions

XX, YY, and ZZ of the engine certification application form(s) has been marked as confidential]. An additional

copy of the application with this information deleted is enclosed.10

Sincerely,

[MANUFACTURER PRIMARY CONTACT]

Enclosures
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

11Modify this letter as necessary (i.e., alternative fuels (Subpart P), evaporative procedures (Subpart M), alternate or special test

procedures(Subpart A), etc.)

12 For families participating in ABT an additional statement is required. Refer to applicable regulations for details.

MARCH 4, 1999 A8

Sample On-Highway Statement of Compliance

Manufacturer Primary Contact

XY Engine Company

4567 Industrial Highway

El Monte, CA 91731

March 1, 1996

On Highway and Nonroad CI Team Leader

Engine Compliance Programs Group

U. S. Environmental Protection Agency

Mail Code 6403-J

Washington, DC 20460

Dear Team Leader:

Please find enclosed the model year 1997 application for engine family WXYXH05.0AAA. On behalf of

the XY Engine Company, I hereby certify that the test engine(s), as described in this application for

certification, has been tested in accordance with the applicable test procedures, utilizing the fuels and

equipment required under Subparts D, I, and N of 40 CFR 8611, and that on the basis of such tests the

engine(s) conforms to the requirements of 40 CFR 86. I further certify that all engines in this engine

family are in all material respects as described in the Application for Certification and comply with all

requirements of 40 CFR 86 and the Clean Air Act.

[OPTIONAL] I hereby assert that certain information in this application is confidential business

information, and request that this information remain confidential until the introduction of these engines

into commerce on [DATE]. The information which we assert to be confidential business information [is

contained in the answers to questions XX, YY, and ZZ of the engine certification application form] or [has

been marked as confidential]. An additional copy of the application with this information deleted is

enclosed.12

Sincerely,

[MANUFACTURER PRIMARY CONTACT]

Enclosures

Sample On-Highway Evaporative Emission Certification 
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

13Modify this letter as necessary (i.e., alternative fuels (Subpart P), evaporative procedures (Subpart M), alternate or special test

procedures(Subpart A), etc.)

MARCH 4, 1999 A9

Statement of Compliance

Manufacturer Primary Contact

XY Motor Company

4567 Industrial Highway

El Monte, CA 91731

March 1, 1996

On Highway and Nonroad CI Team Leader

Engine Compliance Programs Group

U. S. Environmental Protection Agency

Mail Code 6403-J

Washington, DC 20460

Dear Team Leader:

Please find enclosed the model year 1997 application for evaporative family WXYXE0130AAA. On

behalf of the XY Motor Company, I hereby certify that the test procedure used to derive the deterioration

factors includes, but is not necessarily limited to, a consideration of the ambient effects of ozone and

temperature fluctuations and the service accumulation effects of vibration, time, vapor saturation and

purge cycling. The test vehicle(s), as described in this application for certification, has been tested in

accordance with the applicable test procedures, utilizing the fuels and equipment required under Subparts

D, M and P of 40 CFR 86, and that on the basis of such tests the vehicle(s) conforms to the requirements

of 40 CFR 8613. I further certify that all vehicles in this evaporative family are in all material respects as

described in the Application for Certification and comply with all requirements of 40 CFR 86 and the

Clean Air Act.

Sincerely,

[MANUFACTURER PRIMARY CONTACT]
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A10

INSTRUCTIONS FOR ENGINE FAMILY FORM

The Engine Family Form describes the engine family. The layout of the form is set up to

assist the EPA with data input into an electronic data base. Please be sure to include units, or in

cases where units are present on the forms, verify the validity of the preset units.

The new Engine Family Form has been created directly in the EPA’s Filemaker Pro

Information Management System database. The following instructions are provided to assist

filling out the form for both the paper and the Filemaker Pro electronic versions. Presently,

submission on computer diskette or electronic mail in the Filemaker Pro format or on paper is

acceptable. The Filemaker Pro version employs “pull-down” menus for some questions which

will identify all acceptable responses. Where a response is limited by a pull down menu, those

responses are described below. These responses are considered the only acceptable ones for both

the Filemaker Pro and the paper versions. 

Engine Family Information Form

1. Model Year (pull-down menu)

The engine model year for which certification is sought (4 digits, ex. 1996).

a. Date Received

Manufacturers leave this blank. The entry will be filled in by the EPA reviewer. 

b. Time Received

Same as date received.

2. Carryover (pull-down menu)

Enter either a “Yes” or “No”. If the test data is being carried over, then list which engine

family the test data is carried over from.

3. Process Code (pull-down menu)

Enter either “New Submission”, “Correction”, “Running Change”, or “FEL change”. 

Only enter “Running Change” or “FEL Change” if the engine family is already certified

and you are submitting data to support a running change or an FEL change. Enter “New

Submission” for families which have never been certified AND for carryover families.

Directly beneath the process code is a blank line for the date the EPA fees were paid. As

a reminder, an on-highway application should not be filed nor will it be processed
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A11

by EPA until fees have been paid. There is a fee application form with instructions in

Appendix F. Fees are currently assessed for on-highway certifications only. For nonroad

certifications, please enter N/A.

4. EPA Standard Engine Family Name

See Appendix D for details on the engine family naming convention. [Engine family

names consist of 12 digits.]

5. Manufacturer’s Family Name

If a manufacturer has identified an engine family by a name which is different from the

EPA engine family name, enter the manufacturer’s engine family name here; otherwise,

enter N/A.

6. Engine Cycle (pull-down menu)

Regardless of fuel utilized, if the engine is derived from a diesel engine enter “Diesel”; if

the engine is derived from an otto cycle engine enter “Otto”. 

7. Displacement

Enter displacement and units employed. Either CID or liters are acceptable. Please be

careful to note all units properly.

8. Engine Configuration

Note the configuration of the engine, for example I6, V6, etc.

9. Emission Control System

Mark all emission control system components that apply. If the emission control system

used by the engine is not included in the provided list, enter the system in the “other” box

which will appear when “other” is checked, using abbreviations contained in SAE J1930. 

Alternatively, manufacturers may use the draft SAE document “Medium/Heavy Duty E/E

Systems Diagnostic Nomenclature” if this document is available to them.

10. Fuel Type (pull-down menu)

Enter type of fuel for which engine family will be certified, choosing from the following

list: Diesel, Methanol, Natural Gas, Propane, Ethanol, Gasoline, Oxygenated, Bi-fuel

1(CNG and Gasoline), Bi-fuel 2(CNG and Diesel), Dual Fuel 1(CNG or Gasoline), Dual

Fuel 2 (CNG or Diesel), LPG (Specs need EPA approval), and Other (specify what fuel is

going to be used in the box which appears and in the compliance statement).

11. Fuel System Type (pull-down menu)
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A12

Enter type of fuel system for which engine family will be certified, choosing from the

following list: Throttle body Injection, Multi-port Injection, Direct Injection, Central-port

Injection, Carburetor, Sequential Fuel Injection, Indirect Diesel Injection, and Other (if

“Other” is checked, specify what fuel system is going to be used in the box which

appears when “other” is checked)

12. Method of Aspiration (pull-down menu)

Enter type of aspiration method for which engine family will be certified, choosing from

the following list: Naturally, Turbo Charged, Turbo Air to Water (TAW), Turbo Air to

Air (TAA), Supercharged Air to Water (SAW), and Supercharged Air to Air (SAA).

13. Useful Life Period

Useful Life should be entered in both years and hours or the number of miles.

14. Exhaust Deterioration Factor Types (pull-down menu)

On-highway only, select either “Additive” when no catalyst is present or “Multiplicative”

when a catalyst is present in the space provided. List for both exhaust emission and

smoke emissions if applicable. If not applicable, enter NA. (Nonroad, please select NA.)

15. Intended Service Class

Mark boxes which apply. If you choose other, please explain which service class the

engine could/will be used for in the box which appears.

16. Projected Sales

Enter projected sales numbers for the area for which certification is sought. For example,

if applying for 50-state certification, enter projected sales for 50-states. 

17. Estimated Production Period

Enter the start and end dates of the production period. Date format is mm/dd/yy. This

information may be used to determine expiration of CBI claims which were made until

introduction into commerce.

18. Sales Area(pull-down menu)

Enter either: Fed, Cal, or 50 state.

19. Plant Contact

List name(s), title, and phone number(s) of contacts at production plants who are

assigned to assist EPA during a Selective Enforcement Audit. 
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A13

20. Plant Location

List all plants at which production of this engine family is anticipated. If not enough

space is provided in this box, please put additional information in the comment box

below.

21. Program Information

*Non-Conforming Penalties (NCP)- mark all boxes which apply; NCPs for PM and NOx

are available for on highway engines only. Nonroad manufacturers check none.

*Averaging (Ave) - mark all boxes which apply.

*Banking and Trading (B&T) - mark all boxes which apply.

22. Family Emission Limits

Enter the Family Emission Limits for which the engine family is being certified in the

appropriate blanks for PM or NOx only when engine family is a participant in the ABT

program. If not applicable, enter N/A.

23. Nonroad Engine Types

List the common equipment types in which these engines are utilized (a “common”

equipment type would be one which utilizes 10% or more of the engines produced in the

family). Mark all boxes which apply. If “other” is checked, write the equipment type in

the box which appears. On-highway manufacturers mark the NA box.

24. Auxiliary Emission Control Devices (AECDs)[See sections 86.082-2 for on highway and

89.2 for nonroad definitions of AECDs.]

List all AECDs and those parameters which are sensed and controlled in the proper

columns. If an AECD results in reducing the effectiveness of emission control devices,

check “yes”. If “yes” is checked, a detailed justification of why the AECD should be

approved must appear in the Technical Description section of either the current

application or a reference made to the appropriate Technical Description document

describing the device [86.094-21(b)describes Emission Control System and AECD

Technical Description reporting guidelines] in a previous application. EPA does not

consider a “yes” response to mean that the AECD is a defeat device. A “yes” response to

this question indicates only that a justification must be present in the Technical

Description section of the application.

25. Adjustable Parameters

List all adjustable parameters, the adjustable range, and the tamper resistance methods in

their proper columns. If not applicable, enter N/A. Please note that an adjustable

parameter should be listed even when it is sealed. 
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

14 See 59 Fed. Reg. 31306, 31314 (June 17, 1994) for standards expressed in English units.

MARCH 4, 1999 A14

Instructions for Engine Test Information Form

The Engine Test Information Form records test engine information and test data for the

engine(s) tested. The form is designed to assist the EPA to input data to an electronic data base. 

If more than one test is performed on the same engine, report each set of test results on the same

page, placing each set of test results in its own column (labeled Test 1, Test 2, and Test 3) found

on the Test Information Form. Space is provided for up to three tests. If more than one engine is

tested please place the test information for each engine on its own page and mark the page for

the first test engine “Test Data Set 1", the page for the second test engine “Test Data Set 2", etc.

(see instructions below for item number 3). See the general instructions for how to create new

test engine “pages” using Filemaker Pro. Please be sure to include units, or in cases where units

are present on the forms, verify the validity of the preset units. 

The new Test Engine Information form has been created using the EPA’s engine

database. The following instructions are provided to assist filling out the forms for both the

paper and electronic versions. The electronic version employs “pull-down” menus for some

questions to aid in data input. For those questions employing pull-down menus, only the

responses contained in the pull-down menu are acceptable even if the application is submitted in

a paper version. The instructions below will identify the questions which employ pull-down

menus and will list the acceptable responses.

A nonroad engine manufacturer may for convenience report certification test results to

the EPA in English units. However, it is important to understand that metric units are the units

used in the nonroad regulations and thus all affected parties must follow these units in complying

with the nonroad standards”14 In other words, the nonroad engine manufacturer may use English

units but will be held accountable to the standards expressed in metric units.

Engine Test Engine Information Form

1. EPA Standardized Engine Family Name [12 digits only]

See Appendix D for details on naming 1998 Model Year and later families. For 1997 MY

engine family naming, refer to previous EPA guidance or contact your certification

reviewer. 

2. Process Code (Pull-down menu)
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

15Some restrictions apply to the use of this waiver. Please refer to 40CFR86.095-23(c)(2).

MARCH 4, 1999 A15

Enter either “New submission”, “Correction”, “Running Change”, or “FEL Change” in

the space provided. Only enter “Running Change” or “FEL Change” if the engine family

is already certified and you are submitting data to support a running change or an FEL

change. 

3. Test Data Set

Enter “1" for the first test engine, “2" for the second test engine, etc.

4. Engine Code

Enter Engine code of the test engine or N/A if no code is assigned.

5. Engine Model

Enter the model name of the test engine or N/A if no model name is assigned. 

6. Displacement(s) (CID or Liters)

Enter displacement of the test engine and units employed. Either CID or Liters are

acceptable. Please be careful to note all units properly.

7. Engine I.D. Number

Enter ID number of the test engine.

8. Rated HP @ Rated RPM

Enter test engine rated power and the speed at which the rated power occurs.

9. Torque(ft-lb) @ Engine RPM

Enter test engine maximum rated torque in foot pounds and the maximum rated torque

speed for on-highway engines; enter test engine torque @ intermediate speed for nonroad

engines.

10. Waivers

For each of the spaces under waivers, please enter either a “Yes”, “No”, or “NA”. 

Nonroad engine manufacturers should respond NA to all waivers. Waivers are available

upon EPA approval for the following combinations of engine category and pollutant:

Engine Category Idle CO CO PM Smoke

Petroleum Diesel Cycle x x15
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

Engine Category Idle CO CO PM Smoke

MARCH 4, 1999 A16

Methanol, Natural Gas, or

LPG Diesel Cycle

 x x x x 

11. Cold Start (Pull-down menu)

Enter either a “Yes”, “No”, or “NA” in the space provided to indicate use of the cold start

waiver. The waiver of the cold start portion of the test is available only for diesel or

diesel-derived heavy duty engines. (See 86.094-23(c)(2)(ii) for applicability.) No EPA

approval is required. Where the waiver does not apply to the engine being certified, enter

NA.

12. Certification Fuel (Pull-down menu)

Enter type of fuel for which engine family will be certified, choosing from the following

list: Diesel (Part 89,Sub D,Appdx A,Table 4), Diesel (Part 89,Sub D,Appdx A,Table 5),

Diesel (Part 86.1313-49(b)-Table N94-2), Methanol, Natural Gas (Part 86.1313-

94(e)(1)), Propane, Ethanol, Gasoline (Part 86.1313-94(a),Table N94-1), Oxygenated,

Bi-fuel 1(CNG or Gasoline), Bi-fuel 2(CNG or Diesel), Dual Fuel 1(CNG or Gasoline),

Dual Fuel 2 (CNG or Diesel), LPG (Specs need EPA approval), or Other (if response is

“other”, specify the certification fuel in the compliance statement).

13. Special Test Device Check either “yes” or “no”. A special test device is any piece of

equipment, hardware or input which is not described in the regulations but which is

employed in emission-testing. A special test device would include any engine or vehicle

part (except as specifically documented by EPA) used while operating the engine on the

dynamometer but which is not installed in-use.

Items that are special test devices include but are not limited to: emission monitoring

equipment or sensors not described in applicable regulations but used during testing;

engine or vehicle parts modified from the configuration or calibration described in the

application; or simulated or adjusted inputs or signals (such as a vehicle speed input) to

the engine computer.

Examples of items that are not considered special test devices are slave catalysts used

only while mapping the engine or equipment used to simulate an intercooler. 

14. Test Procedure (Pull-down menu)

Enter the test procedure used from the list below. If any deviations from the regulatory

procedures were used or an alternate or special test procedure was used but is not
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A17

described in this menu, the manufacturer must specify “Other” in response to this item,

and provide a description of the procedure(s) in the statement of compliance. See Section

H of this guidance document for the procedure to obtain approval of and how to report

alternate and special test procedures.

Pull-down menu options:

On-Hwy Diesel

On-Hwy Otto

Nonroad, 8-Mode & smoke

Nonroad, D2 (Special Procedure)

Other (Include in Statement of Compliance)

15. Official Test Results

Record test information from the first test in the column marked “Test 1". Record the

date of that test above the column marked “Test 1". If there is a second or third test on

the same test engine, record the test date and test results in columns marked “Test 2" and

“Test 3" respectively. Record the test results to the number of significant digits listed

below. The results are to be recorded in “g/bhp-hr” if the application is for both EPA and

CARB. If only applying to the EPA, the reported units can be either “g/bhp-hr” or

“g/kW-hr”. The units are to be reported in the units box at the bottom of the table. If an

emission level is not required to be reported for the engine being tested, enter “N/A”.

OFFICIAL TEST RESULTS DIGITS TABLE

HC/OMHCE g/bhp-hr or g/kW-hr X.XX

NMHC/OMNMHCE g/bhp-hr or g/kW-hr X.XX

CARBON MONOXIDE g/bhp-hr or g/kW-hr XX.XX

OXIDE OF NITROGEN g/bhp-hr or g/kW-hr X.XX

PARTICULATE g/bhp-hr or g/kW-hr X.XXX

FORMALDEHYDE g/bhp-hr X.XXXX

ACCELERATION SMOKE %opacity XX.X

LUGGING SMOKE %opacity XX.X
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

OFFICIAL TEST RESULTS DIGITS TABLE

MARCH 4, 1999 A18

PEAK SMOKE %opacity XX.X

IDLE CARBON MONOXIDE % X.XXX

CO2 XXX

16. Deterioration Factors

Record all deterioration factors except smoke to the nearest thousandth. Record smoke

dfs to the nearest hundredth. If a deterioration level is not required to be reported for the

engine being tested, enter “N/A”.

17. Certification Levels (Rounded Test Results with df applied)

Apply the deterioration factors recorded in item 16 to the emission levels reported in item

15, and report the resulting certification results, rounded in accordance with ASTM E29-

90, to the number of digits indicated below. If a standard does not apply for the engine

being tested, enter “N/A”.

CERTIFICATION LEVELS DIGITS TABLE

HC/OMHCE g/bhp-hr or g/kW-hr X.X

NMHC/OMNMHCE g/bhp-hr X.X

CARBON MONOXIDE g/bhp-hr or g/kW-hr XX.X

OXIDE OF NITROGEN g/bhp-hr or g/kW-hr X.X

PARTICULATE g/bhp-hr or g/kW-hr X.XX 

FORMALDEHYDE g/bhp-hr X.XXX

ACCELERATION SMOKE %opacity XX

LUGGING SMOKE %opacity XX

PEAK SMOKE %opacity XX

IDLE CARBON MONOXIDE % X.XX
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A19
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A20

Engine Model Summary Instructions

Enter EPA engine family name and (if applicable) Manufacturer’s engine family name in spaces

provided in the table above. After entering a line of data (in the table when using the electronic

version), press the enter key to move to the next line.

Table entry instructions:

Col 1: List All Engine Codes In Each Sales Area In the section labeled Federal Codes,

list all engine codes which will be sold exclusively in the 49 state area which

excludes CA. In the California Codes section, list all engine codes which will be

sold exclusively in CA. For the column section labeled 50 State Codes, list all

engine codes which will be sold in all 50 States.

Col 2: List all models in each engine code Additionally, identify models for each engine

code next to their respective Federal, California, and 50 State code. The test

engine model must be among the models listed.

Col 3: List the horsepower @ rated speed for each model

Col 4: List the Fuel Rate (mm3

 per stroke) @ Rated Speed for each model for dieselcycle engines only. Enter N/A for Otto-cycle engines.

Col 5: List the Fuel Rate (lbs/hr) @ rated speed for each model for diesel-cycle engines

only. Enter N/A for Otto-cycle engines.

Col 6: List Maximum Rated Torque @ RPM for each model

Col 7: List the Fuel Rate (mm3 per stroke) @ maximum rated torque for each model

Col 8: List the Fuel Rate per stroke (lbs/hr) @ maximum rated torque for each model

Col 9: List all Emission Control Devices for each model using acceptable abbreviations

and acronyms. Provide enough detail to adequately describe the major emission

control system components, including especially those components which may

differ from model to model. Acceptable acronyms and abbreviations may be

found in the SAE J1930 Recommended Practice “Electrical/ Electronic Systems

Diagnostic Terms, Definitions, Abbreviations, and Acronyms”, June 1993 or the

draft SAE “Medium/Heavy Duty E/E Systems Diagnostic Nomenclature”.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A21

ENGINE PART NUMBER SUMMARY INSTRUCTIONS

Enter EPA engine family name and (if applicable) Manufacturer’s engine family name in spaces

provided above the table. Fill in the all appropriate blanks. If a part does not exist, type NA in

the space provided. If a part is not listed, but is an emission control system component, go to the

“additional parts” page, type in the name of the part, and list the part number for each of the

engine codes and models.

Instructions for the Engine Technical Description Form

Manufacturers must generate and maintain adequate technical descriptions of

certification and production engines to demonstrate compliance with applicable regulations and

the Clean Air Act. As described below, a General Technical Section must be submitted to EPA,

and a more detailed record including calibrations and a description control system logic must be

maintained and provided to EPA upon request.

General Technical Description:

The first application using this new format must include a full General Technical

Description for each family. After the first year, manufacturers may reference (in the statement

of compliance) the model year application containing the full description. Every five years, a

new description will be necessary to update records. This section must also be updated when

new technology is introduced between the normal five year submission interval. 

In accordance with the format presented below, the general technical description must include,

but not be limited to:

1) A summary table identifying sensed and controlled parameters. (Reference the example

below.)

2) A description of all fuel and ignition system components.

3) A description of all emission control components. (Complete calibrations may not be

required but must be maintained as described below. When engine modification is used

for emission control, the manufacturer should provide a description of components,

strategies and limits necessary for controlling emissions, e.g. injection timing,

turbocharger, fuel control, etc.)

4) A description of all AECDs including hardware and control system logic. (Reference the

example below). If an AECD reduces the effectiveness of the emission control system, a
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A22

justification must be provided. (Complete calibrations may not be required but must be

maintained as described below.)

5) For evaporative certification, a description of all Evaporative Control System

Components, including but not limited to hardware and AECDs (as described above).

Calibrations and Control System Logic: 

Manufacturers must maintain calibration information and a description of control system

logic for each engine family. (AECD descriptions must be provided as described above.) Like

other information submitted to EPA as part of the application, this information must remain upto-date as changes are made in production, and records must document each calibration

produced. Records must include but not be limited to; calibrations, calibration curves, drawings,

flow rates, schematics of hose routing, timing strategies and switch points. Additionally, a

complete description of strategies contained in control system logic including but not limited to;

all modes of operation (or deactivation) for all sensed and controlled parameters, all values of

inputs and outputs, timer strategies, and flow charts. This information must be maintained by the

manufacturer with certification records and provided to EPA upon request. Small volume

manufacturers shall maintain and provide upon request drawings, calibration curves and

schematics of hoses routing.

General Technical Description Format

Section No. Title

01.00.00 Summary Table of Parameters Sensed and Controlled

02.00.00 Engine Systems

02.01.00 Fuel Systems

02.01.01 Fuel Injection

02.01.02 Carburetor

02.02.00 Ignition Systems

02.03.00 Turbochargers and Intercoolers

02.04.00 Emission Control Systems

02.04.01 Crankcase

02.04.02 Engine Modifications

02.04.03 Air Injection

02.04.04 Exhaust Gas Recirculation

02.04.05 Catalyst

02.04.06 Smoke-Puff-Limiter

02.04.07 Other
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A23

03.01.00 Auxiliary Emission Control Devices

04.01.00 Emission Control Warning Devices

05.01.00 Evaporative Emission Control System

05.01.01 Fuel Storage Method

05.02.01 Fuel Lines

05.03.01 Canister

05.04.01 Valves

06.01.00 Other

Example Summary Table of Sensed and Controlled Parameters

Parameters

Controlled Parameters Sensed

RPM FI EGR AIR

Inj.

Manif.

Air

Temp

Eng.

Temp

MAP Exh.

O2

TPS A/C

Request

Time Veh.

Spd.

FI X X X X X X X X

Fuel

Solenoid

 X 

RPM X X

EGR X X X

Idle Speed X X X X X

Air Inj. X X X X X

NOTE: The following are partial descriptions of information that may be included in the

technical description section. These examples should not be interpreted as maximum or

minimum reporting requirements, rather the type of information that may be included. The

manufacturer must evaluate all emission control components and must describe each component

in sufficient detail so that an engineer skilled in emissions control can understand how it

functions. Descriptions must include an explanation of each system’s operation, and all

circumstance in which an AECD reduces the effectiveness of the emission control system.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

16Additional Fuel Control Strategy Description May Be Appropriate

MARCH 4, 1999 A24

AECD Technical Description Examples

03.01.00 Auxiliary Emission Control Devices

03.01.01 General Fuel Control Strategy - Fuel injection timing and quantity is controlled

electronically by the engine control computer (ECC). ECC programming is nonadjustable and

the fuel calibrations may only be changed by replacing the ECC unit. Fuel injection component

descriptions are included in section 02.01.01. 

As illustrated in the sensed and controlled parameter table, the fuel control strategy uses

numerous inputs to balance optimal engine performance and emission control. As further

described below each sensed parameter may be used over the full range of engine operating

conditions or solely to identify unique operating conditions such as starting or conditions that

may cause engine or emission control system damage.

The fuel control strategy is calibrated to maintain an air/fuel ratio that optimizes catalyst

efficiency. Based on engine load (intake manifold vacuum) and engine speed the quantity of

fuel is adjusted by changing injection duration. Spark timing is also adjusted. Oxygen sensor

feedback enables the ECC to adjust fuel quantity and timing to maintain optimal catalyst

efficiency. The ECC will limit fuel when the vehicle or engine speed exceeds prescribed values,

but these conditions will not normally result in excessive emissions. 

As mentioned above, under some conditions the fuel strategy is not optimized for emission

control. The following summary provides justification for each condition in which the

effectiveness of the emission control system is reduced by the fuel strategy16. 

< Engine starting and stalling conditions - Fuel quantity and spark (also reference the spark

control strategy below) are adjusted when engine RPM are below a prescribed value to

improve starting and to avoid stalling conditions. 

< Overheating - Fuel is increased when coolant temperature exceeds a prescribed value. 

When this occurs the “Engine Temperature” warning light is illuminated on the dash and

the “Check Engine” light will remain illuminated until the vehicle is serviced. 

< O2 sensor signal - If no O2 sensor signal is received by the ECC or if the signal is

excessively lean or rich for a prescribed duration of time, the fuel strategy is set in a

default mode and the “Check Engine” light is illuminated until the engine is serviced. 

This mode is to avoid possible damage to the catalyst. 
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A25

03.01.02 Fuel Solenoid - The fuel solenoid is a mechanical component as described in 02.01.08. 

This solenoid is used to facilitate engine starting and only operates during cranking and for the

first 10 seconds after starting when the engine coolant is below 50 degrees F and the ECC is in a

default mode. Consequently, this solenoid reduces the effectiveness of the emission control

system (fuel strategy and catalyst) but is justified by its limited operation.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 A26

Sample Diskette Label Format

New submission:

Acme Engine Company

Nonroad engine

New Submission 1998 MY

WACXL08.0ABC, WACXL0.50ABC

Files: NEW3.FP3

COV3.WPD, COV4.WPD

August 12, 1997

Running change or correction:

Acme Engine Company

Nonroad engine

Running Change 1998 MY

WACXL08.0ABC

Files: RC3.FP3

COV3.WPD

August 15, 1997
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 

APPENDIX B

Confidential Business Information in the Certification Application
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 B2

CONFIDENTIAL BUSINESS INFORMATION

As a general principle, information provided to EPA by individuals or companies will be

considered public information and will be provided to those who request it unless the

information falls under one of the exemptions listed in the Freedom of Information Act (the

Federal statute which governs disclosure of information to the public). One of these exemptions

is information which the submitting individual or company asserts is confidential or proprietary

information (e.g., trade secrets).

Manufacturers are entitled to assert a claim of confidential business information (CBI) on

the information which they are required to submit in a certification application. If information

the manufacturer asserts to be CBI is information which is otherwise discernible by physical

inspection of the engine (e.g., Question 9, Emission Control System), EPA will not release any

such information that qualifies as CBI before the effective date of the certificate. If the

manufacturer wishes this information to remain confidential until the engine family is introduced

into commerce (when this date is after the effective date of the certificate), the manufacturer

must inform EPA of this actual date of introduction into commerce when it submits its

certification application, and specifically request that the information remain confidential until

the introduction date.

For example, consider this time line for a 1997 model year engine:

Date certificate issued: December 1, 1996

Date certificate is effective: January 2, 1997

Date of introduction into commerce: April 1, 1997

Under this time line, EPA would not release any CBI from the certificate application

until April 1, 1997 or later, provided the manufacturer informs EPA of the date of introduction

into commerce and makes such a request when it submits its certification package. 

Manufacturers should be aware that certain information in the certification application

can retain CBI status even after the actual date the engines are introduced into commerce. If a

manufacturer desires that certain information retain CBI status after the date the engines are

introduced into commerce, it must make this request when it submits its application package.

Under EPA regulations at 40 CFR sec. 89.7 and 40 CFR sec. 2.203, manufacturers must

indicate clearly what information is submitted under an assertion of CBI. Manufacturers may
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 B3

state in the application cover letter which sections of the application are CBI, or/and otherwise

mark or stamp the CBI. Whenever a manufacturer submits an application which contains

information asserted to be confidential, EPA urges the manufacturer to submit an additional

application with all CBI deleted to accompany the original application.

Based on EPA's historical experience with certification applications in the on-highway

program, EPA notes that certain information in the application should not be considered eligible

to fall under a CBI claim under any circumstances. This information is generally available to the

public or competitors and disclosure of this information would not be likely to cause any harm to

the competitive position of any manufacturer. The Engine Compliance Programs Group (ECPG)

staff believes that the information provided in response to the following questions on the Engine

Family Information Form should not be considered confidential under any circumstances:

Manufacturer

1. Model Year

2. Carryover

3. Process Code

4. EPA Standard Engine Family Name

5. Mfr’s Family Name

13. Useful Life Period

14. Deterioration Factor Types 

15. Intended Service Class

19. Plant Contact

20. Plant Location

22. Family Emission Limits 

23. Nonroad Engine Equipment Types 

Additionally, the ECPG staff believes that the information provided in response to the

questions on the Engine Test Engine Information Form should not be considered confidential

under any circumstances.

Finally, manufacturers should remember that, if EPA receives a request under the

Freedom of Information Act for release of a certification application, EPA will inform the

requestor (in writing) that all information asserted to be CBI by the manufacturer cannot be

released until the Agency (which in this instance means the Office of General Counsel (OGC))

makes a "final determination of confidentiality." The EPCG staff will then write to the

manufacturer to offer the opportunity to substantiate its claim about the business confidentiality

of the information by answering some questions about the information (the questions can be

found in EPA’s regulations at 40 CFR 2.204(e)). The EPCG staff will review the manufacturer's
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 B4

responses to these questions and forward them with comments to the OGC for the final

determination of confidentiality.

Any questions about this process should be addressed to:

Robert M. Doyle, Attorney-Advisor

Engine Compliance Programs Group

U.S. Environmental Protection Agency

401 M Street, S.W. (6403J)

Washington, DC 20460

Telephone (202) 564-9258

Facsimile (202) 565-2057

E-Mail : Doyle.Robert@epa.gov
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 

APPENDIX C

CERTIFICATE OF CONFORMITY

C2 Sample Nonroad Certificate of Conformity without Banking & Trading

C3 Sample Nonroad Certificate of Conformity with Banking & Trading

C4 Sample On Highway Certificate of Conformity without Banking & Trading

C5 Sample On Highway Certificate of Conformity with Banking & Trading
SAMPLE

SAMPLE

SAMPLE

SAMPLE

CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 C2

SAMPLE OF NONROAD CI CERTIFICATE OF CONFORMITY WITHOUT BANKING

AND TRADING

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

WASHINGTON, DC 20460 

 MODEL YEAR

CERTIFICATE OF CONFORMITY

WITH THE CLEAN AIR ACT OF 1970 AS AMENDED IN 1990

ISSUED TO:

 

MANUFACTURER CERTIFICATE NUMBER

 

Chester J. France EFFECTIVE DATE

Director, Engine Programs & Compliance

OFFICE OF MOBILE SOURCES

DATE ISSUED: 

Pursuant to Section 213 of the Clean Air Act (42 U.S.C. § 7547) and 40 CFR 89, and subject to the terms and conditions

prescribed in those provisions, this certificate of conformity is hereby issued with respect to the test engines which have

been found to conform to applicable requirements and which represent the following nonroad engines, by engine family,

more fully described in the documentation required by 40 CFR Part 89 and produced in the stated model year:

NONROAD COMPRESSION-IGNITION ENGINE FAMILY: 

This certificate of conformity covers only those new nonroad compression-ignition engines which conform in all

material respects to the design specifications that applied to those engines described in the documentation required by

40 CFR Part 89 and which are produced during the model year stated on this certificate of the said manufacturer, as

defined in 40 CFR Part 89. This certificate of conformity does not cover nonroad engines imported prior to the effective

date of the certificate.

It is a term of this certificate that the manufacturer shall consent to all inspections described in 40 CFR 89.129-96 and

89.506-96 and authorized in a warrant or court order. Failure to comply with the requirements of such a warrant or court

order may lead to revocation or suspension of this certificate for reasons specified in 40 CFR Part 89. It is also a term

of this certificate that this certificate may be revoked or suspended or rendered void ab initio for other reasons specified

in 40 CFR Part 89.

This certificate does not cover nonroad engines sold, offered for sale, or introduced, or delivered for introduction, into

commerce in the U.S. prior to the effective date of the certificate.
SAMPLE

SAMPLE

SAMPLE

SAMPLE

CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 C3

SAMPLE OF NONROAD CI CERTIFICATE OF CONFORMITY WITH BANKING AND

TRADING

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

WASHINGTON, DC 20460 

 MODEL YEAR

CERTIFICATE OF CONFORMITY

WITH THE CLEAN AIR ACT OF 1970 AS AMENDED IN 1990

ISSUED TO:

 

MANUFACTURER CERTIFICATE NUMBER

 

Chester J. France EFFECTIVE DATE

Director, Engine Programs & Compliance

OFFICE OF MOBILE SOURCES

DATE ISSUED: 

Pursuant to Section 213 of the Clean Air Act (42 U.S.C. § 7547) and 40 CFR 89, and subject to the terms and conditions

prescribed in those provisions, this certificate of conformity is hereby issued with respect to the test engines which have been

found to conform to applicable requirements and which represent the following nonroad engines, by engine family, more fully

described in the documentation required by 40 CFR Part 89 and produced in the stated model year:

NONROAD COMPRESSION-IGNITION ENGINE FAMILY: 

This certificate of conformity covers only those new nonroad compression-ignition engines which conform in all material

respects to the design specifications that applied to those engines described in the documentation required by 40 CFR Part 89

and which are produced during the model year stated on this certificate of the said manufacturer, as defined in 40 CFR Part 89.

This certificate of conformity does not cover nonroad engines imported prior to the effective date of the certificate.

This certificate of conformity is conditional upon compliance of said manufacturer with the averaging, banking and trading

provisions of 40 CFR Part 89, Subpart C. Failure to comply with these provisions may render this certificate void ab initio. 

The family NOx emission limit (FEL) is ___ g/kW-hr.

It is a term of this certificate that the manufacturer shall consent to all inspections described in 40 CFR 89.129-96 and 89.506-

96 and authorized in a warrant or court order. Failure to comply with the requirements of such a warrant or court order may

lead to revocation or suspension of this certificate for reasons specified in 40 CFR Part 89. It is also a term of this certificate

that this certificate may be revoked or suspended or rendered void ab initio for other reasons specified in 40 CFR Part 89.

This certificate does not cover nonroad engines sold, offered for sale, or introduced, or delivered for introduction, into

commerce in the U.S. prior to the effective date of the certificate.
SAMPLE

SAMPLE

SAMPLE

SAMPLE

CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 C4

SAMPLE OF ON HIGHWAY CERTIFICATE OF CONFORMITY WITHOUT BANKING AND

TRADING

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

WASHINGTON, DC 20460

____ MODEL YEAR

CERTIFICATE OF CONFORMITY

WITH THE CLEAN AIR ACT OF 1970 ISSUED TO:

 

MANUFACTURER CERTIFICATE NUMBER

 

Chester J. France, Director, EPCD EFFECTIVE DATE

OFFICE OF MOBILE SOURCES

DATE ISSUED: 

Pursuant to Section 206 of the Clean Air Act (42 U.S.C. 7525) and 40 CFR Part 86, and subject to the terms and conditions

prescribed in those provisions, this certificate of conformity is hereby issued with respect to the test engines which have been

found to conform to applicable requirements and which represent the following motor vehicle engines, by engine family, more

fully described in the documentation required by 40 CFR Part 86 and produced in the stated model year:

HEAVY DUTY (HEAVY-HEAVY) DIESEL FAMILY: 

This certificate of conformity covers only those new motor vehicle heavy heavy-duty diesel engines which conform, in all

material respects, to the design specifications that applied to those engines described in the documentation required by 40 CFR

Part 86 and which are produced during the model year production period stated on this certificate of the said manufacturer, as

defined in 40 CFR Part 86. This certificate of conformity does not cover vehicles imported prior to the effective date of the

certificate.

It is a term of this certificate that the manufacturer shall consent to all inspections described in 40 CFR 86.096-7, 86.606, and

86.1006 and authorized in a warrant or court order. Failure to comply with the requirements of such a warrant or court order may

lead to revocation or suspension of this certificate for reasons specified in 40 CFR part 86 including 40 CFR 86.096-30 or render

the certificate void ab initio as specified in 86.096-7. It is also a term of this certificate that this certificate may be revoked or

suspended or rendered void ab initio for reasons specified in 40 CFR part 86, including 40 CFR 86.096-30, 86.612, 86.096-7,

and 86.1012.

This certificate does not cover vehicles or engines sold, offered for sale, or introduced, or delivered for introduction, into

commerce in the U.S. prior to the effective date of the certificate.
SAMPLE

SAMPLE

SAMPLE

SAMPLE

CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 C5

SAMPLE OF ON HIGHWAY CERTIFICATE OF CONFORMITY WITH BANKING AND

TRADING

 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

 ANN ARBOR, MICHIGAN 48105

 _____ MODEL YEAR

 CERTIFICATE OF CONFORMITY

 WITH THE CLEAN AIR ACT OF 1970 ISSUED TO:

 

 

 MANUFACTURER CERTIFICATE NUMBER 

 

 

 OFFICE OF MOBILE SOURCES EFFECTIVE DATE

DATE ISSUED: 

 Pursuant to Section 206 of the Clean Air Act (42 U.S.C. 7525) and 40 CFR Part 86, and subject to the terms and conditions prescribed

in those provisions, this certificate of conformity is hereby issued with respect to the test engines which have been found to conform to

applicable requirements and which represent the following motor vehicle engines, by engine family, more fully described in the

documentation required by 40 CFR Part 86 and produced in the stated model year:

 HEAVY-DUTY (MEDIUM-HEAVY) DIESEL ENGINE FAMILY:

 This certificate of conformity covers only those new motor vehicle medium heavy- duty diesel engines which conform, in all material

respects, to the design specifications that applied to those engines described in the documentation required by 40 CFR Part 86 and which

are produced during the model year production period stated on this certificate of the said manufacturer, as defined in 40 CFR Part 86. This

certificate of conformity does not cover vehicles imported prior to the effective date of the certificate.

 This certificate of conformity is conditional upon compliance of said manufacturer with the provisions of 40 CFR 86.090-15, 86.091-15,

86.094-15 and other banking, averaging and trading provisions of 40 CFR Part 86 including those applicable after model year production.

Failure to comply with applicable sections of 40 CFR Part 86 including 40 CFR 86.090-15, 86.091-15 and 86.094-15 may render this

 certificate void ab initio. The family NOx emission limit is _____ g/BHP-hr.

 

 It is a term of this certificate that the manufacturer shall consent to all inspections described in 40 CFR 86.096-7, 86.606, and 86.1006

and authorized in a warrant or court order. Failure to comply with requirements of such a warrant or court order may lead to revocation

or suspension of this certificate for reasons specified in 40 CFR Part 86 including 40 CFR 86.095-30, or render the certificate void ab initio

as specified in 86.096-7. It is also a term of this certificate that this certificate may be revoked or suspended or rendered void ab initio for

 other reasons specified in 40 CFR Part 86, including 40 CFR 86.095-30, 86.612, 86.096-7, and 86.1012.

 This certificate does not cover vehicles or engines sold, offered for sale, or introduced, or delivered for introduction, into commerce

in the U.S. prior to the effective date of the certificate.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 

APPENDIX D

EPA STANDARD ENGINE AND EVAPORATIVE FAMILY

NAMES
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 D2

EPA Standardized Engine and Evaporative Family Names

for

1998 and Later Model Year

Light-Duty Vehicles, Trucks, Motorcycles

and Nonroad Engines

Manufacturers must use a standardized system for identifying their individual engine

families. The system described below was developed by EPA in 1995 to meet new regulatory

requirements for 1998 and later model years.

The engine family name consists of 12 characters. For the displacement field, zero is used

as a space character in the leading position when a value does not apply. To avoid confusion with

numeric characters '0' and '1', characters 'I' and 'O' are not used. It is considered desirable to

minimize use of characters 'Q', 'L', 'Z', 'S' 'G', which can be confused with '0', '1', '2', '5', and '6';

however, this has not always been possible. The following method is to be used to name engine

families when data is submitted. The format of the standardized engine family name is:

Family information for all families

 Number

Characters Columns Description

1 1 Model Year (Table 1)

3 2-4 Letter code identifying manufacturer (must be assigned by EPA).

Contact EPA to verify your manufacturer code if in doubt.

1 5 Family type

N - Nonstandard family type

V - Light-duty vehicle family

T - Light-duty truck family

C - Motorcycle family

E - Evaporative family

H - Heavy-duty engine family

S - Small SI nonroad family

L - Nonroad CI family

M - Marine engine family

A - California only medium duty family

R - Evaporative/Refueling family
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

17At a minimum, the sequence characters, in combination with the other characters in the family name, must provide a unique

identifier for the family. It is recommended, but not required, that the sequence characters themselves be unique for all families for a manufacturer

and model year. These sequence characters may be used to codify information to meet California's requirements, but they will be treated as

simple sequence characters by EPA's computer software.

MARCH 4, 1999 D3

 Number

Characters Columns Description

4 6-9 Displacement in liters (e.g. 05.7-the decimal point counts as a digit

and the leading zero is a space) or cubic inches (e.g., 0350, 0097).

For dual or variable displacement families enter the maximum displacement. For large displacement engines, the displacement may be

entered as XX.X format (e.g., 12.1). Small engines may be entered as

a .XXX format (e.g., .072, 0.07, 00.7). In all cases the displacement

will be read in liters if a decimal point is entered and it will be read

in cubic inches if there is no decimal point.

3 10-12 Sequence characters. Enter any combination of valid characters to provide

a unique identification for the family name. It is recommended that numbers

and letters be selected that minimize possible confusion.17

TABLE 1. LETTER CODES FOR MODEL YEAR (Column 1)

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

Code Year Code Year Code Year

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

 A 1980 L 1990 Y 2000

 B 1981 M 1991 1 2001

 C 1982 N 1992 2 2002

 D 1983 P 1993 3 2003

 E 1984 R 1994 4 2004

 F 1985 S 1995 5 2005

 G 1986 T 1996 6 2006

 H 1987 V 1997 7 2007

 J 1988 W 1998 8 2008

 K 1989 X 1999 9 2009
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

18At a minimum, the sequence characters, in combination with the other characters in the family name, must provide a unique identifier for the

family. It is recommended, but not required, that the sequence characters themselves be unique for all families for a manufacturer and model year. 

These sequence characters may be used to codify information to meet California's requirements, but they will be treated as simple sequence

characters by EPA's computer software..

MARCH 4, 1999 D4

Evaporative family names

Columns 1-5 are the same as exhaust emission engine family names.

 Number

Characters Columns Description

4 6-9 Canister work capacity: Total grams in all canisters

3 10-12 Sequence characters. Enter any combination of valid characters to

provide a unique identification for the family name. It is recommended that numbers and letters be selected that minimize possible

confusion.18

Other engine and evaporative family descriptive information that would be required to

identify emission standards will be described in a separate document.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999

APPENDIX E

EPA EVAPORATIVE SECTION (On Highway Vehicle

Certification Only)

E2 Instructions for the Engine Evaporative Information Form 

E4 Sample Evaporative Statement of Compliance

E5 Sample On Highway Evaporative Certificate
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 E2

Instructions for Engine Evaporative Emission Certification Form (For On

Highway Vehicle Certification Only)

 The Engine Evaporative Emission Certification Form contains the information and data

used to demonstrate compliance with evaporative emission requirements. The form is designed

to assist the EPA data input into an electronic data base. If more than one test is run on one

vehicle configuration, each set of test results should be placed in its own column (labeled Test 1,

Test 2, etc.) found on the Engine Vehicle Certification Evaporative Form. Please be sure to

include units, or in cases where units are present on the forms, verify the validity of the preset

units. The on- highway vehicle manufacturer is not required to submit a copy of the engine

certification application forms.

For some classes of vehicles, engineering judgement may be used in place of the

performance of standard test procedures (see Appendix E Tables). In these instances, data

generated through the use of engineering judgement must still be entered in the Evaporative

Results section (see item #8 below).

The new Engine Evaporative Emission Certification Form has been created directly in

the EPA’s engine database. The following instructions are provided to assist filling out the

forms for both the paper and electronic versions. Presently, only the paper version is available. 

The electronic version is bing developed. The electronic version will employ “pull-down”

menus for some questions to aid in data input. For those questions, employing pull-down menus,

only the responses contained in the pull-down menu are acceptable, even if the application is

submitted in a paper version. The instructions below will identify the questions which employ

pull-down menus and will list the acceptable responses.

Engine Vehicle Certification Evaporative Form

1. Model Year (Pull-down menu)

The model year for which certification is sought (4 digits, ex 1996).

2. Date

EPA will enter the date form was received.

3. Process Code (Pull-down menu)

Enter either a “New submission”, “Correction”, or “Running Change” in the space

provided.

4. Test Data Set Number

Enter a “1" for the first test combination. If additional combinations are tested, submit a

separate form for each test combination and label the subsequent combinations “2", “3",

etc.

5. EPA Standardized Evaporative Family Name

See Appendix D for more details on evaporative family naming conventions.

6. Fuel (Pull-down menu)

Enter type of fuel used in test from the following list: Gasoline, LPG, Methanol, CNG, or

Other (If “other” is chosen, in the comment box at the end of the form).

7. A)Evaporative Certification Standard (Pull-down menu)
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 E3

Enter the standard used to certify the evaporative system from the following list: 86.091-

10(b)- Otto Cycle, 86.091-11(b) - Diesel Cycle, 86.096-10(b)- Otto Cycle, 86.096-11(b) -

Diesel Cycle, or 86.098-11 - Diesel Cycle.

B) Weight Category (Pull-down menu)

Enter one of the following weight categories: GVWR <= 14K, 14K < GVWR < 26K, or

GVWR > 26K.

8. Test Results

Enter date test was run in the corresponding column (MM-DD-YY). [If only one test was

run this test combination, enter the results in the column labeled “Test 1".]

Enter the applicable test results, with the deterioration factor applied, into the chart.

When a test result is not required, enter NA.

9. Evaporative Family/Engine Family Comparison Information

Enter information as the table dictates.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

19Modify this letter as necessary (i.e., alternative fuels (Subpart P), alternate or special test procedures(Subpart B),

etc.)

MARCH 4, 1999 E4

Sample Evaporative Statement of Compliance

Manufacturer Primary Contact

XY Motor Company

4567 Industrial Highway

El Monte, CA 91731

March 1, 1996

On Highway and Nonroad CI Team Leader

Engine Compliance Programs Group

U. S. Environmental Protection Agency

Mail Code 6403-J

Washington, DC 20460

Dear Team Leader:

Please find enclosed the model year 1998 application for evaporative family WXYXR0098ABC.

On behalf of the XY Motor Company, I hereby certify that the test procedure used to derive the

deterioration factors includes, but is not necessarily limited to, a consideration of the ambient

effects of ozone and temperature fluctuations and the service accumulation effects of vibration,

time, vapor saturation and purge cycling. The test vehicle(s), as described in this application for

certification, has been tested in accordance with the applicable test procedures, utilizing the fuels

and equipment required under Subparts D, M and P of 40 CFR 8619, and that on the basis of such

tests the vehicle(s) conforms to the requirements of 40 CFR 86. I further certify that all vehicles

in this evaporative family are in all material respects as described in the Application for

Certification and comply with all requirements of 40 CFR 86 and the Clean Air Act.

Sincerely,

[MANUFACTURER PRIMARY CONTACT]
SAMPLE

SAMPLE

SAMPLE

SAMPLE

CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 E5

Sample On Highway Evaporative Certificate

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

WASHINGTON, DC 20460 

 MODEL YEAR

CERTIFICATE OF CONFORMITY

WITH THE CLEAN AIR ACT OF 1970 AS AMENDED IN 1990

ISSUED TO:

 MANUFACTURER CERTIFICATE NUMBER

 Chester J. France EFFECTIVE DATE

Director, Engine Programs & Compliance

OFFICE OF MOBILE SOURCES

DATE ISSUED: 

Pursuant to Section 206 of the Clean Air Act (42 U.S.C. 7525) and 40 CFR Part 86, and subject to

the terms and conditions prescribed in those provisions, this certificate of conformity is hereby

issued with respect to the test vehicles which have been found to conform to applicable requirements

and which represent the following motor vehicles, by engine and/or evaporative family, more fully

described in the documentation required by 40 CFR Part 86 and produced in the stated model year:

HEAVY-DUTY EVAPORATIVE FAMILY: 

This certificate of conformity covers only those new motor vehicles which conformin all material

respects, to the design specifications that applied to those vehicles described in the

documentation required by 40 CFR Part 86 and which are produced during the model year

production period stated on this certificate of the said manufacturer, as defined in 40 CFR Part 86.

This certificate of conformity does not cover vehicles imported prior to the effective date of the

certificate.

 

It is a term of this certificate that the manufacturer shall consent to all inspections described in 40

CFR 86.096-7, 86.606, and 86.1006 and authorized in a warrant or court order. Failure to comply

with the requirements of such a warrant or court order may lead to revocation or suspension of this

certificate for reasons specified in 40 CFR part 86 including 40 CFR 86.095-30 or render the

certificate void ab initio as specified in 86.096-7. It is also a term of this

certificate that this certificate may be revoked or suspended, or rendered void ab initio for other

reasons specified in 40 CFR part 86, including 40 CFR 86.095-30, 86.612, 86.096-7, and 86.1012. 

This certificate does not cover vehicles or engines sold, offered for sale, or introduced, or delivered

for introduction, into commerce in the U.S. prior to the effective date of the certificate.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999

APPENDIX F

EPA MOTOR VEHICLE AND 

ENGINE COMPLIANCE PROGRAM

(MVECP) FEES PROGRAM

F1 EPA MVECP Fees Filing Form

F2 EPA MVECP Fees Filing Form Instructions
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 F3

EPA MVECP Fee Filing Form OMB Num. 2060-0104, expires 08/31/98

U.S. ENVIRONMENTAL PROTECTION AGENCY

MOTOR VEHICLE AND ENGINE COMPLIANCE PROGRAM

FEE FILING FORM

(Please type or print)

Applicant's Corporate Name __________________________________________

Address ______________________________________________________________

City/State/Zip Code/Country __________________________________________

______________________________________________________________________

 Certification Request Type (check one): 

 LDT/LDV LDT/LDV California only 

 

 HDE/HDV HDE/HDV California only 

 HDV Evap-only Motorcycle 

 EPA standard engine family name: 

 

 Exhaust emission control system number: of 

 

 

 Amount paid (U.S. Funds Only): $ 

 

 Enter check number, "EFT/WIRE" or "EFT/ACH": 

 

[Indicate on the check: std. engine family name and control system number]

 [Indicate in the EFT message field: 

 Location Code# "68-01-0099", "EPA MVECP Fee",

 std. engine family name, control system number, and corporate name] ))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))

 Waiver (only, if applicable and with prior EPA approval): 

 Waiver approval number __________ Projected sales volume __________ 

 

Aggregate projected retail sales price: $___________________ 

))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))

 Authorized Company Representative Date: ______________________

 Typed Name: ______________________ Signature: ______________________

 Title: ___________________________ Telephone: ______________________ ______________________________________________________________________

Send all Fee Filing Forms and all Checks and EFT/ACH payments to:

Environmental Protection Agency

Motor Vehicle and Engine Compliance Program

P.O. Box 954472

St. Louis, MO 63195-4472

Transmit EFT/Wire payments only to the New York Federal Reserve Bank and send the Fee Filing Form for the wire to the

above address.

EPA MVECP Fee Filing Form OMB Num. 2060-0104, expires 08/31/98
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 F2

Fee Filing Form Instructions

Corporate Name and Address

List the applicant's corporate name and corporate address which will appear on the Certificate of

Conformity.

Certification Request Type

Check the box which specifies the certification request type.

EPA Standard Engine Family Name

Enter the appropriate EPA standardized engine family name that will appear on the Certificate of

Conformity.

Exhaust Emission Control System Number

Enter the exhaust emission control system number that identifies the unique engine-system combination.

Amount Paid

Enter the appropriate fee amount for the designated certification request type. The full fee, payable in

U.S. dollars, is to accompany the filing form. 

Check Number, EFT/ACH, or EFT/WIRE

Enter the number of the corporate check, money order, bank draft, certified check, or enter the letters

"EFT/ACH" or "EFT/WIRE" if sending an electronic funds transfer. Indicate the standard engine

family name and exhaust emission control system number on the check or EFT. Please contact your

certification representative for EFT/ACH payment procedures.

Waiver (only, if applicable)

All fee waiver requests must be submitted in writing and approved by EPA prior to filing this form. 

EPA will assign a waiver approval number. Enter the waiver approval number, projected sales volume

and aggregate projected retail sales price on the fee filing form. Submit the fee waiver payment.

Authorized Company Representative

Enter the representative's name (typed), signature, title, telephone number, and date.

Shipment by Private Mail Service (other than U.S. Postal Service)

If the remitter chooses to ship by a private mail service such as Federal Express, Airborne Express, or

another shipping service other than the U.S. Postal Service, then the remitter should send the fee

payment and fee filing form to:

Mercantile Bank N.A.

Government Lock Box Division

TRAM#41-2, Operations Center

1005 Convention Plaza

St. Louis, MO. 63101-1200
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999

APPENDIX G

CERTIFICATION PREVIEW TOPICS
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 G2

Certification Preview Topics

The certification preview meeting, which should occur annually, is designed to address

outstanding issues prior to the application for certification, to answer a manufacturer’s questions

about the certification process and to help the EPA reviewer schedule the workload so as to

avoid any production delays for the manufacturer. It is not necessary to meet in person, but it is

recommended. A preview meeting could be handled through a series of letters, especially when

an engine is carried over and there are not as many issues to discuss.

CERTIFICATION PREVIEW CHECKLIST:

1. Verify manufacturer contact. For first year of certification only: verify manufacturer has

a three-digit manufacturer code and has notified EPA of all categories of engines

that they intend to certify.

2. Which engine families will also be certified in California?

3. Will fees be paid prior to application for certification of on-highway engine families?

(Applications will not be processed until fees are paid)

4. Respond to questions about application format, review any changes in application

procedure. (Refer to application format in Appendix A.). The following comprise

a complete application: 

A. Cover letter addressed to the EPA certification team leader,

requesting certification for specified engine families. 

B. Communications and Mailing Information sheet

C. Signed statement of compliance specific to the engine family(s)

being certified and referencing any applicable pre-approved

alternate or special test procedures or alternate fuels.

D. Engine Family Information Form (one per engine family)

E. Engine Test Information Form (one per test engine)

F. Engine Model Summary (one per engine family)

G. Engine Model Part Number Summary (one per engine family)

H. General Technical Description (may not be required every year)

I. Evaporative Family/Engine Family Comparison Form (OnHighway Evaporative Certification only) (one per evaporative

engine family)

5. Test engine selection: was selection in accordance with regulations?

6. Adjustable parameters: 

Description of tamper resistance

All adjustable parameters should be listed in application, including those that the

manufacturer considers to be sealed.

7. Correlation Testing:

We strongly encourage your participation in the correlation testing program.

8. Product Line:

Discuss any new technology.

How do you intend to meet the emission standards?

List engine applications.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 G3

List sales volumes.

9. Engine Family Determination:

Are engines appropriately grouped by engine family?

Are engine families named correctly?

10. Test Protocols:

Service accumulation.

Fuels.

Maintenance of certification engine.

Provide test date/location in case we want to observe the testing.

11. Voluntary In-Use Testing: 

Participation encouraged.

12. Information for SEA:

Preferred locations and contacts for SEA testing.

List of ports of entry for nonroad engines.

Assembly Line Testing Data or California Quality Audit data (submission 

voluntary).

13. Concept of Defeat Device:

Manufacturer understands concept of defeat device and verifies that no defeat

devices have been employed in this model year’s certification.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

H1

APPENDIX H

EXECUTIVE ORDER INFORMATION (CARB ONLY)

To be completed in addition to Appendix A for California Submissions.

H1 Sample Off-Road Engine Certification Statement of Compliance

H2 Sample On-Road Engine Certification Statement of Compliance

H3 Emission Warranty

H4 Label Durability Statement

H5 Engine/Vehicle Emission Labels

H6 Tamper-Resistance

H7 Deterioration Factors Form
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 H2

SAMPLE OFF ROAD ENGINE CERTIFICATION

STATEMENT OF COMPLIANCE

March 1, 1996

Manufacturer Primary Contact

XY Engine Company

4567 Industrial Highway

El Monte, CA 91731

Mr. Rod Summerfield, Chief

Mobile Source Operation Division

California Air Resources Board

9480 Telstar Avenue

Suite #4

El Monte, CA 91731

Subject: 1997 Model-Year Heavy-Duty Off-Road Diesel Cycle Engine Certification for

Engine Family, VXY14.RZDBRA.

Dear Mr. Summerfield:

Please find enclosed the 1997 model-year application for engine family VXY14.RZDBRA. On

behalf of the XY Engine Company, I hereby certify that the test engine(s), as described in this

application for certification, has been tested in accordance with the “California Exhaust

Emission Standards and Test Procedures for New 1996 and Later Heavy-Duty Off-Road Diesel

Cycle Engines”(Test Procedure), and that on the basis of such tests the engine(s) conforms to the

requirements of the Test Procedures. I further certify that all engines in this engine family

comply with all requirements of the Test Procedures, the Clean Air Act, and the applicable

California Code of Regulations.

Sincerely,

[Manufacturer Primary Contact]
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 H3

SAMPLE ON-ROAD ENGINE CERTIFICATION

STATEMENT OF COMPLIANCE

March 1, 1996

Manufacturer Primary Contact

XY Engine Company

4567 Industrial Highway

El Monte, CA 91731

Mr. Rod Summerfield, Chief

Mobile Source Operation Division

California Air Resources Board

9480 Telstar Avenue

Suite #4

El Monte, CA 91731

Subject: 1997 Model-Year Heavy-Duty Diesel Cycle (or Otto Cycle) Engine Certification

for Engine Family, VXY8.5DZDAAA/VXY7.0C5GAAA.

Dear Mr. Summerfield:

Please find enclosed the 1997 model-year application for engine family

VXY8.5DZDAAA/VXY7.0C5GAAA. On behalf of the XY Engine Company, I hereby certify

that the test engine(s), as described in this application for certification, has been tested in

accordance with the “California Exhaust Emission Standards and Test Procedures for New 1995

and Later Heavy-Duty Diesel Cycle Engines”(Test Procedures) and the Code of Federal

Regulations, Title 40, Part 86, Subparts A, I and N (40 CFR 86 (A), (L), (N)) incorporated by

reference and as amended by the Air Resources Board (or “California Exhaust Emission

Standards and Test Procedures for 1987 and Later Heavy-Duty Otto Cycle Engines and

Vehicles”(Test Procedures) and the 40 CFR 86 (A), (L), (N), and (P) incorporated by reference

and as amended by the Air Resources Board) and that incorporated/amended 40 CFR 86. I

further certify that all engines in this engine family comply with all requirements of the Test

Procedures and the incorporated/amended 40 CFR 86, the Clean Air Act, and the applicable

California Code of Regulations.

Sincerely,

[Manufacturer Primary Contact]
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 H4

SAMPLE EMISSION WARRANTY

Emission warranty requirements are specified in Title 13, California Code of Regulation, Section

2035 et seq. (13 CCR 2035) for on-road heavy-duty. Manufacturers are required to furnish with

each new vehicle or engine a warranty statement which generally describes the obligations and

rights of the vehicle or engine manufacturers and the owners. A list of warranted parts must be

included in the warranty for all heavy-duty engine and vehicles. A list of high-cost warranted

parts must be included in the warranty for all incomplete or diesel medium-duty vehicles and

engines certified under the optional heavy-duty engine test procedures. The Air Resources

Board’s California Emission Control Warranty Statement (13 CCR 2039 or 13 CCR 2426) must

be repeated verbatim, and is required in addition to the manufacturer’s own emission warranty

statement under 13 CCR 2035 et seq. Or 13 CCR 2425. Approval by the Air Resources Board of

a manufacturer’s warranty statement is a condition for certification (13 CCR 2038(m)/2039(c) or

13 CCR 2425(f)/2426 (c)). The Air Resources Board recommend that manufacturers submit and

receive the required warranty approval before sending the certification application.

ENGINE/VEHICLE EMISSION LABELS

The California Code of Regulations, Title 13, Section 1965 (13 CCR 1965) requires

manufacturers to conform to the “California Motor Vehicle Emission Control Label

Specifications” for on-road products and conform to California Code of Regulations, Title 13,

Section 2424 (13 CCR 2424) for off-road products. Section 7 of 13 CCR 1965 and Section g of

13 CCR 2424 require manufacturers to obtain approval from the Air Resources Board for all

label formats and locations prior to use. The Air Resources Board recommend that

manufacturers submit a photograph or a photocopy of the applicable label(s) for approval prior

to production. Samples of all actual production labels used within an engine family are required

to be submitted to the Air Resources Board within thirty(30) days after the start of production

(13 CCR 1965(g) or 13 CCR 2424(h)).

LABEL DURABILITY STATEMENT

A manufacturer is required to submit with its application for certification a statement attesting

that the label and adhesives used shall be designed to withstand, for the vehicle’s or engine’s

total expected life, typical vehicle or engine environmental conditions in the area where the label

is attached (13 CCR 1965(6) or 13 CCR 2424 (f)).
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 H5

TAMPER RESISTANCE

Manufacturers are required to provide in the application for certification the following

information for engine/vehicle that have emission related adjustable parameters:

(1) identify individual adjustment;

(2) provide detailed descriptions of the component either by submitting drawing(s) or the

actual component;

(3) the physical range(s) of the adjustment;

(4) the effects of such adjustments;

(5) the emission effects by such adjustment; and

(6) the tamper-resistance measures employed on the adjustment to deter tampering.

The ARB suggest that manufacturers submit the tamper-resistance information in advance of

sending the application for certification. If the specific engine family does not have any

adjustable parameter, then the manufacturer may provide a statement to such effect.
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES

40 CFR PART 86 AND PART 89

MARCH 4, 1999 H6

DETERIORATION FACTOR FORM

DETERIORATION FACTOR for Engine Family: ________________________

Engine Code: ________________________

Engine Serial Number (ESN): ____________________________

Tested for Model Year: 

Advertised hp @ rpm w/Fuel Rate mm3/S

Smoke Gaseous Emissions

(% Opacity) (gm/bhp-hr)

Hours Equivalent

Miles

Accel. Lug-Down Peak HC Nox Part. CO

Useful Life Initial

Projected Stabilized

 Value Value DF 

Accel. :

Lug-Down :

Peak :

HC :

NOx :

CO :

PM :

Formaldehyde :

Describe here or an a separate form:

1) Durability Test Procedure

2) Maintenance Log